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The Evolution of Chinese National Security Debates on Maritime Policy, Pt. 2

The following two-part series will delve into the evolution of China’s national security debates pertaining to maritime security. Part One focused on changes and trends during Deng Xiaopeng’s administration and the immediate post-Cold War era. Part Two will analyze Chinese maritime policy debates going into the modern era.

By Sherman Xiaogang Lai

Accepting New Players

In the mid-1990s, Chinese researchers suffered from a set of restraints. Among these restraints were China’s censorship, accessible materials, and researchers’ skills. The Chinese government did not want the public to discuss sensitive topics such as Mao Zedong and increased censorship. However, sensitive topics had good audiences. Therefore, publishers and researchers worked closely to find ways to talk on sensitive topics properly. The most difficult barriers at that time was the sources of materials. Materials in Chinese language were limited, and few PLA researchers had foreign language skills. The AMS library had a good collection of Western relevant publications but was not open to the public. Therefore, translation occupied a significant portion in China’s research projects and Western classic were systematically translated. Among the translated classics was the collection of some chapters of Mahan’s works.

While PLA and other Chinese researchers were searching for paradigms beyond Marxism, a group of Chinese PhD graduates of political science returned from the United States. One of the outstanding graduates was Yan Xuetong (Berkley, 1992) who would become a leading scholar in international studies in China. In the meantime, the Chinese government abolished the Soviet system of postsecondary education and began to restore China’s pre-1949 Western-styled university system. As the entire research community in China was restructured and Chinese leaders, including PLA leaders, were willing to listen to ideas beyond Marxist and Maoist paradigms, civilian university scholars began obtaining a voice in the field of national security research. After 9/11, the involvement of civilian universities accelerated because terrorism was a not traditional military threat. In the meantime, PLA leaders altered their bias against officers who graduated from civilian universities. They realized that these officers such as Pi Minyong had much better knowledge and understanding of strategic and defense issues than graduates from PLA universities.

While many of these civilian university graduates were promoted, the Chinese government recognized the value of Chinese diaspora and permitted them to appear in China’s public media either for directing China’s public opinion or for intellectual development. One of the outstanding scholars was Professor Zheng Yongnian at the National University of Singapore. The PLA’s monopoly of China’s national defense research therefore came to an end. Academic diversity occurred not only among civilian researchers but also within PLA universities. One of the factors that contributed to the gradual replacement of the PLA’s monopoly on military and strategic research with more diversity was the fact that China became a net oil-importing country since 1993 and only became increasing dependent on oil importation. Oil security, an issue directly linked with SLOC, led to intensive research and debates.1

Oil Importation, Exploration into Mahan and Debates

Some Chinese researchers called for energy self-sufficiency through liquidizing coals. Some others suggested that overland pipelines be built in order to reduce China’s dependence on SLOC, especially the Malacca Strait. Another group argued that energy self-sufficiency was out of date and overland pipelines could not solve the problem. As China had to depend on the world oil market, the best approach to oil security was to join the world market and protect the SLOC with other countries. As more and more Chinese families began to use automobiles, these debates attracted attention throughout coastal China, even some interior province such as Hunan.2 Because the security of the SLOC was directly linked with seapower, Mahan’s works were systematically translated and published in nine varied versions from 1997 to 2013.3 Together with “Mahan Rush” was the appearance of two opposing school on China’s maritime and naval policies.

The representative of the first school is the INA. Captain Zhang Wei, one of its senior researchers, asked for a Mahanian navy. She reiterated Mahan’s argument that a blue-water navy of capital warships was a symbol of great powers’ glory and strength.4 As China considered itself a great power, it has to have a blue-water navy of capital ships to demonstrate that power. As China’s economy is dependent on the SLOC, China has to have a blue-water navy. In addition, China has a humiliating past: The West and Japan invaded China from the sea. China therefore has to have a powerful navy in order not let it happen again.

The opposite school consists of researchers of various backgrounds. Among the influential scholars are Senior Colonel Xu Qiyu (PhD) at the Institute of Strategic Studies, the University of National Defense, Senior Colonel Ke Chunqiao at the Academy of Military Science, and Dr Wu Zhengyu at Renmin University. Xu pointed out that China’s big power status had nothing to do with its navy and that SLOC protection was an international effort.5 China should therefore participate in international escorting campaigns rather than acting alone. He went further and claimed that if China’s SLOC were in danger, it means that China was at the edge of war against the United States. Xu stated that China had tremendous shared interests with the United States and must do its best to stabilize the bilateral relations. Through reviewing Germany’s experience before World War I, Xu attributed the outbreak of World War I to Germany’s interest groups who advocated for greater sea power.6

Ke reinforced Xu’s view by using the German experience also. He pointed out that one of the principal lessons from that experience was that continental powers should not try to seize the command of sea from a maritime power. Through comparing the experiences of the United States, Germany, and Japan, Ke claimed that the best way was to respect and help preserve the existing international order.  He also reminded the Chinese public of the catastrophic roles that German and Japanese interest groups had played before the two world wars. In July 2014, Ke’s arguments were published in China’s largest newspaper, Cankaoxiaoxi (News for Reference) run by Xinhua News Agency.7 In 2016, Ke re-emphasized the same view in the same newspaper.8

In comparison with Xu and Ke, Wu was straightforward. He claimed that China’s anti-ship ballistic missiles (ASBM) are de-stabilizing.9 He said that China’s naval development should be focusing on large surface warships such as carriers because the United States enjoys overwhelming superiority and would feel comfortable with Chinese carriers. In the meantime, Chinese carriers will increase China’s contribution to the international SLOC protecting campaign and help China improve its international reputation.

Between these opposing schools is the State Oceanic Administration (SOA). In the early 1980s the SOA helped Deng in guiding China back to the international community and complete the shift from an enclosed continental economy to a maritime one based on international trade. It also introduced into China the concept of international law and the United Nations Convention on the Law of the Sea (UNCLOS).10 In the meantime, it ardently promoted the concept of “maritime territories” and planted concepts of China’s “maritime territory” in South and East China Seas into the minds of the public. In 2014, it supervised China’s island-making program in Spratly Islands. Perhaps because of its inconsistent roles in China’s efforts in internationalization, the SOA remains silent in the debates over China’s naval policy. Nevertheless, SOA’s South China Sea policy did not go without sharp criticism. Although the criticizers were Chinese diaspora, their sharp criticism was published in China.

Professor Bing Ling at the University of Sydney termed the behaviors of the Chinese government over the case of South China Sea Arbitration as “stupid” and “brutal.”11 It damaged China’s national interests and China’s international image contrary to international trends, thereby undermining China’s position in the territorial disputes there.

Professor Zheng Yongnian at the National University of Singapore linked China’s South China Seas policy and the resulting Sino-American tension with North Korea. He pointed out that North Korea superbly exploited the tension by testing its rockets and nuclear devices, trying to persuade China and the United States to acknowledge its nuclear status.12 It goes without saying that a nuclear North Korea is a severe menace to China’s national security. Because the Chinese government could not hide from the public the North Korea’s nuclear menace, it permits the public to discuss the North Korea issue. The discussions show that Chinese society is highly divided over North Korea.13

The division over North Korea among the Chinese public is a reflection of China’s multiple challenges in foreign affairs. Professor Wang Yizhou, the Dean of College of International Relations, Beijing University, attributed these challenges to China’s outdated governmental organization.14 Wang stated that China’s efforts to seek bigger roles in international affairs is justified, but as China is a beneficiary of the current international order, Wang proposed the idea of “creative engagements in international affairs.”15 In order to achieve this goal, Wang went further by saying that China had to start a campaign of social and political reforms in order to fit into the international community. This is a daunting task, Wang claimed, due to China’s vastness and social diversity, as well as its political institution that was established through revolutionary wars. “Most Chinese provinces are as large as mid-sized countries in the world while the gap between the coastal areas and the inland is as large as that between the West and the underdeveloped countries….This situation makes the national governance extraordinarily difficult. Outsiders are impressed by China’s rapid economic growth, China’s rise to the world second largest economy and staggering landscape changes in metropolitan areas such as Beijing, Shanghai, and Guangzhou. But few of them realized the simultaneous existences of three worlds in China and understand their pressure on China’s national leaders.”16 Dr. Li Cheng at the Brookings Institution had a similar observation. He stated that the Chinese leaders are playing a “great game”, trying to use their “achievements in foreign affairs to start reforms and new policies in order to alter the unsatisfactory domestic situation.”17

Conclusion

In conclusion, contrary to the diplomatic success that Li Cheng mentioned, China in 2016 suffered significant diplomatic setbacks over the issues of the South China Sea and North Korea’s nuclear program. Nevertheless, the history of Chinese Communist Party shows that Chinese Communist leaders are more willing to reform in the aftermath of setbacks. Deng Xiaoping’s reform came from Mao’s devastating Cultural Revolution. His success lay in his leadership that guided toward China returning to the international community. This means that the SLOC is essential to Chinese economy. The combination of Chinese leaders’ insufficient comprehension of seapower with the issues of Taiwan and South China Sea resulted in the PLAN’s blue-water navy program. They did not realize the potential impacts of its blue-water navy on international politics and China’s domestic situation until its maritime neighbors felt threatened. China’s international position is therefore rapidly deteriorating. This situation is not serving China’s long-term national interests. A reform is necessary. The recent debates on China’s naval and maritime policy illustrate Chinese researchers’ efforts to help their national leaders find solutions to the unprecedented challenges to national security. In addition to the wild card of North Korea, among these challenges are the dilemmas of China’s dependence on SLOC without command of the sea, the uneasy compromise between capitalism with authoritarianism, and the fragile links in-between.

The COTS (Concept of Total Security), the theme of Xi’s speech on national security on 17 February 2017, is a synthesis of various concerns. Through his elaborated words, he addressed his priority of concerns in the year of 2017 while encouraging all the competing schools to continue their ongoing debates on China’s maritime and naval policies. As its history shows, the PRC’s survival is dependent on the subtle balance of its maritime and continental interest and the least costly approach to reaching a balance is through debates.

Dr. Sherman Xiaogang Lai is an adjunct assistant professor at the Department of Political Science, Royal Military College of Canada (RMC). Before he immigrated to Canada in 2000, he served as a frontline foot soldier in China’s war against Vietnam, UN military observer, and researcher in history and military strategy in the Chinese People’s Liberation Army during 1987-1997. The views expressed in this article are his own.

References

1. Sergei Troush, “China’s Changing Oil Strategy and its Foreign Policy Implications,” Brookings, 1 September 1999 (https://www.brookings.edu/articles/chinas-changing-oil-strategy-and-its-foreign-policy-implications/); National Bureau of Statistics of the People’s Republic of China, “Considerations on the strategy of China’s oil security,” (关于中国石油安全战略的思考), 11 September 2003  (http://www.stats.gov.cn/tjzs/tjsj/tjcb/zggqgl/200309/t20030911_37418.html)An Qiyuan (安启元), “An Urgent Task: Establishing a Strategy Reserve System of Oil,” (构建石油战略储备体系迫在眉睫), 2003 (http://www.people.com.cn/GB/paper2515/9528/880782.html); Zhang Wenmu (张文木), “China needs a powerful navy to protect its oil security,” (中国需要强大海军护卫石油安全), Liaowang Weekly 18 December 2003 ( http://www.china.com.cn/chinese/zhuanti/xxsb/547804.htm); Zhu Xingshan (朱兴珊), “War tests China’s oil security,” (战争考验中国石油安全), 2003 (http://www.people.com.cn/GB/paper81/9347/866466.html); Zhu Xingshan, “South Asia is Shocked: China will step aside Malacca Strait through constructing a canal through Thailand (中国撇开马六甲开凿泰运河将震动南亚), Zhou Yonggang (周勇刚),”Experts Analysis and Appeals: the Caspian Setback, Sino-Russian Deal and Adjustment of China’s Oil Strategy,” (专家析里海折戟与中俄突破 吁调整中国石油战略), 14 November 2003 (http://auto.sohu.com/73/84/article215608473.shtml).

2. “Full Expectations for Sin-Russian Cooperation in Energy,” (充满期待中的中俄能源合作),Radio Hunan (湖南广播在线), 27 April 2006.

3.  In addition to the publication of a collection of Mahan’s articles and book chapters in 1997 mentioned above, the following is the chronology of the publication of Mahan’s works in China.

  • The influence of sea power upon history (海权对历史的影响) (Beijing: Jiefangjun chubanshe, 1998 and reprint in 2014)
  • The Problem of Asia: Its Effect Upon International Politics (亚洲问题及其对国际政治的影响) (Shanghai: Sanlian shudian. 2007).
  • Naval Strategy (海军战略) (Beijing: Shangwu yingshuguan, 2009).
  • Big Power and Seapower (大国海权) (Nanchang: Jiangxi renmin chubanshe, 2011).
  • On Seapower (海权论) (Beijing: Tongxing chubanshe, 2012).
  • On Seapower (海权论) (Beijing: Dianzi gongye chubanshe, 2013).
  • Sea power in its relations to the war of 1812 (海权与1812年战争的关系) (Beijing: Haiyang chubanshe, 2013).
  • Influence of sea power upon the French revolution and empire (海权对法国大革命和帝国的影响) (Beijing: Haiyang chubanshe, 2013)
  • Influence of sea power upon history (1660-1783) (海权对历史的影响) (Beijing: Haiyang chubanshe, 2013).

4. Zhang Wei (张炜), A Short Introduction of Alfred T Mahan’s The Influence of Seapower Upon History, 1660-1783 (影响历史的海权论: 马汉 海权对历史的影响(1660-1783)浅说) (Beijing: Junshikexue chubanshe, 2000); Zhang Wei, Big Powers’ Statecraft (大国之道) (Beijing: Beijing University Press, 2011); Zhang Wei, “The Use of Beiyang Navy and China’s Traditional Strategic Culture,” (北洋海军的运用与中国战略文化传统), 4 March 2014, Chinese Academy of Social Sciences, (http://cn-www.mediaresearch.cn/zt/zt_xkzt/zt_lsxzt/lsxzt_jwj/jw_jsp/jspyt/201403/t20140304_1018814_2.shtml)

5. Xu Qiyu (徐弃郁), “Reflections on Some Misleading Aspects of Seapower” (“海权的误区与反思”), Strategy and Management (战略与管理) 5 (2003): 17.

6. Xu Qiyu, “A Study of the Dilemmas of Big Powers during their Rises,” PhD dissertation, Graduate School of Chinese Academy of Social Science, 2007, 112.

7. Ke Cunqiao (柯春桥), “Five Major Lessons in Germany’s Strategy Transition prior to 1914” (“一战前德国战略调整五大教训”), Cankao xiaoxi (News for Reference) (8 July 2014): 13.

8. Ke Cunqiao, “Big Powers should learn from the lesson of ‘Syndrodom of Rising Power’.” (大国应对 “崛起综合征”经验教训), Cankao xiaoxi, 25 August 2016 (http://www.cankaoxiaoxi.com/world/20160825/1281068.shtml)

9. Wu Zhengyu (吴征宇), “Combined Powers of Seapower and Landpower” (“海权与陆海复合型强国”), World Economics and Politics (世界经济与政治) 2 (2012): 49–50. 

10. Sherman Xiaogang Lai and Joel J. Sokolsky, “A New Dimension in Sino-American Security: Chinese and United States Interests in the Arctic.” Bulletin on the International Studies on the Arctic Regions 3, No.3 (2014): 8-26.

11. Lin Bing (凌兵), “Why Does China’s Rebuke of the International Tribunal on the South China Sea Damage Its Own Interests?” (为什么中国拒绝南海仲裁有损中国的权益?), Talks in Shanghai in December 2015, https://commondatastorage.googleapis.com/letscorp_archive/archives/107426

12. Zhong Yongnian (郑永年), “North Korea: China’s Thorn in Flesh,” (中国的朝鲜半岛之痛), Veritas, 9 September 2016.  (http://dxw.ifeng.com/dongtai/340/1.shtml); Zheng Yongnian, “China cannot let North Korea Hold its Nose toward Catastrophe,” (中国不能被朝鲜牵着鼻子拖入灾难), 20 September 2016 (http://mp.weixin.qq.com/s?__biz=MzA4Nzk2NzEwNA==&mid=2651875583&idx=1&sn=db37730d7151dc7ca85c072e16e54a8a#rd)

13. “The Six Divergent Opinions on North Korea’s Nuclear Program in the Chinese Academia and their Controversies,” (中国学界关于朝核问题的六种看法极其争论), 8 January 2016, WIC ( http://www.siciwi.com/Item/Show.asp?m=1&d=5493); Du Baiyu (杜白羽), “Facing North Korea’s Program: Dialogues Work Better than Sanctions,” (应对朝核问题:需要制裁更需对话), Asia Pacific Daily, 19 September 2016 (https://read01.com/An5DDP.html); Wen Jing and Guo Qi (文晶and 郭琪), “Our Major Misunderstanding of North Korea: An Interview of Dean Jiang Qingguo (贾庆国) of the College of International Studies, Beijing University, “(我们认识朝鲜的三大误区),  Sina Xinwenzhongxing, 27 August 2016 (http://news.sina.com.cn/w/2016-08-27/doc-ifxvixer7324757.shtml); “Increasing numbers of Chinese people regard North Korea as a bad neighbor,” (越来越多中国人正在转变对朝鲜看法), Opinion Huanqiu, 15 February 2016 (http://opinion.huanqiu.com/editorial/2016-02/8536686.html); Shi Yinghong (时殷弘), “How could China balance its core interests in Korea Peninsula?” (中国如何平衡朝鲜半岛局势各项核心利益?) Zhengzhixue yu guoji guanxi luntan (Forum of Politics and International Relations), 20 July 2016 (http://mp.weixin.qq.com/s?__biz=MjM5NDMzNTk2MA==&mid=2659702589&idx=5&sn=bc0754fe63e3ec827c14ba6697d406f5&scene=0#wechat_redirect)

14. Wang Yizhou (王逸舟), “Challenges in coordination from programs of international assistance to emergent evacuation: What could we do?” (从援外到撤侨屡遇部门协调新难题, 怎么破?), The Paper, 28 December 2015 (http://www.thepaper.cn/newsDetail_forward_1414113); Wang Yizhou, “Four Key Words of Social Restructure to Redefine China’s Diplomacy in Transition,”(社会构造四大关键词重新定义中国转型期外交), The Paper, 24 December 2015 (http://www.thepaper.cn/newsDetail_forward_1412185)   

15. Wang Yizhou (王逸舟), Creative Engagements: China’s Diplomacy in Transition (创造性介入: 中国外交的转型) (Beijing: Beijing University Press, 2015).

16. Wang, “Four Key Words of Social Restructure to Redefine China’s Diplomacy in Transition,” http://www.thepaper.cn/newsDetail_forward_1412185

17. Li Chen (李成), “China’s Strategy in 2015: Double Game and Great Game,” (中国策:双盘棋局、宏图略展), 25 December 2015, Brookings, (https://www.brookings.edu/zh-cn/opinions/2015%E4%B8%AD%E5%9B%BD%E7%AD%96%EF%BC%9A%E5%8F%8C%E7%9B%98%E6%A3%8B%E5%B1%80%E3%80%81%E5%AE%8F%E5%9B%BE%E7%95%A5%E5%B1%95/)

Featured Image: The Chinese Navy replenishment ship Qinghaihu in front of the frigates Hengshan (rear L) and Huangshan (rear R) in Valletta’s Grand Harbor, March 26, 2013. (Reuters/Darrin Zammit Lupi)

Sea Control 141 – The Law of the Sea with John Burgess

By Matthew Merighi 

Join us for the latest episode of Sea Control for a conversation with Professor John Burgess of the Fletcher School about the Law of the Sea and its enduring effects on maritime security. This interview was conducted as part of the roll-out of the Fletcher School’s recently released primer on the Law of the Sea.

Download Sea Control 141 – Law of the Sea with John Burgess

A transcript of the interview between Professor Burgess (JB) and Matthew Merighi (MM) is below.

MM: And we’re back as I mentioned at the top I’m here with professor John Burgess of the Fletcher School of Law and Diplomacy. Professor Burgess thank you very much for being with us on Sea Control today.

JB: It’s my pleasure.

MM: As is Sea Control tradition, please tell us a little bit about yourself. Tell us about what are the main formative experiences you’ve had that brought you from where you were to where you are today.

JB: Well, I’m a Professor of Practice at the Fletcher School and that’s after having worked in law firms for about 35 years. But I did always have an interest in national and maritime security. I took a sabbatical and worked for the U.S. State Department in the area and I’d say the majority of my published articles were in the U.S. Naval Institute’s Proceedings, so moving towards maritime security and Law of the Sea as part of the courses I taught here was a pretty natural progression for me.

MM: I guess I’ll probably start the podcast off by mentioning the fact that you have a very robust library of maritime books. I’m curious, you’ve done maritime work but what got you interested in maritime law in the first place? Was it a personal experience or was it kind of discovering it by happenstance through your legal work or what brought you into maritime law?

JB: Well, of course a place like Fletcher been interested in international law and it’s interesting the way fashion works sometimes. The Law of the Sea, as we’ll talk later about the principal Convention, was adopted back in 1994. The course at Fletcher was taught for a while but then dropped out of the curriculum and the more I looked at the issues the more odd that seemed because the Law of the Sea, as embodied in the Law of the Sea Convention, is one of the most comprehensive pieces in international law that exists. And it covers obviously 90 percent of the planet and it raises all the classic issues of international law: how nations work together, how disputes are settled, how resources and rights are allocated, and it crystallizes all of those issues and we face the questions and disputes and developments every day. And so that led me to really want to focus on it in a systematic way. And, of course, here at the school of the international relations, it was a great venue to be able to apply the law to a very rapidly developing set of global situations.

MM: Let’s talk then about the historical underpinnings that have led us to where we are now before we get too far into the current issues. So, the Law of the Sea: tell us a little bit about it. What is it? You talked a little bit about its effects but what is it functionally at its core, why does it exist, what’s the history behind it, and how did it come to be?

JB: To summarize concisely, for the Law of the Sea, one of the reasons that it’s so interesting is that it’s both very old and it’s newest today. When nations began trading, gradually maritime custom and maritime law developed governing those relationships and by the 17th century, international legal thinkers were beginning to think about the ocean as a separate legal space that was not owned by any nation or controlled by any nation, but was a common; shared for commerce and navigation among the world’s nations. And that concept has evolved as part of customary international law for centuries.

After the second World War, in a more complicated world in some ways, with increasing numbers of nation states and  technology permitting greater exploitation of oceanic resources, nations began to focus on that system of customary law and whether it should be embodied in a treaty or treaties. And back in 1958, under UN auspices, preliminary group of treaties was adopted, but the scope was limited. And that led to a desire to address, on a comprehensive basis, the issues of Law of the Sea.

Over 10 years, dozens of nations in a conference of Law of the Sea worked to evolve what has become today, the Law of the Sea Convention: a treaty regarding the Law of the Sea, which became effective in 1994. And it is very, very detailed and very broad in its scope. It did several revolutionary things. It defined on a systematic basis a series of maritime zones; parts of the ocean over which states had different rights. And particularly, introduced the concept that we can spend a few more minutes on later, of an Exclusive Economic Zone, the right of coastal states to exploit the living and nonliving resources of the adjacent waters out to 200 nautical miles. It also crystallized in a written form the rights of maritime nations to freely navigate.

That idea that there is an element of the commons that is available for free navigation, the conduct of trade, the conduct of naval operations and at one level, the 1994 treaty of the UN Convention on the Law of the Sea is a great compromise that assures developed nations and maritime nations the traditional rights and access of navigation. And developing nations and others have the right to exploit neighboring living and nonliving resources in the sea. Of course, for some countries it’s both; the United States draws great value from its economic zones off its oceans in terms of fishing, mineral, petroleum, other resources and as the world’s leading naval power, it’s critical to the United States to be able to exercise the rights of navigation that are embodied in that treaty.

MM: Before we go into some of those areas and get into the specifics, I was wondering if you could tell us since many of us already know customary international laws but I’m sure there are some people out there that haven’t worked in international relations in the legal space, but walk us through what is customary international law and if that is a form of law, why then would there need to be a treaty and then a Convention to institutionalize that in paper?

JB: Customary international law is sets of practice that are adhered to by the international community as evidenced by state practice, what nations do, as evidenced by the supporting actions of international courts, the adjudication by these commentators, that isn’t written down in a law book, but which by reason of practice over the course of time and the acquiescence of the international community, takes on the nature of law and that is an historic element of international law and is relevant to the Law of the Sea to this day.

The issue with customary international law however is it’s neither comprehensive, things can develop technological enabling or security issues that the law hasn’t addressed before, and you can’t rely on the accumulation of custom to address. And its interpretation is limited in scope but comes up as academic commentators write articles, as courts interpret decisions and with somethings as complicated as the governance of the world seas, something more comprehensive, something that was more up to date in many respects was critical.

I’ll just throw one example and that relates to environmental issues. For protection of the oceanic environment for a variety of reasons, there was no substantial body of customary international law on that topic, and it could’ve taken decades or longer for it to evolve. And by then environmental issues in the 20th century to respect to the world’s oceans could be critical. So, one of the thing that treaty does is systematically set up a regime for addressing those questions. You can’t do that customary international law, you need a treaty.

MM: Let’s start going through the treaty then. You mentioned there’s a number of different areas, but you mentioned first and foremost the fact that the ocean is divided into different zones.

JB: Yes, that is correct.

MM: So, walk us through those zones, what are they, how are they determined, and what can states do in those different zones?

JB: I’m going to walk through it beginning close to land and heading out to sea. And in principal, the rights of a coastal state are highest, this makes sense, closest to land, and are more limited as you go out to sea. Internal waters which are the waters on the landward side of the low tide line are, sovereign territory; those waters are fully subject to the laws of the state, and if you’re on the Connecticut river, you’re under U.S. and Connecticut law as an internal water. But then, on the other side of that baseline, that’s created to determine the outer limit of internal waters, you’re in what’s called the territorial sea, the territorial sea has a breadth of up to 12 miles. States can define it, and most do, out to 12 miles and states, in essence, are sovereign over the territorial waters along their coast as well. They have the full ability to legislate and enforce their laws in those waters. Subject to one very important right that we can talk about later which is a right of innocent passage by third party states to traverse the waters, subject to limitation, but that’s it.

That’s really the only exception or limitation on the coastal states sovereignty. The next key zone is the one I described to you, the one that really was created under the Convention of the Law of the Sea and that is an Exclusive Economic Zone (EEZ). That goes out all the way to 200 miles and it says that the coastal states have the exclusive right in that zone to exploit the living and nonliving resources. The seabed, what’s under the seabed, petroleum, fish, mineral rights, but those otherwise are part of the high seas, they can’t restrict navigation in the way they can in territorial waters, and their rights are therefore limited as opposed to territorial waters.

Once you get beyond 200 miles, it is the high seas, a commons that the world continues to have rights to navigate in. Below the surface, after 200 miles, there may continue to be rights to exploit minerals, under the extended continental shelf. That continental shelf set of rights can extend depending on the geology, it’s a complicated equation of a coastal state, out beyond 200 miles but typically not beyond 350 miles as an outer limit. And beyond that the seabed again becomes part of the common. It’s open to exploitation by all nations, whether they have access to the coast, whether they are landlocked or not, under the separate regime established under the treaty.

MM: So, it’s pretty intuitive then in terms of the rights of different zones and how they’re allocated for large bodies of land, so say for example knowing how far the end of California is from 200 miles, that’s pretty easy.

JB: It is, yeah.

MM: But they’re also notions of a place where there’s a lot of other features, I guess is the technical terminology from there and I think one of my favorites from the Law of the Sea Convention is the difference between islands and rocks. So, I was wondering if you could walk us through the differences between those two features are and how they play into the Law of the Sea?

JB: Yeah, I’m always reminded of the old Simon and Garfunkel song, “I am a rock; I am an island,” but it’s actually a legal concept here, not a musical one, and the key point is that, as you described, if you’re along a continental coastline, it’s pretty intuitive, you get 12 miles and then you get 200 miles. It’s a small percentage relative to the size of the continent, but how do you treat an island? And an island is defined under the Convention as a body of land surrounded by water that’s above sea level at high tide, and it actually creates a territorial sea and an EEZ as well, so if you’re looking at the Florida Keys individual islands that remain above high tide, they have the potential to create, a territorial sea and an EEZ all on their own.

So, I’m going to indulge for a second if it’s okay in a little geometry, let’s say you’re in the middle of the Pacific and you’ve got an island that is a mile wide. Well, it can create a territorial sea and an exclusive economic zone. I’m not great at geometry but I think the area of the circle is πr squared. So, 200 miles and square it: 40,000 miles, multiplied by pi; a one-mile island can create a tens of thousands of square miles of exclusive economic rights. Interestingly enough, that would mean that the nation that has the largest EEZs is the United States because of the range of the islands principally that are United States territory in the Pacific. Surprisingly enough, the next one is France.

MM: France?

JB: To understand that, you need to go look at a map and go “oh yeah French Polynesia or the islands that France controls in the Indian sea, Indian Ocean rather.” And how did they get so big? Because of this leverage and the drafters of the Law of the Sea Convention, they kind of knew that, they said we have to safeguard the abuse of that status so only one kind of island gets those rights. There’s a subset of islands that we’re going to call rocks. And those are islands that can’t sustain human habitation or economic activity. They don’t have to be literally rocks; they could be a sand spit, they could be a coral reef, but if they lack the capacity to support human habitation in a meaningful way or meaningful economic activity, then they do not generate an EEZ. And it eliminates that ability to leverage, so dramatically, the territory of an island to an essence to create very, very significant and valuable oceanic zones. So, they thought of it, but it’s still an issue in today’s law.

MM: So, let’s talk about that a little bit, because obviously the incentive for a country that owns a rock, you know, if it’s not the size of Oahu which has Honolulu on it, but is kind of the cartoon depiction of sort of a person on a tiny deserted island with a palm tree on it.

JB: Yeah with the palm tree on it (laughs).

MM: But the incentive I’m sure for a country with that in order to gain those exclusive economic rights is to say, “oh well, that can sustain human habitation.” So, I was wondering how then is it determined whether a piece of land in the water is an island or a rock? You have this sort of the definitions, but how do you define then human habitation, well, human habitation is pretty easy, but economic activity seems to be kind of fuzzy?

JB: Well, actually both of them are a bit tricky and as typically happens, the treaty doesn’t give you a lengthy piece of guidance on how to do that. And many nations including the United States have, I’ll use the phrase, been liberal in their interpretation whether a feature is an island, for the reasons you described. But in the last year, last summer, an international tribunal on the South Seas, which adds South China Sea in particular, which we’ll talk about, looked at that question and provided some more detailed interpretation and it said a few things.

First of all, when we evaluate whether an island can sustain human habitation or economic life, we’re going to look at the island in its natural state, so for starters, if the Chinese or somebody else build a huge structure or transform the island, you can’t look at that, you have to go back historically, see what it looked like before human intervention transformed it. Secondly, you’re going to look at the ability to sustain human life without massive outside intervention. If you fly in lots of people, you fly in water, fly in food, it’s clear that those external interventions again aren’t the test, you have to look at what is there on the island. And interestingly enough, it doesn’t necessarily have to have a human population. The question is “is there water, are there resources to supply food whether its vegetation or animal or fish that could or does sustain a human population?” And not on a transitory basis, people coming through for two months a year to fish doesn’t count.

Secondly, in the tribunal they also took a hard look at what economic activity or life would mean, and underscored that it couldn’t be merely extractive. You know there are islands that were made of bird dung, guano, and in the 19th century, people would go and mine these islands, well that’s just extractive, that’s not economic life, there has to be some set of resources that would permit economic activity on an island, and that could be mining, it could be fishing, but it can’t simply be mining that cannot sustain and does not sustain a local population. That still raises lots of factual questions in every case, but it does make clear that an island has to be something more than just a palm tree and someone waiting for the ship to come, to qualify. And that’s going to have implications for nations like the U.S. and France and others who have significant island claims.

MM: So, we understand a bit about the zones, how they’re built, how they’re projected out, and some of the controversies surrounding this which we’ll get into the specifics in a bit, but to set up the ground work for everyone out there in our audience, tell us a little bit about what you alluded to earlier, about innocent passage and freedom of navigation. What is it, how does it function, and how does the Law of the Sea Convention define those different kinds of activities? What are the rules of the road?

JB: And those are critical elements because really the Law of the Sea is a balancing of interests of states, the coastal states want to control as much as possible, as far as possible and obviously maritime and commercial states wish to be able to conduct trade and activities without interference by coastal states, and those compromises are reflected in a couple of different concepts.

The first is the concept of innocent passage. As I mentioned a few minutes ago, the sovereign coastal state has a lot of power and authority in the territorial sea, subject to one exception and that is the vessels of third parties can traverse the territorial sea to make a transit or to enter into the ports of the coastal state under the doctrine of innocent passage. The coastal state cannot forbid that kind of transit or activity, and when you think about it that’s pretty critical to commerce, a cargo ship proceeding along the U.S. coast in order to trade in order to access U.S. ports in order to efficiently transit is going to enter territorial waters, and this right of innocent passage allows it to do so, but it’s a very limited right. The passage has to be continuous, it has to be expeditious, you can’t anchor off a coast for a week, absent an emergency set of circumstances, so it’s got that test, and it has a variety of other tests that are designed to assure that innocent passage isn’t exploited to take advantage of the coastal states’ resources or military security.

For example, you can’t fish on innocent passage, because that is in conflict with the rights of the coastal state. You can’t operate military systems, you can’t take on or land aircraft or launch aircraft. Submarines have to proceed on the surface which kind of spoils the whole purpose of being a submarine precisely to avoid provocative threats to the security and safety of the coastal state. So that’s the balance its achieved.

Transit rights relate to a very specific kind of territorial water, and that’s international straits. Straits of water that connect bodies of the high seas or economic zones and you could think of lots of examples: the Straits of Gibraltar, the Straits of Malacca, places which are narrow waterways, that would be the territorial waters of the contiguous states, but this special set of transit rights are granted. It’s rather like innocent passage, but because international straits are so critical to global security and commerce the rules are more relaxed.

I mentioned submarines couldn’t proceed on a submerged basis in innocent passage. They can in transit rights. The number of restrictions on activities in transit rights is much more limited than for innocent passage. And aircraft have transit rights as well as vessels in innocent passage, only surface vessels and submarines have that right. So, this is to the more liberal regime, which is a critical regime to assuring global access to those straits that are fundamental choke points in the conduct of global commerce.

MM: There’s also a concept inside the Law of the Sea called sovereign immunity.

JB: Yes.

MM: I was wondering if you – since that’s at least tangentially connected to innocent passage and freedom of navigation rules – walk us through what is sovereign immunity? What does that mean?

JB: Well, it’s more than in the Law of the Sea; it’s really more of a doctrine of international law that states will not conduct criminal or adversarial actions against other states. And when you think about it, it’s an element of comity and we won’t go on with France interfering with U.S. military aircraft and ships and France similarly does not want us doing the same with theirs. But its significant with the Law of the Sea in that many of the provisions in the Law of the Sea exempt vessels that are subject to sovereign immunity or aircraft that are subject to sovereign immunity. For instance, the anti-pollution provisions don’t apply to a U.S. warship or a French warship for that matter.

In innocent passage, it’s an interesting dynamic because it basically says that if a ship that has a right to sovereign immunity violates the ground rules for innocent passage, the coastal state has the right to take steps to ask it to cease the passage. What that means isn’t entirely clear, it is in fact very likely that there’s no right of force or coercive ability to force the sovereign immune vessel to change its course and conduct, so implicit of that is risk of standoff and certainly the rights against the sovereign immune vessels are more limited. And state interference with those kind of vessels is a very serious breach, not just of Law of the Sea but of international law, which was why when the Chinese picked up a drone operated by the U.S. vessel, which is subject to sovereign immunity, it was a U.S. government vessel although not a naval ship as such, that raises implications of a breach of sovereign immunity.

MM: So then let’s talk about some of the specific examples since you mentioned China, since that’s the one that probably most of the people out here are familiar with. Walk us through the South China Sea, why is the Law of the Sea a part of the disputes happening there? What does it say about the disputes that have been happening and how is it generally guided the developments that have happened in that region?

JB: Well, in some ways it’s a textbook example of the importance of the Law of the Sea because the South China Sea is fraught with conflict. There are small islands: the Spratlys, for instance, and the Paracels that are claimed by the multiple adjoining states. The claims with respect to economic zones and extended continental shelf create issues of overlap and conflict. And, this is in a region where suspicion and friction between the neighboring states is high, so the ground rules of the Law of the Sea are critically important element in helping to resolve the frictions that are embedded in the issues I just described to you. And one of the key elements has been the tension between the Chinese view of its rights with respect to the South China Sea and those of the adjoining states.

The international tribunal decision at the permanent court of arbitration in 2016 that I mentioned earlier, really arose out of that and some other related disputes, but the principal core was with respect to China’s view of its rights over the South China Sea. China has asserted that it has broad sovereign rights within an area defined by the so-called 9-dash line, and that expression comes from the fact that the map that originally included it had nine dashes, the number of dashes varies from time to time, that doesn’t matter. What does matter is that the line embraces the great majority of the South China Sea. It comes down close to Indonesia, Vietnam and to the Philippines. And the line conflicts with the Exclusive Economic Zones of those nations. China’s never defined precisely, and certainly not in the context of the Law of the Sea, what it means by the sovereign rights under the 9-dash line, but both verbally and in action, has asserted rights that would be in conflict with the Law of the Sea for instance, the access of Filipino fishers to living resources within the South China Sea has been restricted by the Chinese on the basis of the 9-dash line.The tendency of China to increasingly enforce or assert the 9-dash line was triggered when Vietnam and the Philippines began oil exploration in the South China Sea.

The tribunal took a hard look at the 9-dash line, and it unequivocally said that, this line which China asserts has its origins in ancient historic rights to the sea is in conflict with the Convention of the Law of the Sea and hence is legally of no effect. The tribunal said that when China signed the Convention, it gained great rights including to the EEZ around China that didn’t exist before, and in doing so, also lost any more vague and historic claims. And that was a very important decision both legally and geopolitically. It’s no question that legally it was the right decision. This kind of broad, inchoate historic right to great reaches of water doesn’t exist anywhere in the Law of the Sea. And in addition, it was a firm message that, from a political standpoint, China’s position was an overreaching assertion of sovereign rights, which is one of the reasons why the Chinese have so bitterly denounced the decision.

MM: So, let’s talk about the other end of this, since we’ve talked mostly about the economic rights, let’s talk about freedom of navigation in the South China Sea, because you mentioned the drone seizure, what then does the Law of the Sea say should be happening in the South China Sea and what is the position of China, how they’re acting, and how do they contrast with one another?

JB: Yes, the tribunal did not address that set of issues, but it has been an escalating and critical source of friction as well particularly although not exclusively between the U.S. and China. And it has two elements, the first relates to innocent passage. I’ve described that before, it’s the right for the continuous and expeditious crossing of territorial seas, innocent passage is available to warships as well as civilian vessels, but a certain number of nations including China have asserted that it’s necessary to provide notification and to obtain consent to conduct innocent passage. The U.S. position, which is consistent with the Convention, is that that consent is not required.

That war honestly has been more one of words than of action perhaps fortunately. The U.S. conducts what it calls freedom of navigation exercises from time to time to preserve those rights. It’s complicated in the South China Sea because those navigation exercises have sometimes been ambiguous, the U.S. has sailed within 12 miles of certain of these small maritime features and it’s been unclear whether the U.S. is in fact asserting innocent passage and conceding there’s a territorial sea around the feature, or is the U.S. asserting that there’s no territorial sea, and is simply a high seas transit right, and that ambiguity continues. China protests those exercises, we periodically conduct them, as I said the struggle has largely been one of words, but it is important and as a security matter for the United States, the assertion of the right of innocent passage within the South China Sea is very important.

The other and more broad question is, whether there are any limitations on the conduct of military surveillance, reconnaissance, or activities within China’s EEZ. And China also interprets its rights there very broadly. It asserts that the EEZ can only be used for peaceful purposes and that reconnaissance flights, this is beyond the 12 miles remember, it’s out beyond that zone, or military exercises are inconsistent with its interpretation of the Convention. And that has led to serious difficulties.

More than a decade now ago, there was a collision between a Chinese interceptor aircraft and a U.S. reconnaissance aircraft, the Chinese pilot was killed and his plane crashed, the U.S. aircraft was forced to land on an emergency basis on a Chinese airbase. And unfortunately, with the last couple of years, nothing that serious has occurred, but there have been recurring games, for the lack of a better word, of international chicken between Chinese interceptor aircraft and U.S. reconnaissance aircraft. And the risk of an incident there is real. And again, arises from the U.S. goal of assuring, particularly as a major power in the region and as a leading naval power, that its high seas rights are preserved. The erosion of that would be a serious blow to U.S. security interests, and China’s assertions that at least within the EEZ, conduct of that nature is not allowed of absent Chinese consent.

MM: So, lest our audience assume that basically every tension over the Law of the Sea somehow involves the United States and China or let’s be honest, sometimes just China and its neighbors, tell us a little bit about the United States and Canada and its disagreements on freedom of navigation.

JB: What could be friendlier than the United States and Canada? But things do happen when the issues are ones critical to open navigation to the principles of Law of the Sea and to access resources and that’s shown up between the United States and Canada on an abiding disagreement regarding the fabled Northwest Passage, the sea route through the Canadian island chain, that once upon a time explorers hoped led directly to El Dorado, but now with melting arctic ice may offer a way through the great circle route to significantly reduced transit time between the U.S. east coast and Asia. 

The Canadian position is that they are internal waters and if you recall, internal waters are equivalent to sovereign territory, there are no rights of third party nations and the rights abide exclusively with the coastal state. And in some ways, this has become a key psychological element to the Canadians, the Northwest Passage being truly part of the “Canadian north” or the “Canadian arcti”c, however you define it. The U.S. perspective is rather different. It is that the Northwest Passage is in fact an international strait, a way to connect two sets of high seas, and is subject to the transit rights available to third party nations under international law. And that therefore for example, a U.S. ship could proceed through the northwest passage without consent or notification, provided that it abided by the rules applicable to transit passage.

This disagreement remains more theoretical than real in the sense that traffic obviously through the Northwest Passage is limited. The two states have agreed to share information regarding such passages without the United States in anyway acknowledging that Canadian waters are internal and without Canada acknowledging in any fashion that the Northwest Passage is an international strait. And part of the disagreement turns on what an international strait mean. What does it mean to be used to permit passage between two sets of high seas or EEZs? Does “real use” constitute part of that definition? Because historically transit to the Northwest Passage relative to most other international straits has been very limited.

The U.S. view is that it can be used and it has been used whether or not it’s a large number of times and hence it’s a strait. The Canadian view is that that’s not the case because usage has been highly limited and doesn’t correspond to what has been historically associated with international straits. There are ironies to the position on both sides, I will note that it’s not entirely clear that it would be a geopolitical victory for the U.S. if it is an international strait, because for example, that means that Russian reconnaissance aircraft are free to fly down the straits under rights of transit. On the other hand, from the U..S standpoint, the principle at stake is critical because if there is any evolving body of law that erodes the definition of international straits, it’s a clear detriment to a leading maritime and a naval nation like the United States, so it does matter.

MM: So, the Canada issue and the strait versus internal water alludes to the fact that the ocean is changing and that as a result of the changes in the ocean, it is also then driving changes in the Law of the Sea, if not the law itself, but in terms of evolving issues that are coming up. So, besides the Canada strait versus internal waters issue, what other issues do you see coming down the pike for the Law of the Sea?

JB: Well, the issue you just alluded to is one of them. And as you also mentioned it goes well beyond the question of the northwest passage. As we’ve talked about before, the definition of the low tide line is a very important marker, one of the key ways, not the only way, but one of the key ways that the baselines from which the maritime zones are measured is defined. We had a discussion about the difference between a rock and an island.

Well imagine if as it seems to be the case, global sea levels are rising, there are currently islands that are a meter or two above sea level. Given another 50 or a 100 years, if current trends continue, that could fundamental impact on the definition of maritime zones. They may be retreating landward. There are islands which would disappear, eliminating EEZs, or territorial seas associated with those islands. And there’s no resolution today about whether the baseline should be frozen and the way the borders are defined today is embedded, at least for some period of time, or whether they’re ambulator: the legal word for walking around, whether they reflect adjustments in sea level. 

There are groups under the International Bar Association and U.N. auspices looking at it and it’s a real question. Let alone dealing with the broader question which is not purely a Law of the Sea question of what becomes of island states, small nations in the Pacific or the Indian Ocean, it’s not simply a question of maritime borders disappearing, but of a country disappearing. And what is the status of a country’s sovereignty and what happens to its population? So it’s a good thing that it isn’t going to happen in the next five years, because it’s going to take a lot longer to resolve issues of that depth and complexity.

MM:  So, as is Sea Control tradition since we’re approaching the end, please walk us through what it is that you’re reading right now. You obviously have a very interesting and diverse background in terms of you know your education. So, tell us a bit about what you’ve been reading lately, whether its Law of the Sea-related or maritime-related, even if it’s something fun you found online recently.

JB: Yeah, well I think I describe two things. One is kind of a pure Law of the Sea book, but it covers a bit different topics then we’ve been discussing but one that the audience might be interested in is and that is a book by Natalie Klein on maritime security and the Law of the Sea that talks about issues we really couldn’t talk about today, including piracy and weapons of mass destruction and issues of intersection of security issues and Law of the Sea. And I’ve also been reading a book on the Barbary pirates which is a kind of a classic set of questions that relates to the history of U.S. frigates but also these, some of these issues were present at the beginning of the United States, issues of control of piracy, freedom of navigation. If the Barbary pirates were anything, they were dedicated to limiting freedom of navigation and exploiting the sea in a way that was at odds with freedom of commerce and of security.

MM: Wonderful, well thank you very much again professor for being with us on Sea Control and best of luck with all of your work. And hopefully we’ll be able to welcome you back on again at some point in the future

JB: My pleasure, thanks a lot.

John A. Burgess is Professor of Practice and Executive Director of the LLM Program at Tufts University’s Fletcher School of Law and Diplomacy. He teaches courses on international finance transactions, international securities regulation and cross-border mergers and acquisitions.

Matthew Merighi is the Senior Producer of Sea Control and Assistant Director of Fletcher’s Maritime Studies Program.

The Med Migrant Crisis and Defend Europe

By Claude Berube and Chris Rawley

This summer while many European vacationers bask on sunny Mediterranean beaches, out in the water, hundreds of people are fighting for their lives while an increasingly more complex and robust collection of maritime non-government organizations (NGOs) (see Table 1) alternatively try to rescue them from drowning or send them back to Africa. The line between maritime human trafficking and a flow of refugees at sea has been blurred. In response to the ongoing migrant wave, the group Defend Europe recently raised enough money to charter a 422-ton ship, the C-Star, to convey a team of its activists to Libya. They arrived in the search-and-rescue zone off the Libyan coast on August 4-5. 

The authors understand the complexities of this situation in the central Mediterranean particularly with regard to strongly held political positions by both sides. We try not to take sides in political battles, especially as we sit on the board of directors of the Center for International Maritime Security (CIMSEC). Our interest is simply to discuss how organizations use the sea as a venue to proactively accomplish their own goals and deter their opponents’ goals. Our piece at War on the Rocks discusses the search-and-rescue NGOs and the approaching counter-NGO ship C-Star. As it has arrived on station off Libyan territorial waters, we spoke with Thorsten Schmidt, spokesman for Defend Europe.

What is the C-Star’s mission?  “We came to the conclusion,” Schmidt says, “to get activists who are independent and fair. We need to get our own ship to get people there and to observe the left-wing NGOs.” Schmidt contends that the media has been embedded with the NGOs and therefore have a bias in support of their work. When asked if C-Star had an embedded reporter or asked for a reporter from any media organization, he stated that they just wanted their own activists to report with cameras.

C-Star from the perspective of the vessel Aquarius on August 5 around 20 nm off the Libyan coast. (via Paco Anselmi/Twitter)

The search-and-rescue (SAR) NGOs have operated between Libya and Sicily for two years. When Defend Europe began to consider their own maritime mission, they were approached by the owner of a ship to charter. The ship was the C-Star (formerly the Suunta – a Djibouti-flagged floating armory in the Red Sea). The owner is Sven Tomas Egerstrom, formerly associated with the Cardiff-based Sea Marshals which he was terminated from on 26 March 2014. Although there have been some questions as to whether C-Star has armed guards aboard, it is unlikely. Schmidt told us that the ship had no weapons aboard. More practically, we assessed in our previous piece that Defend Europe does not have the funds to support a ship for an extended mission beyond two weeks as well as the more costly endeavor of an armed guard team. Ships transiting the Gulf of Aden will only pay armed guards for a few days. That is a function of both need and cost in higher-risk areas.

The ship was detained both as it transited the Suez Canal and when it pulled in to Famagusta, Cyprus. It is unknown what exactly happened. Several reports suggested the ship had false documents or was transporting foreign nationals to Europe. Schmidt states that in both cases the authorities found nothing on the ships.

Once on station, C-Star will spend a week in the company of search-and-rescue NGOs and on the lookout for both migrant boats and human traffickers. Their cameras will be their weapons. According to Schmidt, nine out of ten migrants using the sea do not migrate from war-torn countries as refugees. When they reach the Libyan coast, he says, human traffickers put them on gray rafts and enough food and fuel to get to the 12 nautical mile territorial limit of Libya where search-and-rescue NGOs then pick up the migrants and take them to Europe. The traffickers use smaller, high-speed boats to follow the rafts then, when the NGOs have rescued the migrants, the traffickers take the motors and return them to Libya. Schmidt notes that in some cases, the traffickers join the migrants so that they can establish networks in Sicily and beyond. Italian authorities in Lampedusa this week seized the Iuventa, owned by the SAR NGO Jugend Rettet, accusing them of aiding and abetting traffickers.

NGO Rescue Vessels off the Libyan Coast – 30 July 2017 (via MarineTraffic.com)

If C-Star encounters a migrant boat in distress, Schmidt says it will render assistance first by notifying the MRCC in Rome, and then bring them aboard. According to Schmidt, the ship has “hundreds of life vests.” When asked about how it might accommodate for potentially dozens of refugees from a boat in distress, he says “the ship is fully equipped with an extra amount of water and food. Of course there are several activists on board with medical aid skills.” Instead of taking the migrants to Sicily or other European ports, they intend to take the migrants to closer, non-European ports such as in Tunisia. It is unknown if they have secured the diplomatic agreements to make those transfers happen. Defend Europe argues that this makes sense since there are closer countries than Italy that aren’t unstable like Libya.

Defend Europe wants an end to human trafficking but, as Schmidt says, “we are just one ship and you can’t stop it with just one ship…We are an avant garde but need help.” Though they have an abbreviated mission this time, the $185,000 they have raised ensures that they will look to a second and third mission. Already, he says, two more ship owners have contacted them.

Table 1: NGO Rescue & Interdiction Vessels Operating in the Mediterranean

OrganizationVesselGross TonnageFlag
Jugend Rettet IUVENTA184 Netherlands
Lifeboat Project MindenUnk.Germany
MOASPhoenix483 Belize
MOASTopaz Responder1198Marshall Islands
MSFBourbon Argos2343Luxembourg
MSFDignity I648 Panama
MSFVos Prudence 2937Italy
Proactiva Open Arms AstralUnk.United Kingdom
Proactiva Open Arms Golfo Azzurro*350 Panama
Proactiva Open Arms Open Arms427 Spain
Save the ChildrenVos Hestia1678 Italy
Sea EyeSee-EyeUnk.Netherlands
Sea EyeSeefuchsUnk.Netherlands
Sea WatchSea Watch-2Unk.Netherlands
SOS MéditerranéeAquarius1812Gibraltar
Defend EuropeC-Star422Mongolia

Claude Berube teaches at the United States Naval Academy and is an officer in the Navy Reserve. He has published three non-fiction books and two novels. Follow him on Twitter @cgberube. Chris Rawley is a Navy Reserve surface warfare officer and entrepreneur. Follow him on Twitter @navaldrones. Rawley and Berube frequently write and speak on maritime organizations and both serve on the Board of Directors of CIMSEC. The views expressed are theirs alone and not of any organization with which they are affiliated.

Featured Image: A banner reading ‘Stop Human Trafficking’ attached to the side of the C-Star. (Angelos Tzortzinis/AFP)

A Thoroughly Efficient Navy for the 21st Century, Pt.1

By David Tier

America has grown weary of the post-9/11 wars. Long, drawn-out conflicts have worn down American resolve and left many defense officials nostalgic for “the good-old days” when adversaries were easier to describe and devoted military efforts toward preparing for conventional warfare. Seizing an opportunity, the U.S. Navy has capitalized on growing disillusionment and sought to exaggerate the military challenges posed by an ascendant China for parochial benefit in terms of gaining larger budgets and greater quantities of more expensive ships. The Navy should consider an external strategy review that accounts for efficiency as an aspect of its operating concept. This article reviews America’s current naval strategy and is divided into two parts. Part 1, below, analyzes U.S. naval defense strategy in light of 21st Century national defense threats. Part 2 will recommend changes to the Navy’s force structure to gain significant cost savings while still satisfying America’s naval defense requirements. 

Introduction

In 1987, William W. Kaufmann analyzed U.S. Navy force requirements and determined that the Navy sought to procure a force much larger than necessary to meet realistic Cold War-era force projection demands.His review dissected the Navy’s threat assessments and his work was used as a successful tool to stunt the Navy’s attempts at inducing greater budgets. Today, in much the same way as then, we see the Navy favor approaches like AirSea Battle and “sea-basing” that counter anti-access/area-denial strategies but are anchored in conventional warfare concepts that discount the less-sophisticated threats more likely to challenge our nation. The attention and resources diverted from chasing terrorists on land will almost surely have negative consequences for the U.S., while the challenge of using naval power to forcefully gain access into contested regions will likely not be necessary, or perhaps even suicidal if tried. Despite implications to the contrary of the Navy’s parochial interests, naval officers should advise America’s leaders that the danger of being denied military access to a theater of operation is manageable and that the threat of terrorism is the greater national security problem. To do otherwise puts American interests at greater risk. This article explores the Navy’s missions in the context of the current strategic environment, proposes adjustments to its missions to align with its national defense role, analyzes the number of platforms and capabilities required to counter projected threats, and recommends reallocating budget to reduce excessive capacity in the Navy’s force projection mission in favor of sustaining the Army and Marines’ counterinsurgency capability.

The Navy’s Missions

Throughout its nearly 70-year history, the Department of Defense has struggled to build a joint force portfolio that distributed resources in proportion to priorities established in the national defense strategy. However, intra-service politics often hampered efforts to cross-level in line with the strategy and each Service wound-up with nearly equal budgets instead. There have been a couple of noteworthy exceptions to this strategy-to-resources mismatch, however. The Eisenhower Administration’s policy of “massive retaliation” emphasized the role of nuclear forces over conventional, whereby the Air Force and Navy benefitted from budget increases at the expense of the Army. The Kennedy Administration reversed Eisenhower’s course with its “flexible response” policy, which sought to improve the Army’s ability to withstand a conventional attack in Europe as well as to develop counterinsurgency forces.

The military strategies that followed these policy changes gave birth to a principle that the U.S. should maintain capability to simultaneously fight at least two major regional wars. The U.S. maintained this defense strategy for decades and only recently sought to scale back. Still, not all was smooth sailing in the Defense Department, as defense analysts noted the need to curb budget waste that resulted from factors ranging from Congressional pork barrel projects to misplaced Service priorities. Kaufmann observed that the Navy had drifted off course in his 1987 analysis titled, A Thoroughly Efficient Navy.

At the time the Navy sought a 622-ship fleet cruising with 15 aircraft carriers, and submitted budget requests based on a vision articulated in 1986’s The Maritime Strategy. Overseen by then-Chief of Naval Operations Admiral James Watkins, the document went so far as to envision decisive warfare against the Soviet Navy called “Carrying the Fight to the Enemy,” which advocated using naval power to attack the flanks of the Soviet Union during the course of a potential war.2 The Maritime Strategy persuaded defense planners of the need for a large Navy to accomplish this end.3 Although the Navy advertised its conclusions to justify necessary means to accomplish assigned missions, outsiders viewed it as a parochial argument intended to gain force structure.

Kaufmann deconstructed the Navy’s approach and determined that a naval attack against the Soviet Union would incur losses that outweighed the value of the strikes, or might even be suicidal.4 In his analysis of the maritime threats, he observed an overstated stated need for aircraft carriers, and proposed force reductions that would have substantially curbed Navy carrier-building. 

Like The Maritime Strategy, the Navy’s 2015 A Cooperative Strategy for 21st Century Seapower is similarly off course. Section III of the document, titled “Seapower in Support of National Security,” overstates the need to achieve “all domain access” and to project power. It conditions the reader to expect that inflated anti-access threats imply that the most prudent solution is to apply brute force of naval power. One must examine the Navy’s purpose and missions within the context of today’s strategic security environment to establish a baseline for more reasonable Navy force requirements.

Notwithstanding the national defense strategy’s pivot to the Asia-Pacific, the Navy’s enduring missions in priority sequence are:

1. Protect the U.S. and deter enemy attack, particularly from seaborne threats
2. Secure economic sea lines of communication (SLOCs) to support national livelihood
3. Deny an adversary the use of the sea for military advantage
4. Secure military SLOCs to ensure access to distant theaters of operation, and enable military transport vessels safe transit to discharge their matériel in support of joint operations inland from the sea
5. Project forces that can attack adversary interests on land in support of other combat operations

Some may argue that these missions omit important tasks that the Navy is required to perform and others may argue that they are incorrectly prioritized. However, these arguments do not hold water. Although there is no mission listed above to provide “presence,” humanitarian assistance and disaster relief, or establish maritime superiority, these missions can be accomplished with the same assets needed for the other missions described, or otherwise derived from a combination of them. Forces conducting the first mission could assist humanitarian relief efforts and, in effect, the second, third, and fourth missions combine to describe graduating levels of sea superiority. No further forces would be necessary to accomplish these other missions. A close examination of the five listed missions can help identify and determine the capabilities required of America’s Navy.

Reconsidering Threats and Missions

First, protecting the nation from attack is the purview of all armed forces. Military threats to the U.S. are the primary reason America should procure military capability. Naturally, the Navy’s portion of this mission should focus on seaborne threats and, to an extent overlapping with the Air Force, threats overflying the sea. The primary maritime military threat to the United States today is the threat of ballistic missile submarines operating within firing range of American shores. There is no real threat of an amphibious attack against the U.S. There is also no serious threat of any enemy carrier or surface strike group threatening American territory, nor will there be any in the foreseeable future. The threat of submarine-launched missiles however, particularly nuclear ballistic missiles, should be the number one priority for the Navy to defeat. Therefore, the capability to detect, track, and destroy “boomers,” and even intercepting their missiles, should be the Navy’s primary focus. This places a premium on anti-submarine warfare (ASW) platforms such as long-range patrol aircraft, attack submarines, ASW helicopter-equipped surface action groups, and ballistic missile defense systems such as Aegis-equipped ships. Although fixed-wing ASW aircraft aboard an aircraft carrier also perform well in this role, aircraft carriers are not optimally employed in ASW and are an inefficient means to address this threat. Likewise, nuclear deterrence through deployment of U.S. ballistic missile submarines is an important capability for the Navy to maintain as part of the strategic deterrence triad. In conjunction with the other legs, it helps discourage enemy attacks against the U.S. by providing a credible second-strike threat.

Second, securing SLOCs to enable global maritime traffic and foiling an enemy’s attempt to blockade the U.S. is a vital maritime mission that ensures the nation’s way of life can continue despite attempts to wage war against it. This mission does not include protecting traffic in or through an active theater of war, but requires a capability for the Navy to establish safe lanes of transit from the territorial waters of the U.S. to the territorial waters of major international shipping ports around the globe. The primary military threat that sea-going commercial traffic might encounter would be attack submarines, although land-based long-range attack aircraft, and, to a lesser extent, surface groups or small water craft, could pose a threat. Accordingly, these threats require the Navy to maintain a transoceanic ASW capability, defensive anti-air warfare (AAW) capability, and the capability to defend against smaller surface threats. These are largely the same capabilities required in the first mission above, and greater numbers of the same types of assets can effectively be used for this second purpose. 

The third mission for the Navy is to deny, or at least inhibit, enemy use of the sea for military advantage. An enemy must not be able to outflank land forces using maritime maneuver. This is where the need for sea-based fixed-wing attack and air-intercept aircraft makes their first appearance, as the Navy needs a limited strike and air combat capability to prevent an enemy from gaining localized sea control. America’s potential adversaries, however, do not furnish a strong blue-water capability that threatens to overturn the Navy’s long-established control of the sea. Even the most vaunted projected maritime threat, the People’s Liberation Army Navy of China (PLAN), will possibly field three aircraft carriers in the coming years, 85 ocean-going surface combatants, and nine nuclear-powered attack submarines.Although this may sound like a substantial challenge at first glance, a closer look assuages concern about blue water contests with the Navy. In a potential war against the U.S., the PLAN would not survive beyond the reach of land-based air cover since the Navy’s attack submarines would almost assuredly destroy their task forces on the open seas, and even be a significant threat for PLAN forces in their home waters. Furthermore, the Air Force’s long-range bombers would severely hamper Chinese maritime freedom of maneuver outside of the East and South China Seas. Therefore, only a few cruise missile-equipped ships, and possibly a single aircraft carrier with multi-role fixed-wing aircraft would be necessary to accomplish this third mission per theater of war. Even the amphibious assault ship-based U.S. Marine Corps attack aircraft may sufficiently address this role. A joint task force of attack submarines, amphibious assault ships, and Air Force strike aircraft could fulfill this task, thus lessening the demand for supercarriers. 

The fourth mission for the Navy is to secure SLOCs into a theater of war, which necessitates a stronger offensive capability. This mission includes the possibility of forcefully gaining access to contested theaters and, combined with the second and third, accounts for the Navy’s desired capability of sea control as articulated in the Navy’s vision statement, A Cooperative Strategy for 21st Century Seapower.6 The AirSea Battle concept envisions the most challenging aspect of this fourth mission. AirSea Battle considers a worst-case scenario where the Navy must escort military transports into the full weight of sophisticated enemy defenses—within ample range of the enemy’s inventory of attack aircraft, cruise missiles, attack submarines, and mines. However, there are only a few locations in the world where Navy forces would have to confront this most challenging task by themselves, and only one current location where this is even conceivable: the South China Sea. Regardless, even the worst-case scenario there would probably require no more naval forces than required during Operation Desert Storm or in the opening phase of Operation Iraqi Freedom where the Navy deployed six aircraft carriers in each instance.7 Although this may seemingly vindicate the Navy’s need to maintain a double-digit number of carriers, we must be realistic about the threat faced. Admittedly, the challenge to escort convoys would substantially increase as task forces approached theaters of war but the chance that regional partners would not allow greater basing access assumed in some studies is overly pessimistic. This, combined with the low likelihood that a severe South China Sea problem would actually occur, reduces the challenges posed.

From a different perspective, consider more pessimistic accounts such that there were no bases in the region from which American forces could launch attacks, no allies contributing meaningful forces to assist the cause, and an enemy force that actually developed into the great adversary it is predicted to become. Were six carriers required in both wars against Iraq that sought to eject entrenched forces from an occupied country or force regime change as the 1991 and 2003 military missions respectively, or was that overkill? Couldn’t four carriers have accomplished the more limited objective of simply “gaining access” to that theater?  Self-serving parochial aspects aside, the Navy should recognize that overselling the capability to execute a highly-contested South China Sea mission under the worst circumstances promises to divert resources that could be employed against other, more likely threats, such as transnational terrorism.

The Navy has encountered difficulties persuading defense planners of the full narrative for its fifth mission—power projection—since the end of the Cold War. The Navy should indeed maintain a capability to project power into distant theaters of operation since there is great value in an ability to assail an enemy in as many ways as possible. The main problem with the Navy’s approach, however, is that it single-mindedly envisions large carrier strike groups for this role. Carrier strike groups should, at best, only be one part of a comprehensive package that could be accomplished by guided missile-capable attack submarines alone or with surface combatants, and possibly to a greater degree, by long-range bombers and tactical aircraft controlled by the Air Force. This is a joint, overlapping mission set. Because the power projection argument has lost favor in recent years, the Navy has sought a different narrative to justify its service size. Hence, the AirSea Battle concept was born.

Conclusion

This examination has identified, prioritized, and placed limiting stipulations on five core missions the Navy must accomplish. Next, an examination of the Navy’s present forces it has to carry out these missions, particularly its aircraft carriers, will help determine if there is excess capability it could reduce in favor of other national defense interests. 

David Tier is a Lieutenant Colonel in the U.S. Army and serves as a strategic plans and policy officer. He holds a Master in Public Administration from the Harvard Kennedy School, has served three combat tours of duty in Iraq, served a tour of duty in the Pentagon, and has authored several articles. The views expressed here are those of the author and do not necessarily reflect the policy or position of the U.S. Government, Department of Defense, or any of their components.

References

1. William W. Kaufmann, A Thoroughly Efficient Navy (Washington, D.C.: The Brookings Institution, 1987), 123.

2. Admiral James D. Watkins, The Maritime Strategy, (Annapolis, MD.: US Naval Institute Proceedings Supplement, January 1986), 9-13; John B. Hattendorf, Ph.D., Peter M. Swartz and Eds., U.S. Naval Strategy in the 1980s, (Newport, R.I.:  Naval War College Press, 2008), 221.

3. Hattendorf, Swartz, and Eds., U.S. Naval Strategy in the 1980s, 204.

4. Kaufmann, A Thoroughly Efficient Navy, 102-104.

5. Kenji, Minemura, “China to start construction of 1st aircraft carriers next year,” The Asahi Shimbun, December 31, 2008, available online at http://web.archive.org/web/20090526192305/http://www.asahi.com/english/Herald-asahi/TKY200812310046.html, accessed on October 16, 2014.

6. Department of the Navy, A Cooperative Strategy for 21st Century Seapower, March 2015, 22.

7. U.S. Navy Captain (Ret.) Marty Erdossy, “Why Does The United States Only Have Eleven Aircraft Carriers?” Forbes.com, available online at http://www.forbes.com/sites/quora/2012/07/17/why-does-the-united-states-only-have-eleven-aircraft-carriers/, accessed on October 16, 2014.

Featured Image: PACIFIC OCEAN (May 3, 2017) Sailors aboard the aircraft carrier USS Theodore Roosevelt (CVN 71) observe the guided-missile destroyers USS Sampson (DDG 102), USS Halsey (DDG 97), USS Preble (DDG 86) and guided-missile cruiser USS Bunker Hill (CG 52) during a Group Sail training unit exercise with the Theodore Roosevelt Carrier Strike Group. (U.S. Navy Photo by Mass Communication Specialist 3rd Class Spencer Roberts/Released)