Category Archives: Capability Analysis

Analyzing Specific Naval and Maritime Platforms

Legitimacy at Sea: Is Sea Shepherd a Navy or Piracy?

By Joshua Tallis

A recent pair of dueling articles on CIMSEC sparked a firestorm of debate. The point of contention: does the Sea Shepherd Conservation Society’s (SSCS) fleet of whaler-chasing ships constituted a navy? The conversation was lively, informed, and freewheeling, bouncing from historical examples of British privateers to modern day terrorists in a bid to pin down a surprisingly elusive understanding of a navy’s central organizing principle. Interspersed throughout this debate is a conversation on legitimacy and how it relates to defining a navy. Legitimacy touches on nearly every component of the arguments put forth by both the Affirmative and Negative articles. It is my belief that the resolution to this debate lies, in large part, on how we interpret such a loaded word.

Legitimacy and the State

When we are talking about legitimacy in the realm of politics and violence, the most fundamental question in international relations is who has the monopoly over the legitimate use of force (a la Max Weber). In the Westphalian system (which, despite news of its untimely demise, is still very much in force), only the state has the right to exercise violence. Legitimacy, violence, and the state are inexorably intertwined. And, as the Negative article points out, violence is truly at the center of this debate. Navies fight; an organization that is not coercive in nature could not even make the prima facie case for being a navy.

As a consequence of this nearly 400 year old understanding of sovereign legitimacy, very few would argue that a non-state body has the legitimacy to exercise violence. Even the nations that allow Sea Shepherd to operate from their ports, as the Affirmative article notes does happen, would never permit the organization to roguishly harass, ram, or board ships in their territorial waters. In the more extreme instances where a state authorizes Sea Shepherd’s involvement in kinetic maritime security operations (as detailed in the comments by Captain Paul Watson, ostensibly the actual founder of Sea Shepherd), the very sanctioning of the use of violence by the state reinforces the argument that only the state has the authority to legitimately employ force.

The associated argument that some states do not de jure recognize countries like Israel or Taiwan, and thus defining a navy need not be tied to a nation’s legitimacy, is creative but erroneous. Such a claim obfuscates the reality of their universal de facto recognition as sovereign states around the world, despite occasional political fictions maintained for domestic expediency.

More to the point, legitimacy is granted as much (if not more) by domestic consent than external validation. Under this interpretation, we could more reasonably debate the merits of regarding something like Hezbollah’s maritime components as a Navy, since the group has some internal validity and some external recognition. Of course, labels like paramilitary or terrorist organization are more appropriate even in that instance, as the group’s position as a sub-state entity clearly invalidates the notion that it has a monopoly over the legitimate use of force.

Legitimacy and Semantics

This question of legitimacy also bears on the historical point brought up by the Affirmative article of eighteenth century privateers. Putting aside that contemporary, professional navies would have been unlikely to regard licensed privateers as peers (despite the quite genuine might of the latter), the fundamental point that the sovereign granted letters of marque to deputize privateer fleets again underscores the notion that legitimacy for violence stems from the authority of the state.

This last point informs an argument in the Negative article that a military is differentiated from non-state groups by the scale of the force it can exert. A navy, it argues, has warfighting capacity that exceeds the capability or intention of a non-state group like Sea Shepherd. Such an argument is semiotic, a way of understanding something through comparison to known others. The problem, however, is that a semiotic (and not theoretical) definition is vulnerable to false equivalencies. If a privateer fleet rivaled the local power of the Royal Navy, as some pirate bands did in the Golden Age of Piracy, a semiotic definition would backfire and elevate them to the status of a navy. Today, if a non-state actor (say a cartel) had the power to topple a small Caribbean nation, would the cartel be a military? Using the monopoly over the legitimate use of violence as our yardstick, the answer is clearly no. This approach negates the need entirely to define navies by their fighting capacity (something small states will be happy to hear).

The MY Steve Irwin going up river through Tower Bridge London 12 September 2011. (Wikimedia Commons)
The MY Steve Irwin going up river through Tower Bridge London 12 September 2011. (Wikimedia Commons)

There are, of course, other important questions raised in this debate. Most centrally, why does a fleet have to be a navy? If we already have a word to describe a collection of ships, is it valuable to take a concept like navy (however nebulous, at least you ‘know it when you see it’) and widen its use so far you risk entirely deflating it? The answer may well be yes, but it needs defending. Lexicons, even if somewhat amorphous, have inherent value. The Affirmative’s argument about a post ­Westphalian system is an admirable attempt to define the need for that new lexicon, though one I find highly premature (and I staked a dissertation on elevating the significance of non­state actors).

Defining Piracy

Finally, if (as I have argued) Sea Shepherd cannot be regarded as a navy because its use of violence is either illegitimate or state­sanctioned, a follow on question emerges: is Sea Shepherd piracy? The answer, like the former debate, is far from clear. The United Nations Convention on the Law of the Sea (UNCLOS) defines piracy as “any illegal acts of violence or detention, or any act of depredation, committed for private ends by the crew or the passengers of a private ship or a private aircraft…” UNCLOS has, in the past, come under fire for separating piracy and armed robbery at sea by drawing an artificial distinction between acts of predation within or without territorial seas. As a consequence, many bodies (including the UN Security Council) prefer some version of the International Maritime Bureau’s definition, which is less territorially focused and more functional. According to the IMB, piracy is “an act of boarding or attempting to board any ship with the apparent intent to commit theft or any other crime and with the apparent intent or capability to use force in the furtherance of that act.”

East Indiaman Kent battling Confiance, a privateer vessel commanded by French corsair Robert Surcouf in October 1800, as depicted in a painting by Ambroise Louis Garneray. (Wikimedia Commons)
East Indiaman Kent battling Confiance, a privateer vessel commanded by French corsair Robert Surcouf in October 1800, as depicted in a painting by Ambroise Louis Garneray. (Wikimedia Commons)

The problem, here, with either of these two most common definitions (legal or de facto) is that Sea Shepherd clearly employs coercion or force for political ends, not personal or private ends. Political ends are not a component of these definitions. One option, of course, is to argue that there exists an even greater need for a change in the lexicon on piracy than on navies.

Refining Piracy

Pirates the world over operate for a mixture of both private economic and broader political objectives. Pirates off Nigeria steal oil not only for financial gain, but to help fund political agendas as well (piracy typically peaks near elections in Nigeria). Pirates in Somalia hijack ships for astounding ransoms. They also cloak themselves in narratives of defending territorial waters against the predations of multinationals depleting fishing stocks and dumping toxic chemicals. Even the privateers of old, who often morphed into pirates themselves, attempted to form politically independent units in the Bahamas or Madagascar and fought in part to defend this short lived independence from the British or French monarchies. Jacobite-leaning pirates in the Caribbean even considered trying to help reinstate the Stuart line.

Instead of revolutionizing the use of the term navy, therefore, might we instead simply apply the term piracy as it conforms to its historical character, inclusive of both private and political ends?

Conclusion

Sea Shepherd’s fleet does engage in maritime violence and coercive acts. This was a prima facie requirement for even debating its eligibility as a navy. As Captain Watson noted in the comments of the original article, “Since Sea Shepherd was established in 1977 we have rammed more ships, sunk more ships, boarded more ships and blockaded more harbours than most of the world’s Navies.”

Without commenting on the ethics of Sea Shepherd, the organization’s coercive actions are clearly illegitimate in the current international system. Consequently, Sea Shepherd might fit far better into an updated definition of piracy than of navy. Such a definition, which conforms to piracy as it has been practiced for centuries, recognizes not only the pursuit of private wealth, but also the role of pirates’ political agendas—even if those pirates are fighting for ocean conservation.

Joshua Tallis is a Research Analyst at CNA Corporation, a nonprofit research and analysis organization located in Arlington, VA. He completed his PhD in International Relations at the University of St Andrews’ Centre for the Study of Terrorism and Political Violence. The views and opinions in this article are his own and do not necessarily represent the position of his employer.

Featured Image: Sea Shepherd ship MV Gojira, presently the MV Brigitte Bardot. (Sea Shepherd photo)

Rotary-Wing Aviation in the Royal Canadian Navy

By Matthew Gamble

A key part of any modern navy is its rotary-wing component. The capabilities that helicopters bring to naval operations are essential in the context of modern warfare, and many large navies around the world boast impressive fleets of shipborne rotary-wing aircraft. Smaller navies, however, need to make due with much less, and there is perhaps no better example of a small navy employing its limited rotary-wing assets to the fullest extent as the Royal Canadian Navy (RCN).

Serving with the RCN for over 50 years, the Sikorsky CH-124 Sea King has been the backbone of the navy’s deck based rotary-wing aviation. Based on the American-designed Sikorsky SH-3, the CH-124 was introduced in 1963 to augment the anti-submarine warfare (ASW) abilities of RCN vessels in response to the growing threat of increasingly capable Soviet nuclear submarines. Since then, the aircraft has proven its versatility by filling capability gaps in the sometimes cash-strapped Royal Canadian Navy by conducting search and rescue operations, disaster relief missions, and even patrols to monitor water pollution. Given the smaller size of Canadian naval vassals, the RCN found the Sea King’s fold-up rotor and tail to be particularly useful as this allowed the aircraft to be carried on the Iroquois-class destroyers and Halifax-class frigates. Likewise, the aircraft’s amphibious hull proved to be popular among its pilots, as it enabled the aircraft to conduct emergency “waterbird landings” if the need arises. Overall the Sea King became a jack-of-all-trades for the RCN, with the aircraft being one of the busiest in the whole of the Canadian Forces.

IS2005-2137a 31 July, 2005 Persian Gulf (Arabian Gulf) region Crewmembers from HMCS Winnipeg's helicopter detachment prepare a CH-124 Sea King for flight operations in the Gulf of Oman. The Canadian frigate is part of Operation ALTAIR, Canada's maritime contibution to the U.S.-led coalition campaign against terrorism mission known as Operation ENDURING FREEDOM. Photo: Sgt Frank Hudec, Canadian Forces Combat Camera Le 31 juillet 2005 Région Arabo-Persique Des membres de l’équipage du détachement d’hélicoptères du NCSM Winnipeg préparent un hélicoptère dans le but de participer à des opérations aériennes dans le golfe d’Oman. La frégate canadienne participe à l’opération Altair, la contribution maritime du Canada à la campagne dirigée par les É. U., menée par la coalition contre le terrorisme et connue sous le nom d’opération Enduring Freedom. Photo : Sgt Frank Hudec, Caméra de combat des Forces canadiennes. Image size = 9.86" x 5.34" 300 DPI 2960 x 1604 pixels
31 July, 2005 Persian Gulf (Arabian Gulf) region Crewmembers from HMCS Winnipeg’s helicopter detachment prepare a CH-124 Sea King for flight operations in the Gulf of Oman. (Photo: Sgt Frank Hudec, Canadian Forces Combat Camera)

Landing the Sea King on the deck of a small vessel in rough seas, however, still proved to be a significant challenge for the RCN. Nonetheless, an ingenious solution was devised in the early 1960’s by Canadian pilots of Experimental Squadron 10 (VX 10) based in Shearwater, Nova Scotia, with assistance from Fairey Aviation. What they developed was the world’s first Helicopter Hauldown and Rapid Securing Device (HHRSD), sometimes referred to as “beartrap.” To employ the retrieval device, a probe-tipped cable is lowered from the Sea King to the deck of the vessel upon which the aircraft is attempting to land. The ship’s crew then attaches the probe to a heavier cable and runs the assembly through the HHRSD. The cable is then winched back up and attached to the helicopter. Once secure, the pilot increases power and the cable synchronizes the helicopter’s movements with those of the ship. The pilot gradually decreases power and the frame of the beartrap steadily ‘reels in’ the helicopter until it touches down safely on the deck. In essence, the beartrap has allowed the RCN to conduct flight operations under even the most hostile weather conditions, and Sea Kings gained a respected reputation for continuing to fly during exercises and on joint-operations even when other NATO allies had suspended flight operations. To this day the beartrap stands as a significant Canadian contribution to deck-based rotary-wing operations, and the device was subsequently adopted by various navies around the world.

https://youtu.be/eoQC2hE_iU0

ASE Systems Off Helo Hauldown Landing of CH-124 Sea King aboard HMCS Charlottetown in July 2012 during OP ARTEMIS in the Gulf of Oman. (Steve Barnes via Youtube)

By 1986, the Canadian Department of National Defence (DND) began to seek a replacement for the now aging Sea Kings. Problems with the aircraft’s transmission raised concerns about its safety and continued viability among DND staff in Ottawa. Nevertheless, the aging Sea Kings remained in service and were even pressed into action in the Persian Gulf in 1990. Shortly after this successful deployment, the Canadian Progressive Conservative government led by Prime Minister Brian Mulroney signed a $4.4-billion-dollar contract with European Helicopter to replace the aging Sea Kings with a version of the AgustaWestland AW101 to be designated the CH-149 Cormorant in Canadian service. However, a year later, the newly elected Liberal government led by Jean Chretien cancelled the order and only a few Cormorants were accepted into service. It would be another ten years before the Liberal government would sign a contract procuring a new helicopter for deck-based operations. 

Following a competition to find a suitable replacement for the Sea King held by the DND in 2004, the Sikorsky H-92 Superhawk emerged victorious. Shortly thereafter, the Canadian Government announced plans to acquire 28 new Superhawks under the designation CH-148 Cyclone. The price tag of the deal was a whopping $1.8 billion, a very significant sum for a Canadian defence expenditure. Deliveries were scheduled to start in 2009, but repeated delays due to development problems with the aircraft pushed the initial delivery of six helicopters back to June 2015. These delays caused significant political fallout as a number of government ministers publically criticized the program because of the setbacks. Nevertheless, the Canadian Government announced it was moving forward with the deal. Currently, a total of nine Cyclones have been delivered, finally allowing for the gradual retirement of the long-serving Sea Kings.

Although it lacks the amphibious capability of the Sea King, the Cyclone’s performance characteristics are vastly superior, and the new aircraft will greatly enhance the rotary-wing capabilities of RCN vessels. In addition to the latest avionics, the Cyclone is equipped with Integrated Mission and Sonobuoy Acoustic Processing Systems developed by General Dynamics Canada. Furthermore, the helicopter’s armament consists of two Mark-46 Mod V torpedoes mounted on BRU14 electro-mechanical ejector racks and door-mounted machine guns. The Cyclone’s airframe also incorporates protection from both lightning strikes and high-intensity radio frequency pulses. These characteristics make the CH-148 a very capable machine comparable to other modern deck-based rotorcrafts, such as the Eurocopter Panther and the NHIndustries NH90 NFH.

HS28-2016-0001-011 One of Canada's newly acquired CH-148 Cyclone helicopters practices landing procedures on HMCS Halifax off the coast of Nova Scotia on 27 January 2016. Photo: Ordinary Seaman Raymond Kwan, Formation Imaging Services, Halifax. HS28-2016-0001-011 Le nouvel hŽlicoptre CH-148 Cyclone, acquis rŽcemment par le Canada, pratique des manÏuvres dÕatterrissages sur le Navire canadien de Sa MajestŽ (NCSM) Halifax prs des c™tes de la Nouvelle ƒcosse le 27 janvier 2016. Photo : Matelot de 3e classe Raymond Kwan, Services dÕimagerie de la formation, Halifax.
One of Canada’s newly acquired CH-148 Cyclone helicopters practices landing procedures on HMCS Halifax off the coast of Nova Scotia on 27 January 2016.(Photo: Ordinary Seaman Raymond Kwan, Formation Imaging Services, Halifax)

In the future, rotary-wing aircraft stationed on Canadian vessels will face a variety of challenges. Chief among these is the evolving threat posed by increasingly sophisticated Chinese submarines. Therefore, the ASW capabilities of the Cyclone could ultimately prove indispensable to the RCN in future operations, especially in contested waters or in Canada’s vulnerable Pacific littoral areas. Similarly, as Canada pivots to take a more active role in the Arctic, the Cyclone will play a key role in that theater of operations as a countermeasure to the potential threat posed by surface or undersea incursions. In addition, the RCN is also increasingly called upon to assist in disaster relief operations where reliable helicopters often prove to be highly valuable. The Cyclone will certainly be called upon for search and rescue, as well as tactical transport.

Perhaps the greatest test the new helicopter will face will be to operate effectively in a low budget environment.Nevertheless, the Cyclone’s introduction into service signals a new era of enhanced safety and capabilities for rotary-wing operations in the Royal Canadian Navy, and the new aircraft will undoubtedly form the mainstay of this vital component for many years to come.

Matthew Gamble is an International Relations student at St. Thomas University, Fredericton, New Brunswick, Canada. His interests primarily focus on the foreign policy of Eurasian states, and new developments in warfighting capability.

Lessons and Activities of the Maritime Expeditionary Operations Conference 2016

By Clarissa Butler

During the third week of July, Naval Striking and Support Forces NATO (STRIKFORNATO), together with Combined Joint Operations from the Sea, Centre of Excellence (CJOS COE), hosted the bi-annual Maritime Expeditionary Operations Conference (MEOC) in Oeiras, Portugal. The timing of the conference was opportune – the Warsaw Summit was held the week before, reaffirming the Alliance’s three core tasks: collective defense, crisis management, and cooperative security. The MEOC was able to capitalize on a maritime theme and contribute to the Summit’s two key pillars: protecting citizens through modern deterrence and defense, and projecting stability beyond borders. 

The conference brought together over 170 representatives from NATO Command and Force structures, academia, and national military commands from Allied and Partner Nations. Over the two days, attendees listened to five panels evolving from current threat, application of maritime expeditionary warfare, exercises and training, and the role of maritime partnerships.

Each panel featured four distinguished Officers and/or Senior Executives and the highlight of the conference were three Keynote Speakers [i]: General Petr Pavel, CZE-A, Chairman of the Military Committee (MC), Admiral Michele Howard, USA-N, COM Allied Joint Forces Command Naples (JFCNP), and Admiral Manfred Nielson, DEU-N, Dep Supreme Allied Command Transformation (SACT).

The goals of MEOC 16 were to define the future role of Maritime Expeditionary Operations (MEO) and how the capability can best be delivered to contribute to assurance and adaption measures in the evolving geopolitical sphere in light of emerging security challenges faced by the Alliance. During the five panel discussions, three themes came to the forefront: sources of instability, importance of joint and combined training, and partnership inside and outside the Alliance.

Sources of Instability in the East

Day 1 was largely dedicated to the maritime element of NATO’s adaptation to the surrounding borders of the Alliance. Arguably, Russia maintains a competitive advantage over the Alliance through rapid decision-making, strong public support of military actions, and the use of operations in the perceived grey space below the threshold of war. Recent moves by Russia have tested NATO’s unity and the Alliance should pay particular attention to the Baltic and Black Sea regions. 

To counter this aggressive posture, the first panel recommended the Alliance adapt a posture of constraint and engagement while maintaining the moral high ground through transparency. Credible and visible deterrence can be achieved through intensified Maritime Expeditionary Operational exercises such as the recent BALTOPS exercise, in which 14 NATO nations participated along with partners Finland and Sweden. 

A presenter speaks before gathered leaders. (STRIKFORNATO)
A presenter speaks before gathered leaders. (STRIKFORNATO)

Both the Baltic and Black Sea regions require a tailored solution that takes into account regional diversity while providing a cooperative and inclusive approach. In particular, the Black Sea’s importance as a strategic crossroads and cradle of Russian aggression requires cooperation with as many nations as possible including partners Ukraine and Georgia. 

Sources of Instability in the South

Socioeconomic instability along the southern peripheries of the Alliance has caused mass migration and terrorist attacks to rise to an unprecedented level. The second panel focused on the effects of the deteriorating security situation in the Middle East and Africa and how the impact on NATO members will necessitate a review of NATO’s Area of Responsibility.

As evolving threats continue to put new pressures on resources and priorities, NATO cannot act unilaterally in the region; it must cooperate with regional partners such as the African Union and Arab League to provide support. In the context of Maritime Expeditionary Operations, NATO can best provide a supporting role in functions such as maritime domain awareness, freedom of navigation, and port security. However, in a relatively new strategic direction for the Alliance, NATO must commit to understanding the complex environment to the south prior to proposing specific means of engagement. 

Importance of Training

Day 2 focused on maritime exercises, training, and the role of maritime partnerships. NATO’s two primary maritime objectives are to deny use of the sea by adversaries and to deliver effects ashore. The former is an easily understood mission, but the latter includes multiple missions to include power projection, humanitarian assistance, noncombatant evacuation, and newer effects such as cyber warfare. In the event of invoking Article V, the most difficult situation for the Alliance at sea is operating Carrier Strike and Amphibious Tasking simultaneously with an appropriately agile and interoperable Command and Control Structure.

Attendants listen to a presenter. (STRIKFORNATO)
Attendants listen to a presenter. (STRIKFORNATO)

Without the historical context of a past Article V mission at sea, the Alliance is left to develop trust and interoperability through training and exercises. One senior official was quoted, “trust cannot be surged,” it must be developed over time with quality training opportunities. All but 10 out of the 25 Alliance navies have fewer days at sea than planned per year. Allied navies must increase the number of large scale, unscripted combined and joint exercises while maximizing return on investment for the time and money spent by individual nations. Integrating the maritime and land forces of allied countries will allow the Alliance to train how it will fight.

Partnership

Partners offer regional expertise and experience that NATO can leverage to execute the Alliance Maritime Strategy. For example, Sweden’s in depth understanding of operations in the littoral environment or Japan’s grasp of the shifting military balance in East Asia can benefit Alliance security. Each potential maritime partner will have a unique relationship with the Alliance, each with its own political guidance and tailored cooperative engagements.

Potential areas of cooperation with partners in the maritime domain include supporting rule of law, joint exercises, deeper intelligence sharing, capacity building, defense of sea lines of communications, joint capability development, and participation and training in NATO’s Centres of Excellence.

Ultimately, partnering with other nations will drive the Alliance to be globally aware, agile, and enable NATO Maritime Expeditionary Operations to face emerging threats within and beyond  the traditional NATO Area of Responsibility.

LT Clarissa Butler is an E-2C Naval Flight Officer who has deployed in support of Operation ENDURING FREEDOM. She is currently working at Combined Joint Operations from the Sea, Centre of Excellence.

[i] Key note speakers and panelists

  • General Petr Pavel, Chairman of the Military Committee
  • Admiral Michelle Howard, Commander, Joint Force Command Naples
  • Admiral Manfred Nielson, Deputy Commander, Allied Command Transformation
  • Ambassador Masafumi Ishii, Ambassador of Japan to Belgium and NATO
  • Ambassador Stefano Stefanini, Atlantic Council
  • Vice Admiral James Foggo, Commander, SFN
  • Vice Admiral Rainer Brinkmann, Vice Chief of German Navy
  • Vice Admiral Clive Johnstone CB CBE, Commander, NATO Allied Maritime Command
  • Vice Admiral Eric Chaperon, Commander of French Reaction Force
  • Vice Admiral Richard Breckenridge, DCOM USFFC & Director, CJOS COE
  • Major General Rob Magowan CBE, Commandant General, Royal Marines
  • Brigadier General Patrick Hermesmann, Commanding General, 4th Marine Logistics Group
  • Rear Admiral Alexandru Mirsu, Commander, Romanian Navy
  • Rear Admiral John Clink OBE, Commander, Flag Officer Sea Training
  • Rear Admiral Luis Carlos de Sousa Pereira, Commandant, Portuguese Marines
  • Rear Admiral Jens Nykvist, Chief of Staff of Royal Swedish Navy
  • Rear Admiral Peter Gumataotao, Deputy Chief of Staff, Allied Command Transformation
  • Rear Admiral Paddy McAlpine CBE, Deputy Commander, SFN
  • Commodore Kees-Boelema Robertus, Commander, Netherlands Maritime Forces
  • Commodore Phil Titterton OBE, Deputy Director, CJOS COE
  • Assis Malaquias, Africa Center for Strategic Studies
  • Professor Spyridon Litsas, University of Macedonia
  • James Bergeron, Chief Political Advisor, NATO Allied Maritime Command

Featured Image: Gathered leaders at MEOC 2016. (STRIKFORNATO)

Potential Chinese Anti-Ship Capabilities Between the First and Second Island Chains

The following article is part of our cross-posting partnership with Information Dissemination’s Jon Solomon. It is republished here with the author’s permission. Read it in its original form here.

By Jon Solomon

There was a pretty lively debate in the comments to Chris Mclachlan’s post last month about the Combat Logistics Force. No one took issue with his observations that the CLF might be undersized for sustaining high-tempo forward U.S. Navy operations in the event of a major Sino-American war. Nor did anyone contest his argument that our replenishment ships lack the basic self-defense capabilities their Cold War-era predecessors carried. Instead, the debate focused on Chris’s assertion that CLF ships ought to be escorted during wartime by a small trans-oceanic surface combatant possessing medium-range anti-air and anti-submarine capabilities.

Needless to say, I agree with Chris’s view. Such an escort would be a necessary part of the overall combined arms solution set to protecting not only CLF assets but also the shipping that would surge reinforcements and materiel to embattled U.S. allies in East Asia, provide steady logistical sustainment to the U.S. and allied forces deployed to or based in those countries, and maintain the flow of vital maritime commerce to and from those countries. One rarely sees any of these four critical tasks acknowledged in discussions within the security studies community. I believe that represents a dangerous analytical oversight, as an American failure to adequately protect its own and its allies’ sea lines of communications in a war with China would be strategically disastrous. In today’s post, I’m going to outline China’s ability to threaten these lines in a notional major war. On Thursday, I’ll outline how the U.S. and its allies might offset that threat.

Chinese Active Defense Layers (Office of Naval Intelligence graphic). Note that the range lines reflect where PLA aircraft and submarines might be expected to operate in wartime based on evidence to date. While PLA aircraft would be unlikely to fly further east from the second layer's line if U.S. and allied air coverage from bases along the Second Island Chain was strong, the same might not be true for PLAN SSNs. Also note that the maritime approaches to Luzon and the northern/central Ryukyus fall within the PLA's middle layer, and Taiwan and the southern Ryukyus within the inner layer.
Chinese Active Defense Layers (Office of Naval Intelligence graphic). Note that the range lines reflect where PLA aircraft and submarines might be expected to operate in wartime based on evidence to date. While PLA aircraft would be unlikely to fly further east from the second layer’s line if U.S. and allied air coverage from bases along the Second Island Chain was strong, the same might not be true for PLAN SSNs. Also note that the maritime approaches to Luzon and the northern/central Ryukyus fall within the PLA’s middle layer, and Taiwan and the southern Ryukyus within the inner layer.

Let’s first look at the strategic geography of the problem. The sea lanes in question pass through the waters between the First Island Chain and the line stretching from Hokkaido through the Bonins and Marianas to the Palaus (e.g,  the “Second Island Chain”). I’ve recently written about the PLAAF’s effective reach into the Western Pacific, and it’s been widely understood for years that late-generation PLAN submarines possess the technological capability to operate for several weeks in these waters before having to return to port. China would be hard-pressed to achieve localized sea control anywhere within this broad area; its own surface combatants and shipping would be just as vulnerable to attack. It wouldn’t need sea control, though, to achieve its probable campaign-level objectives of bogging down (or outright thwarting) an effective U.S. military response, or perhaps inflicting coercive economic pain upon one or more embattled American allies. The use of PLA submarines and strike aircraft to pressure U.S. and allied sea lines of communications would be entirely sufficient. And as Toshi Yoshihara and Martin Murphy point out in their article in the Summer ‘15Naval War College Review, these kinds of PLA operations would be consistent with the Mao-derived maritime strategic theory of “sabotage warfare at sea,” albeit at a much greater distance from China’s shores than the theory originally conceived. Such operations have been widely discussed in Chinese strategic literature over the past two decades.[i]

It bears noting that our East Asian treaty allies like Japan, South Korea, and the Philippines would have inherent roles and responsibilities defending their sea lines of communication. Nevertheless, they probably would not be able to fulfill the mission entirely on their own given their maritime forces’ sizes and capabilities. There would probably need to be a geographical line of responsibility similar to what the U.S. and Great Britain worked out in the Atlantic during the Second World War; shipping protection west of the line would primarily be the ally’s responsibility, and the U.S. would be primarily responsible for shipping protection east of the line. Even so, the U.S. would probably still need to contribute escorts and supporting forces to assist the ally in protecting sea lanes that were within some threshold distance of the Chinese mainland. Shipping protection in the approaches to the Ryukyus, Taiwan, or western Luzon particularly come to mind.

While it is true that U.S. and allied forces could probably pressure the PLA’s ability to push submarines and aircraft through the Ryukyus’ various straits or the Luzon Strait in a war, they would probably not be able to fully seal those doors—at least not during the conflict’s early phases. The biggest reason for this would be the straits’ sheer proximity to the Chinese mainland: PLAAF/PLAN fighters would be readily able to escort their strike aircraft brethren out into the Western Pacific and back, not to mention threaten any U.S. or allied anti-submarine aircraft or surface combatants patrolling the straits. Granted, Chinese fighters would be exposed to any sea-based and mobile land-based area air defense systems covering the straits and their approaches. They might also be confronted by U.S. or allied fighters operating from austere island bases in the vicinity of the straits, or from aircraft carriers or land bases located at various distances “over the horizon” to the east. U.S. and allied defenders could additionally use any number of countertargeting tactics to reduce their susceptibility to attack.

However, even if the PLA could not damage or destroy many of these forces per raid, it could still take actions that effectively suppressed the straits “guardians.” One tactic might be to salvo land-attack or anti-radar missiles to distract the defenders or induce them to keep their “heads down” shortly before or during a straits transit. Another might be to damage runways or austere airstrips as possible in order to constrain the defenders’ air operations; repairs could take precious hours. Electronic attacks and tactical deception could also be used to screen transiting PLA aircraft and submarines. Periodic PLA suppression raids would neither be small undertakings nor without risk to the forces performing them, but they might be sustainable on an as-needed operational tempo for several weeks or months at minimum.

The other factor that would make it impossible to hermetically seal the First Island Chain barrier would be the difficulty in maintaining persistent U.S. or allied submarine coverage in all of the requisite straits. The U.S. presently has thirty-one non-special-purpose SSNs stationed in the Pacific; three are homeported in Guam and twenty in Pearl Harbor. Only a small number would be deployed at sea within quick steaming of the straits, though, unless timely indications and warning of an impending crisis or conflict were received and then acted upon by U.S. leaders. The high-readiness Guam boats would be able to arrive on scene fairly rapidly once sortied, but it would take several more days for them to be reinforced by Pearl Harbor boats—not all of which might be immediately surgeable due to inter-deployment maintenance. Japan could surely contribute a number of its sixteen modern SSs in active service, but again not all of them might be surge-ready at any given time. And while the U.S. and Japanese fleets will be receiving additional boats over the coming decade, it will not be at a rate and scale that would dramatically change the straits coverage math. Hypothetical seabed-mounted sonar arrays in these straits or their approaches might help improve these odds by cueing available U.S. or allied submarines (or other anti-submarine forces) to a PLA submarine transit. The probability of a friendly submarine intercepting a PLA submarine detected this way, though, would depend upon the time between when the cue was broadcast and when it was received by the friendly sub, how the friendly sub’s effective sonar ranges in those waters affected its ability to redetect the trespasser, and whether the friendly sub could cover the distance from its starting point to have a chance at redetection before the cueing data “aged out.” More than one boat might be required to cover any particular strait with a certain margin of confidence; this would be especially true for the wider straits. Nor would anti-submarine patrols in the straits be the two sub fleets’ sole mission at the beginning of a major war: there would be equal if not greater demands for land-attack strikes, anti-submarine and anti-surface patrols inside the First Island Chain, anti-submarine patrols between the two island chain lines, special forces insertion/extraction, and far-forward intelligence/surveillance/reconnaissance. U.S. and Japanese submarine coverage of the straits simply could not be absolute.

It would be excellent if U.S. and allied forces could attrite the PLA forces making or supporting straits transits by a few percent each time without suffering equivalent attrition; the cumulative effects on the PLA’s overall warmaking capacity would be significant. But it would take weeks if not months for those effects to really show. That’s why the ability to logistically sustain the land-based forces waging the protracted frontline fight would be so crucial to U.S. war strategy. If the PLA were to inflict enough pressure on these logistical flows, the barrier defense would eventually wither on the vine.

It’s also important to remember that this imperfect barrier would only function in an open war—not during a crisis. Any PLAN submarines sortied prior to the outbreak of open hostilities could in theory patrol between the two island chain lines for campaign-significant amounts of time before having to hazard a trip back through the First Island Chain gauntlet. Modern PLAN SSNs like the Type 093 and its Type 095 follow-on would have an obvious endurance advantage over Air-Independent Propulsion (AIP) boats like the Type 041, but even the latter could probably remain underway for a few weeks before requiring a return to port. During that time, the mere fact that PLAN submarines were unlocated in the Western Pacific would undoubtedly affect U.S. operations (and tempo) in theater. The Royal Navy’s experience coping with a single unlocated Argentine submarine during the Falklands War is instructive on that point.

It would not take many PLAN submarines to generate such effects. For instance, let’s assume that the PLAN allocated its Type 041s, Type 093s, and Type 095s for war-opening operations between the two island chain lines while simultaneously holding its Type 035A/B/G, Type 039, and Kilo-class diesel-electric boats back for operations within the East and South China Seas. Let’s also assume China had its planned twenty Type 041s and five Type 093s in commission, plus perhaps five Type 095s as well, when a conflict erupted. Lastly, let’s assume that these boats’ material conditions of readiness were high enough to sortie two-thirds of them into the Western Pacific as the crisis phase peaked. Thirteen AIP boats and six SSNs might not seem like a lot within such a broad expanse. However, as Julian Corbett pointed out a century ago, the most “fertile” areas for hunting ships are “the terminals of departure and destination where trade tends to be crowded, and in a secondary degree the focal points where, owing to the conformation of the land, trade tends to converge.”[ii] If the PLAN followed Corbett’s logic, it might position its submarines in waters the U.S. and its allies would have to traverse to access (or break out of) selected major ports along the First Island Chain during the war’s first weeks. Or it might assign those duties to the Type 041s and deploy its SSNs in the waters just west of the Marianas that shipping from Guam, Hawaii, or the continental U.S. might seek to traverse. Or if the Chinese Ocean Surveillance System’s (COSS) coverage between the island chain lines remained adequate after the war started, China might try to steer its SSNs into mid-transit contact with U.S. or allied shipping.[iii] What’s more, the lingering effects of a PLA conventional first strike against major U.S. and Japanese bases in the Japanese home islands and Okinawa, subsequent PLA suppression operations against U.S. or allied straits-guarding forces along the Ryukyus-Luzon line, and in-theater U.S. and allied anti-submarine-capable forces’ sheer combat load prior to the arrival of reinforcements from the U.S. suggest that at least some PLAN submarines could complete at least one full cycle from their patrol areas to port for replenishment and then back into the Western Pacific before the “happy time” window began to close. This would especially be true for PLAN submarines patrolling the approaches to the Ryukyus, Taiwan, or Luzon.

Add the PLAAF/PLAN strike aircraft threat back into the mix and it should be apparent that U.S. and allied use of the Western Pacific’s surface between the two island chain lines would likely be opposed early in a notional war. The key variables driving China’s anti-shipping potential within these waters would be COSS’s ability to provide PLA aircraft and submarines with actionable targeting cues despite intense U.S. (and possibly allied) efforts to degrade and deceive this system-of-systems, the PLA’s ability to push those forces through contested First Island Chain straits when and where needed, and the operational range and endurance of those forces.

Jon Solomon is a Senior Systems and Technology Analyst at Systems Planning and Analysis, Inc. in Alexandria, VA. He can be reached at [email protected]. The views expressed herein are solely those of the author and are presented in his personal capacity on his own initiative. They do not reflect the official positions of Systems Planning and Analysis, Inc. and to the author’s knowledge do not reflect the policies or positions of the U.S. Department of Defense, any U.S. armed service, or any other U.S. Government agency. These views have not been coordinated with, and are not offered in the interest of, Systems Planning and Analysis, Inc. or any of its customers.

Featured Image: QINGDAO, CHINA – JULY 02: (CHINA OUT) CNS Harbin DDG-112 frigate fires a missile during live-fire drill on Yellow Sea on July 2, 2015 in Qingdao, Shandong Province of China. Naval vessels and soldiers mainly from China people’s Liberation Army Navy North Sea Fleet and part of soldiers of China people’s Liberation Army Navy East Sea Fleet, the Second Artillery Force of the PLA, Chinese PLA Shenyang Military Region and Chinese PLA Jinan Military Region attended the live-fire drill on Yellow Sea on Thursday. (Photo by VCG/VCG via Getty Images)