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A Cyber-Information Operations Offset Strategy for Countering the Surge of Chinese Power

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The following is a two-part series on how the U.S. might better utilize cyberspace and information operations as a Third Offset. Part I will evaluate current offset proposals and explores the strategic context. Part II will provide specific cyber/IO operations and lines of effort.

By Jake Bebber 

“It is better by noble boldness to run the risk of being subject to half of the evils we anticipate than to remain in cowardly listlessness for fear of what might happen.”

-Herodotus, The Histories

Introduction

In 2014, then Secretary of Defense Hagel established the Defense Innovation Initiative, better known as the Third Offset, which is charged with recommending ways to sustain American military superiority in the face of growing capabilities fielded by powers such as Russia and China.[i] The purpose of the Third Offset is to “pursue innovative ways to sustain and advance our military superiority” and to “find new and creative ways to sustain, and in some cases expand, our advantages even as we deal with more limited resources.” He pointed to recent historical challenges posed by the Soviets in the 1970’s which led to the development of “networked precision strike, stealth and surveillance for conventional forces.” Centrally-controlled, inefficient Soviet industries could not match the U.S. technological advantage, and their efforts to do so weakened the Soviet economy, contributing to its collapse.

Today, China represents the most significant long-term threat to America and will be the focus here. A number of leading organizations, both within and outside government, have put forward recommendations for a Third Offset. However, these strategies have sought to maintain or widen perceived U.S. advantages in military capabilities rather than target China’s critical vulnerabilities. More importantly, these strategies are predicated on merely affecting China’s decision calculus on whether to use force to achieve its strategic aims – i.e., centered around avoiding war between the U.S. and China. This misunderstands China’s approach and strategy. China seeks to win without fighting, so the real danger is not that America will find itself in a war with China, but that America will find itself the loser without a shot being fired. This paper proposes a Cyberspace-IO Offset strategy directly attacking China’s critical vulnerability: its domestic information control system. By challenging and ultimately holding at risk China’s information control infrastructure, the U.S. can effectively offset China’s advantages and preserve America’s status as the regional security guarantor in Asia.

All effective strategies target the adversary’s center of gravity (COG), or basis of power. “Offset strategies” are those options that are especially efficient because they target an adversary’s critical vulnerabilities, while building on U.S. strengths, to “offset” the opponent’s advantages. Ideally, such strategies are difficult for an adversary to counter because they are constrained by their political system and economy. Today, China’s COG is the Chinese Communist Party (CCP). The stability of this system depends greatly on the ability of the Chinese regime to control information both within China, and between China and the outside. Without this control, opposition groups, minority groups, and factions within the CCP itself could organize more effectively and would have greater situational awareness for taking action. Thus, information control is potentially a critical Chinese vulnerability. If the United States can target the ability of the Chinese regime to control information, it could gain an efficient means to offset Chinese power. This offset strategy, using cyberspace and other information operations (IO) capabilities, should aim to counter China during the critical window in the next ten to twenty years when Chinese economic and military power will surge, and then subside as demographic, economic and social factors limit its growth.

Targeting the CCP’s ability to control information can be considered a long-term IO campaign with options to operate across the spectrum of conflict: peacetime diplomacy and battlespace preparation; limited conflict; and, if deterrence fails, full-scale military operations. The goal is to ensure that PRC leaders believe that, as conflict escalates, they will increasingly lose their ability to control information within China and from outside, in part because the U.S. would be prepared to use more drastic measures to impede it.

This strategy is most efficient because it serves as an organizing concept for cyber options targeted against China that would otherwise be developed piecemeal. It could serve as a means to prioritize research and development, and better link military planning for cyberspace operations to public diplomacy, strategic communication, and economic policy initiatives. The nature of cyberspace operations makes it difficult to attribute actions back to the United States with certainty, unless we wish it to be known that the U.S. is conducting this activity. Finally, it provides an alternative array of responses that policy makers can use to offset growing Chinese power without immediate direct military confrontation.

Demographic, economic and social factors will combine to create a ceiling on Chinese power, ultimately causing it to enter a period of decline much sooner than it expects.[ii] These factors will stress the Communist Party’s ability to exclude economic, social and political participation of dissenters, and create further reliance by the Party on information control systems.

The Strategic Environment

The United States is a status quo power. It seeks to retain its position of dominance while realizing that relative to other powers, its position may rise or fall given the circumstances. It supports the post-World War II international order – a mix of international legal and liberal economic arrangements that promote free trade and the resolution of disputes through international organizations or diplomatic engagement when possible. The United States recognizes the growth of China, and that it will soon achieve “great power” status, if not already. It is most advantageous to the United States if the “rise” (or more correctly, return to great power status) of China occurs peacefully, and within the already established framework of international rules, norms, and standards.

There are two important considerations. First is the “singularity” of China with respect to its self-understanding and its role in the world. China views the last two centuries – a time when China was weak internally and under influence from foreign powers – as an aberration in the natural world order. Most Chinese consider their several thousand year history as the story of China occupying the center of the world with “a host of lesser states that imbibed Chinese culture and paid tribute to China’s greatness …” This is the natural order of things. In the West, it was common to refer to China as a “rising power,” but again, this misreads China’s history. China was almost always the dominant power in the Asia-Pacific, punctuated by short periods of turmoil. It just so happened that the birth and growth of the United States took place during one of those periods of Chinese weakness.[iii]

The strategic approach of China is markedly different, based on its concept of shi, or the “strategic configuration of power.” The Chinese “way of war” sees little difference in diplomacy, economics and trade, psychological warfare (or in today’s understanding, “information warfare”) and violent military confrontation. To paraphrase the well-known saying, the acme of strategy is to preserve and protect the vital interests of the state without having to resort to direct conflict while still achieving your strategic purpose. The goal is to build up such a dominant political and psychological position that the outcome becomes a foregone conclusion. This is in contrast to Western thought which emphasizes superior power at a decisive point.[iv]

To the American leadership, the “most dangerous” outcome of a competition with China would seem to be one that leads to war; hence the near-desperate desire to not undertake any action which might lead China down that path. Yet a better understanding of China suggests that it believes it can (and is) achieving its strategic purpose without having to resort to force. Its military buildup, use of economic trade agreements, diplomacy, and domestic social stability are creating the very political and psychological conditions where the use of force becomes unnecessary. China is quite content to remain in “Phase 0” with the United States, because it  believes it is winning there. Thus, the question for America is not “How do we maintain the status quo in Phase 0?” but “How do we win in Phase 0?” The most dangerous course of action is not war with China, but losing to China without a shot being fired.

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Figure 1. In 2015, China reorganized the PLA and created a new Cyber Warfare branch under its Strategic Support Force.

Current Offset Proposals

In response to the call for proposals, a number of initiatives and programs have been put forward by both the Department of Defense and leading national security think tanks. The underlying assumption of most of these proposals is that the United States has lost or is quickly losing its “first mover” advantage – such as that offered by the shift from unguided to guided munitions delivered from a position of stealth or sanctuary. In this regard, China represents a “pacing threat,” leading the way in developing its own guided weapons regime and the ability to deliver them asymmetrically against the United States.[v] In order to regain America’s military advantage, most recommendations follow along these lines:

  • Development and procurement of new platforms and technologies that leverage current perceived technological advantages over China in such areas as:
    • Unmanned autonomous systems;
    • Undersea warfare;
    • Extended-range and low-observable air operations;
    • Directed energy; and
    • Improved power systems and storage.
  • New approaches to forward basing, including hardening of infrastructure (both physical and communication networks), the use of denial and deception techniques and active defense;
  • Countering China’s threats to U.S. space-based surveillance and command and control systems;
  • Assisting allies and friends in the development of or exporting of new technologies that impose smaller-scale anti-access and area denial (A2/AD) costs on China; and
  • Reconstitute and reinvigorate Department of Defense “iterative, carefully adjudicated tabletop exercises and model-based campaign assessments.”[vi]

These approaches[vii] may have much to offer and are commendable, however they suffer from a glaring weakness: none target China’s center of gravity or critical vulnerabilities. They seek to leverage capabilities where the United States appears to enjoy an advantage, such as undersea warfare. For example, while it may be true that the People’s Liberation Army-Navy (PLAN) is not as proficient as the U.S. Navy (or some allies) in the undersea domain, it is also true that the Chinese regime is investing heavily to “close the gap” in these and other capabilities or is developing asymmetric alternatives. The United States will face a diminishing marginal utility as it attempts to maintain or widen the gap, especially in an era when China’s cyberspace-enabled information exploitation capabilities are extremely robust, and capable of transferring intellectual property back to China on a scale unimaginable in the Cold War.

More fundamentally, the offsets proposed are not guided by an overarching grand strategy that utilizes all elements of national power attacking key weaknesses and critical vulnerabilities in the Chinese regime, much in the same way that the Reagan Administration was able to do against the Soviets. Reagan’s policy and strategy represented a “sharp break from his predecessors,” eschewing containment in favor of attacking “the domestic sources of Soviet foreign behavior.”[viii] By recognizing the inherent weakness of the Soviet economic system, the new policy sought to leverage national military, political and economic tools to press the American advantage home, causing the Soviet system to collapse. This is not to suggest that the Chinese economic system suffers from the same malaise as their Soviet brethren did. Despite growing demographic, social and economic headwinds, it is unlikely that the United States can “bankrupt” the Chinese. However, China does have acute vulnerabilities – vulnerabilities which align with unique American advantages.

China’s Center of Gravity and Critical Vulnerabilities

None of the proposed previously mentioned offset lines of effort attempt to identify or target China’s COG. The center of gravity is defined by Milan Vego is “a source of massed strength – physical or moral – or a source of leverage whose serious degradation, dislocation, neutralization, or destruction would have the most decisive impact on the enemy’s or one’s own ability to accomplish a given political/military objective.”[ix] Joint military doctrine defines it as “The source of power that provides moral or physical strength, freedom of action, or will to act.”[x] The center of gravity concept is important to offset strategies because it enhances “the chance that one’s sources of power are used in the quickest and most effective way for accomplishing a given political/military objective.” It is the essence of “the proper application of the principles of objective, mass and economy of effort.”[xi]

Using an analytic construct designed by Vego, we note that any military situation encompasses a large number of both “physical and so-called abstract military and nonmilitary elements.” These are the “critical factors” that require attention and are deemed essential to the accomplishment of the objective, both of the adversary and ourselves. Not surprisingly, these factors encompass both critical strengths and critical weaknesses – both of which are essential. Critical vulnerabilities are “those elements of one’s military or nonmilitary sources of power open to enemy attack, control, leverage, or exploitation.” By attacking critical vulnerabilities, we ultimately attack the enemy center of gravity.[xii] The figure below shows notionally how China’s information control systems are a critical vulnerability (note that it is not all-encompassing).

Figure 2. Notional Center of Gravity Analysis[xiii].
Figure 2. Notional Center of Gravity Analysis[xiii].
According to Vego, it is generally agreed that for most authoritarian/totalitarian regimes, the dictator, central governing party or leadership committee is the strategic center of gravity. In the case of China, the CCP is the sole governing political party. The top leadership of the CCP is the Politburo Standing Committee (or Central Standing Committee), currently made up of seven members and led by General Secretary Xi Jinping. A number of factors permit the continued rule of the CCP, including a massive domestic security apparatus and the world’s largest military, a growing standard of living and state control over media and information available to its people. In many ways, the Chinese leadership have already conducted their own vulnerability analysis and concluded that the free flow of information represents the biggest threat to their power – we can see this in both their words and deeds. China spends more on domestic security than on its own military. The last officially reported figures from the PRC in 2013 show the military budget was approximately 740.6 billion yuan ($119 billion) while domestic security received 769.1 billion yuan ($121 billion).[xiv] Beginning in 2014, the PRC stopped reporting on domestic security spending.[xv] In 2015, the PRC announced an 11 percent increase in “public security” spending to 154.2 billion yuan, or $24.6 billion. However, the total amount spent on domestic security remains unreported, and is certainly much higher, since regional and provincial figures are not provided. The reported military spending was 886.9 billion yuan, approximately $139 billion.[xvi] Fourteen separate state ministries are charged with domestic censorship responsibilities, everything from traditional press and broadcast media to text messages on cell phones.[xvii] A form of self-censorship has been institutionalized with Chinese internet companies being required to sign a “Public Pledge on Self-Regulation and Professional Ethics for China Internet Industry.”[xviii] In short, China has already shown what it fears most and where it is most vulnerable – it has performed its own “COG analysis” and has identified information control as a critical requirement to maintain CCP dominance.

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Figure 3. In 2015, the U.S. and China met to discuss recent cyberspace issues.

A Cyberspace – IO Strategy

China’s regime identifies the free flow of information as an existential threat, and has erected a massive bureaucratic complex to censor and restrict free access to the nearly 618 million (and growing) Chinese internet uses (and 270 million social network users).[xix] However, the very nature of the Internet as a networked system makes censorship and restricted access difficult to maintain. As has been shown, China’s information control systems represent a critical vulnerability to their center of gravity. China’s network security is managed by a fragmented, disjointed system of “frequently overlapping and conflicting administrative bodies and managing organizations.”[xx]

China’s cyberspace operations and strategy are driven primarily by domestic concerns, with its central imperative being the preservation of Communist Party rule. Domestic security, economic growth and modernization, territorial integrity and the potential use of cyberspace for military operations define China’s understanding. Even its diplomatic and international policies are built around giving China maneuvering room to interpret international norms, rules and standards to serve domestic needs, principally through the primacy of state sovereignty. This creates a natural tension, as China must seek to balance economic growth and globalization with maintaining the Party’s firm grip on power. Not only is Internet usage controlled and censored, but it is also a tool for state propaganda.[xxi]

Chinese authorities use a number of techniques to control the flow of information. All internet traffic from the outside world must pass through one of three large computer centers in Beijing, Shanghai and Guangzhou – the so-called “Great Firewall of China.” Inbound traffic can be intercepted and compared to a regularly updated list of forbidden keywords and websites and the data blocked.[xxii] Common censorship tactics[xxiii] include:

  • Blocking access to specific Internet Protocol (IP) addresses;
  • Domain Name System (DNS) filtering and redirection, preventing the DNS from resolving or returning an incorrect IP address;
  • Uniform Resource Locator (URL) filtering, scanning the targeted website for keywords and blocking the site, regardless of the domain name;
  • Packet filtering, which terminates Transmission Control Protocol (TCP) transmission when a certain number of censored keywords are detected. This is especially useful against search engine requests.
  • “Man-in-the-Middle” attack, allowing a censor to monitor, alter or inject data into a communication channel;
  • TCP connection reset, disrupting the communication data link between two points;
  • Blocking of Virtual Private Network (VPN) connections; and
  • Network Enumeration, which initiates an unsolicited connection to computers (usually in the United States) for the purpose of blocking IP addresses. This is usually targeted against secure network systems or anonymity networks like “Tor.”

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Figure 4. Simplified Chinese Firewall Topology[xxiv].
China also heavily regulates and monitors Internet service providers, Internet cafes, and university bulletin board systems. It requires registration of websites and blogs, and has conducted a number of high profile arrests and crackdowns on both dissidents and Internet service providers. This “selective targeting” has created an “undercurrent of fear and promoted self-censorship.” The government employs thousands who monitor and censor Internet activity as well as promote CCP propaganda.[xxv]

China’s information control regime is vulnerable on a number of levels to a coordinated strategy that seeks to hold it at risk. From a technical standpoint, the distributed nature of the internet makes it inherently vulnerable, the “Great Firewall” notwithstanding. The techniques used to filter and block content have a number of workarounds available to the average person. For example, IP addresses that have been blocked may be accessed utilizing a proxy server – an intermediary server that allows the user to bypass computer filters. DNS filtering and redirection can be overcome by modifying the Host file or directly typing in the IP address (64.233.160.99) instead of the domain name (www.google.com). These are simple examples that a novice government censor can easily outwit, but the point remains.

China has long been rightfully accused of being a state-sponsor of cybercrime and theft of intellectual property. One negative consequence of this from China’s perspective is the high level of cybercrime within China “due in large part to rampant use and distribution of pirated technology” which creates vulnerabilities. It is estimated that 54.9 percent of computers in China are infected with viruses, and that 1,367 out of 2,714 government portals examined in 2013 “reported security loopholes.”[xxvi] China’s networks themselves, by virtue of their size and scope, represent a gaping vulnerability.

At the same time, China’s information control bureaucracy is especially unwieldy. This is an ideal target to exploit the seams and gaps both horizontally and vertically in their notoriously byzantine structure. The fourteen agencies that conduct internet monitoring and censorship operations must all compete for resources and the attention of policy makers, leading to organizational conflict and competition. Any strategy should exploit these fissures, complicating China’s ability to control information.

Part 2 will outline several lines of effort the U.S. might pursue to attack China’s critical vulnerabilities in its information control system. It will advance the notion that the full range of American power – overt, covert, diplomatic, economic, information and military – must be coordinated and managed at the national level to wage a successful information operations campaign. Based on America’s past success, the future may be brighter than it first appears. Read Part 2 here.

LT Robert “Jake” Bebber USN is a Cryptologic Warfare Officer assigned to United States Cyber Command. His previous assignments have included serving as an Information Operations officer in Afghanistan, Submarine Direct Support Officer and the Fleet Information Warfare Officer for the U.S. Seventh Fleet. He holds a Ph.D. in Public Policy from the University of Central Florida. His writing has appeared in Proceedings, Parameters, Orbis and elsewhere. He lives in Millersville, Maryland and is supported by his wife, Dana and their two sons, Vincent and Zachary. The views expressed here are his own and do not reflect those of the Department of Defense, Department of the Navy or U.S. Cyber Command. He welcomes your comments at [email protected].

[i] Charles Hagel. “The Defense Innovation Initiative .” Memorandum for Deputy Secretary of Defense. Washington, D.C.: Department of Defense, November 15, 2014.

[ii] Robert Bebber. “Countersurge: A Better Understanding of the Rise of China and the Goals of U.S. Policy in East Asia.” Orbis 59 no. 1 (2015): 49-61.

[iii] Kissinger, Henry. On China. (New York, NY: Penguin Books, 2012).

[iv] David Lai. “Learning from the Stones: A Go Approach to Mastering China’s Strategic Concept, Shi.” U.S. Army War College Strategic Studies Institute. May 1, 2004, accessed Decmeber 26, 2014. http://www.strategicstudiesinstitute.army.mil/pubs/display.cfm?pubID=378

[v] Shawn W. Brimley. “The Third Offset Strategy: Security America’s Military-Technical Advantage.” Testimony Before the House Armed Services Committee Subcommittee on Seapower and Projection Forces. Washington, D.C., December 2, 2014.

[vi] David.Ochmanek. “The Role of Maritime and Air Power in the DoD’s Third Offset Strategy.” Testimoney Before the House Armed Services Committee Subcommittee on Seapower and Projection Forces. Washington, D.C., December 2, 2014.

[vii] This list is certainly not exhaustive. For a more thorough review of the ones mentioned, see:. Brimley, Shawn W. “The Third Offset Strategy: Security America’s Military-Technical Advantage.” Testimony Before the House Armed Services Committee Subcommittee on Seapower and Projection Forces. Washington, D.C., December 2, 2014. Martinage, Robert. “Statement Before the House Armed Services Subcommittee on Seapower and Projection Forces on the Role of Maritime and Air Power in DoD’s Third Offset Strategy.” Testimony Before the House Armed Services Committee Subcommittee on Seapower and Projection Forces. Washington, D.C., December 2, 2014. Ochmanek, David. “The Role of Maritime and Air Power in the DoD’s Third Offset Strategy.” Testimoney Before the House Armed Services Committee Subcommittee on Seapower and Projection Forces. Washington, D.C., December 2, 2014.

[viii] Thomas G. Mahnken.”The Reagan Administration’s Strategy Toward the Soviet Union.” In Successful Strategies: Triumphing in War and Peace from Antiquity to the Present, by Williamson Murray and Richard Hart Sinnreich. Cambridge: Cambridge University Press, 2014.

[ix] Milan N. Vego. Joint Operational Warfare – Theory and Practice. (Newport, RI: Government Printing Office, 2007) VII-13-29.

[x] Joint Chiefs of Staff. Joint Publication 5-0: Joint Operational Planning. (Washington, D.C.: Department of Defense, 2011).

[xi] Vego, Joint Operational Warfare – Theory and Practice, VII-15

[xii] Ibid, VII-15.

[xiii] Joint Publication 5.0 defines Critical Capability as “A means that is considered a crucial enabler for a center of gravity to function as such and is essential to the accomplishment of the specified or assumed objective(s);” Critical Requirement as “An essential condition, resource, and means for a critical capability to be fully operational;” and Critical Vulnerability as “An aspect of a critical requirement which is deficient or vulnerable to direct or indirect  attack that will create decisive or significant effects.”

[xiv] Ben Blanchard and John Ruwich. “China Hikes Defense Budget, To Spend More on Internal Security.” Reuters, March 5, 2013, accessed December 23, 2014.http://www.reuters.com/article/2013/03/05/us-china-parliament-defence-idUSBRE92403620130305  

[xv] Michael Martina. “China Withholds Full Domestic Security-Spending Figure.” Reuters, March 4, 2014, accessed September 25, 2015.  http://www.reuters.com/article/2014/03/05/us-china-parliament-security-idUSBREA240B720140305

[xvi] Ting Shi and Keith Zhai. “China To Boost Security Spending as Xi Fights Dissent, Terrorism.” Bloomberg News, March 5, 2015 accessed September 25, 2015. http://www.bloomberg.com/news/articles/2015-03-05/china-to-boost-security-spending-as-xi-fights-dissent-terrorism

[xvii] Michael Wines, Sharon LaFraniere, and Jonathan Ansfield. “China’s Censors Tackle and Trip Over the Internet.” The New York Times, April 7, 2010, accessed December 23, 2014.http://www.nytimes.com/2010/04/08/world/asia/08censor.html

[xviii] Biena Xu. Media Censorship in China. February 2014, accessed December 23, 2014. http://www.cfr.org/china/media-censorship-china/p11515

[xix] Ibid..

[xx] Amy Chang. Warring State: China’s Cybersecurity Strategy. (Washginton, D.C.: Center for a New American Security, 2014) 12.

[xxi] Rebecca MacKinnon. “Flatter World and Thicker Walls? Blogs, Censorship and Civic Discourse in China.” Public Choice 134 (2008): 31-46.

[xxii] Michael Wines, Sharon LaFraniere, and Jonathan Ansfield. “China’s Censors Tackle and Trip Over the Internet.”

[xxiii] Jonathan Zittrain, and Benjamin Edelman. “Empirical Analysis of Internet Filtering in China.” Harvard Law School Berkman Center for Internet and Society. March 20, 2003, accessed December 23, 2014. http://cyber.law.harvard.edu/filtering/china/

[xxiv] Available at: https://news.ycombinator.com/item?id=4931595

[xxv] Thomas Lum, Patricia Moloney Figliona, and Matthew C. Weed. China, Internet Freedom, and U.S. Policy. Report for Congress, (Washington, D.C.: Congressional Research Service, 2013).

[xxvi] Amy Chang. Warring State: China’s Cybersecurity Strategy. 15. 

Europe

Trident: An Introduction to the UK National Debate

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By Alex Calvo

Introduction

Ever since its conception, the UK’s sea-based deterrent Trident has prompted a measure of controversy. This includes, among others, the wider question of nuclear armament, the system’s opportunity cost (in this context, the weapons or other security and defence assets the UK stops buying or producing in order to pay for Trident) the indirect impact on the conventional defence budget, and the British “minimal” nuclear posture and doctrine. Trident has also been part of debates such as the UK’s place in the world, her relationship with the EU, and the “special relationship” with the US, while featuring strongly in the 2014 Scottish referendum. While the Conservative victory in the last election featured a “manifesto that included a commitment to build four new ballistic missile submarines … replacing the Vanguard submarines that come out of service from the early 2030s,” as stressed by British Defence Secretary Michael Fallon, the debate is still likely to continue, boosted by both political and technological factors. The purpose of this four-part series is to outline the most important terms of the debate, in a language accessible to non-specialists, providing a short yet comprehensive look at the matter. An effort has been made to sum up the different views on this issue, and to present alternatives.

In the first installment in the series, we review some key concepts in nuclear strategy theory and look at the basic characteristics of the Trident system, which provides sea-based, national, and minimum deterrence. We then examine the costs involved, what is meant by “extending Trident,” and discuss the continued relevance of nuclear deterrence. This first part concludes with a look at the gap between the UK’s nuclear and conventional postures.

Preliminary Considerations

The basis of nuclear deterrence is the belief that a country equipped with nuclear weapons will not be attacked by another nuclear power because this would result in an exchange and the resulting destruction of both countries. As a result, a “balance of terror” is achieved, whereby nobody uses this kind of weapon, which nevertheless, in spite of being “unusable,” plays a key role in the national security of nuclear powers. The concept of nuclear “mutual deterrence” quickly gained currency as soon as the US nuclear monopoly was breached in 1949, with the Soviet Union’s maiden nuclear test, and became one of the defining characteristics of the Cold War. It is also known as MAD (“mutually assured destruction.”)

It is important to stress two aspects of mutual deterrence:

1. A key condition is the invulnerability of both nuclear deterrents. If there is no way country A can destroy the nuclear weapons of country B, and vice versa, then none will have an incentive to use them, since it would inevitably result in the attacker’s destruction. This would happen, no matter who attacked first, the end result being the same. Attacking first only means dying a bit later. Thus, this acts as a stabilizer at times of crisis, since there is no incentive to strike first in order not to lose one’s nuclear deterrent, there is thus no “use them or lose them” factor. This explains why, during the Cold War, the two superpowers agreed to limit work on anti-missile defences, signing the 1972 ABM (Anti-Ballistic Missile) Treaty. While it may seem counterintuitive, by agreeing to have their cities remain vulnerable to a nuclear strike, they considered to be favouring stability. A working missile shield may have tempted its owner into believing that a nuclear war was “winnable,” one of the reasons for continued Russian hostility in this area. This need to guarantee the invulnerability of one’s nuclear forces also explains the drive to develop sea-based deterrents in the form of submarines equipped with nuclear missiles. Since it is very difficult to detect a submarine, it is expected to survive an attack, thus removing any incentive for the enemy to strike first in the hope of destroying one’s nuclear missiles. Again, like in the case of the ballistic missile defence ban, this was considered to contribute to stability, reducing the risk of nuclear war.

2. The possession of nuclear weapons by two powers, under the above circumstances (vulnerability of their population and invulnerability of the weapons themselves) meant, according to the theory, that nuclear war would not take place. Proponents of nuclear deterrence cite the Cold War as evidence for this. However, neither the theory nor actual historical evidence excluded the possibility of conventional or asymmetrical war (in this series, we will understand “asymmetric warfare” in a broad sense of the term, including terrorism, insurgency, non-lethal use of force, and the currently very much en vogue “mixed war” or “hybrid warfare”). Indeed, the Cold War did not feature any nuclear exchange, but many conventional conflicts took place, involving proxies and sometimes one of the superpowers as well, in addition to myriad instances of terrorism and insurgency. Concerning the relationship between nuclear and conventional weapons, some countries have issued a guarantee that the former would not be used against a non-nuclear enemy, but not all have, and even where a formal guarantee exists, some observers doubt a nuclear-weapons state would renounce using them if its very existence or essential national interest was at stake.

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October 2012 test off the coast of Florida, the first in three years by a British strategic nuclear submarine.

Right from the beginning it was clear that nuclear weapons would have a major impact on warfighting, and the British nuclear program and the later US Manhattan Project were fueled by fears that Nazi Germany may be more advanced in this field. Nuclear weapons were controversial even before they were first used, with some of the nuclear scientists involved making a last-minute attempt to employ a device for a “demonstration” in the hope Imperial Japan would surrender without the need for the mass destruction of civilian lives. Later years saw campaigns against nuclear weapons, often wider and including a blanket opposition to civil nuclear power, while some countries made desperate efforts to secure their own deterrent, and others signing the Non-Proliferation Treaty (NPT) as non-nuclear weapons states in exchange for some sort of guarantee by an accepted nuclear power that the latter would use, if necessary, its own nuclear weapons to defend them. This practice, known as “extended deterrence,” should not be forgotten, since it is doubtful that without it so many countries would have accepted the NPT. This division of countries into two leagues, only one of which was allowed to own nuclear weapons according to international law, was bitterly denounced by India, which branded it as “Nuclear Apartheid.” Other established nuclear powers kept insisting that “non-proliferation,” the policy of restricting the spread of nuclear weapons to other countries, was conducive to stability. One may note a certain contradiction between the concepts of deterrence and non-proliferation, whose relationship is complex. In recent years New Delhi has signed a number of agreements with the US and other countries, the International Atomic Energy Agency, and the Nuclear Suppliers Group, so that we can now say India is a “de facto” recognized nuclear weapons state outside the NPT.

Trident: The Basics

In a few words, Trident is a sea-based national minimum nuclear deterrent.

Sea-based because it consists of four Vanguard-class submarines equipped with nuclear missiles. As explained above, submarines are considered to be very difficult to detect and destroy, making them the ideal platform for deterrence, since an aggressor managing to destroy UK population centers could expect swift retaliation in kind. To achieve this, it is necessary to always have at least one submarine on patrol (known as CASD, “Continuous At Sea Deterrence”), with four widely considered to be the minimum number of boats needed to achieve this. Otherwise, an aggressor aware of a window of vulnerability, with no submarines on patrol, may choose to strike at that particular time. This minimum number means that it is not really possible to cut the cost of the program by reducing the number of units deployed, since below this minimum the key objective of one submarine in patrol at all times would no longer be achievable. It should also be stressed that there is no absolute guarantee that a submarine is invulnerable, since technological developments may enable an enemy to track and destroy or otherwise neutralize them. In part three of our series we will discuss cyberwarfare and submarine drones, whose potential impact on Trident has been discussed over the last few months. It is also necessary to take into account that, while four is widely considered to suffice for the purposes of nuclear deterrence, this number comes from statistical studies and past experience, but does not amount to any iron-clad guarantee in the face of possible trouble from, among others, damage, malfunction, or cyber attacks.

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Infographic with details of Trident submarines and their missiles.

National, since it is owned and operated by Her Majesty’s Government, being under national command. It must be noted though, as discussed later, that the technology employed is not exclusively British, being dependent to a considerable extent on the United States. The missiles are American, the submarines and warheads British. Second, British nuclear doctrine does not exclude the possibility of employing Trident to protect NATO Allies. The UK’s 2010 Strategic Defence and Security Review states that “The UK has long been clear that we would only consider using our nuclear weapons in extreme circumstances of self-defence, including the defence of our NATO Allies, and we remain deliberately ambiguous about precisely when, how and at what scale we would contemplate their use.”

Minimum, for a number of reasons. First, because it only features submarines, one of the legs of a possible “Nuclear Triad,” the others being land-based missiles and aircraft-dropped bombs. Second, because the number of submarines is the smallest compatible with a continued patrol capability. Third, because these submarines only carry a fraction of the missiles and warheads they are capable of delivering (8 and 40 respectively, instead of 16 and 192 originally envisaged). Fourth, because British nuclear doctrine, while not going as far as ruling out, for example, a first nuclear strike, or an attack against a non-nuclear country, seeks to considerably restrict the scenarios in which atomic weapons may be employed. This is clear for example in the section on “Five Enduring Principles” in the 2006 white paper titled “The Future of the United Kingdom’s Nuclear Deterrent.” The 2006 white paper states that “the UK will retain only the minimum amount of destructive power required to achieve our deterrence objectives.”

Trident can thus be seen as a compromise solution between, on the one hand, the perceived need for a nuclear deterrent, and on the other the wish to minimize its scope. This does not mean that it results from a simplistic calculation, since many other factors may have influenced the choice including inter-service considerations and relations with the US, just to mention two, and to be discussed later.

How Much Does Trident Cost?

Given that a key aspect of the debate is financial, it is necessary to bear in mind how much money we are talking about, both concerning the existing Trident system, and the possible replacement of its submarines. In 2012 the Secretary of State for Defence replied to two parliamentary questions covering these issues, saying that “As stated in the White Paper, The Future of the United Kingdom’s Nuclear Deterrent (Cm 6994) published in December 2006, we expect that once the new successor nuclear deterrent submarine comes into service, the in-service costs of the UK’s nuclear deterrent, which will include Atomic Weapons Establishment’s costs, will be similar to today (around 5% to 6% of the defence budget)” and, concerning the estimate for “the cost of design and build for a replacement continuous at-sea nuclear deterrent system” that “current forecast costs, including planned Submarine Enterprise Performance Programme efficiency measures, indicate that we remain within the 2006 White Paper estimates of £11 billion to £14 billion (at 2006-07 prices) for the Successor platform costs (assuming a four boat fleet).”

With regard to the cost of the new submarines, the then coalition government officially confirmed in 2011 the 2006 estimate by the previous Labour administration. In present-day pounds, it would be “£20 billion to £25 billion at out-turn” according to then Secretary of State for Defence Liam Fox, who added “Between now and main gate [in 2016] we expect to spend about 15% of the total value of the programme. That is entirely consistent with defence procurement guidance. The cost of long lead items is expected to amount to about £500 million.” As is generally the case with defence procurement, it may be difficult to provide accurate cost estimates given possible overruns, unexpected contingencies, and evolving technological and doctrinal changes. The long life span makes any calculation even more difficult, with London-based think-tank RUSI noting that “estimating total costs for a programme which will last beyond 2050 is a highly speculative exercise.” What seems clear is that the sums involved are substantive, yet within the means of the UK. Thus, although cost may be used by detractors of the program or of nuclear deterrence in general, what matters the most from a defence policy perspective is first whether a more economic alternative may be found to provide the UK with an equivalent nuclear deterrent, and second the opportunity cost of Trident for conventional defence. Both will be covered later in our four-part series.

We should also note that in assessing the cost of alternatives to Trident, the schedule to replace the existing submarines must be taken into account. This means that some alternatives that may seem cheaper are no longer so when the time to develop them is taken into account. The Trident Alternatives Review admits that “The costs of delivering an alternative system could theoretically have been cheaper than procuring a like-for-like renewal of Trident” but adds “were it not for timing and the fact that the UK deterrent infrastructure is finely tuned to support a submarine-based Trident system. In particular, the time it would take to develop a new warhead (itself a costly and high risk exercise) is judged to be longer than the current Vanguard-class submarines can safely be operated.” Also relevant is the fact that, as noted by think-tank BASIC, “Replacement of the submarines is already underway in several respects,”

What do we mean by “extending” Trident?

We should briefly note that the decision to be taken by the current parliament does not, strictly speaking, directly involve the Trident missiles or their warheads but the Vanguard class submarines carrying them. As noted by an observer, “The same Trident 2 D5 missiles currently in service will continue to be used at least out to 2042, so it is most definitely not a matter of replacing Trident. The warheads are also good out to 2032 at least, as they are subject to a life extension programme which brings them to MK4A standard” but “The four Vanguard submarines, on the other hand, can no longer be life extended safely and effectively. Their useful life has already been stretched and the first of the class is now due to soldier on until 2028, but it is assessed that extending further is not desirable.”

Nuclear Deterrence: Still Needed?

The first question to answer when considering the future of Trident is whether the concept of nuclear deterrence is still current or has become obsolete. A second question is whether a country needs to be a nuclear weapons state in order to be a top diplomatic power. Third, we have the relationship between nuclear and non-nuclear defence, and more precisely whether nuclear weapons are necessary to wage conventional or asymmetric war.

As discussed later, an affirmative answer to these questions does not automatically mean we should support Trident, since other nuclear alternatives exist, but should we answer them in the negative then it would be logical to defend Trident’s end.

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Nuclear-themed pin-up. Ever since its invention, the bomb has had a contradictory place in popular culture, as a harbinger of both Armageddon and supreme power.

With regard to the first question, as long as other powers sport their own nuclear forces, and even more so if tensions or significant conflicts persist with some such powers, it is difficult to avoid the conclusion that it is indeed necessary for the UK to retain her own nuclear deterrent. Terminating it would mean that the country may become the victim of nuclear blackmail. It is true that the UK may seek to rely on extended deterrence (also known as the “nuclear umbrella”) by the United States, but this would mean outsourcing national security, with the corresponding loss of power and influence on the one hand, and the risk that American authorities may not be ready (or may be perceived by a potential aggressor as not being ready) to risk American lives to preserve British ones. Some observers in Japan, which relies on US extended deterrence, have often posed the question whether America would be willing to “trade LA for Tokyo,” and as noted by a Congressional Research Service paper “Since the threat of nuclear attack developed during the Cold War, Japan has been included under the U.S. ‘nuclear umbrella,’ although some ambiguity exists about whether the United States is committed to respond with nuclear weapons in the event of a nuclear attack on Japan.” A similar question could be asked with regard to London, Manchester, or Birmingham.

Furthermore, it should be noted from a financial and industrial perspective that relying on extended deterrence may also directly or indirectly lead to the UK shouldering part of the cost of providing that protection, without the industrial benefits from having a national system. This may be another consideration against the nuclear umbrella as opposed to an independent deterrent.

It must be noted, though, that some observers doubt the value of a nuclear deterrent, and furthermore point at recent history as evidence that money should best be spent elsewhere. For example, writing for RUSI, Hugh Beach argues that “It cannot be shown that by virtue of its UK nuclear arsenal, Britain has been able to take any action vis-à-vis another country that it could not otherwise have undertaken, nor prevented action by any other country that it could not otherwise have prevented. British nuclear weapons did not deter Argentina from attempting to annex the Falkland Islands in 1982,” a line of thought that he extends to other nuclear powers.

The Gap between the UK’s Nuclear and Conventional Posture

In connection with the above, we should mention that, as noted by RUSI’s Malcolm Chalmers, British conventional and nuclear defence policy may be seen as out of step. The former is based on the assumption that no state conflict involving the homeland is foreseeable, whereas the latter is posited on the opposite assumption. Chalmers wrote “Discussion of options for conventional capability in the Strategic Defence and Security Review (SDSR) is based on the assumption that the UK homeland does not face a significant threat of attack by other states. Nor, it is assumed, could one emerge without an extended period of strategic warning. While the UK plans to maintain and improve capabilities for a range of national tasks, including strategic intelligence, counter-terrorism, counter-cyber, and defence of dependent territories, these tasks do not include defence of the UK against military attack by other states. The main focus of conventional force planning, accordingly, is now on the appropriate size and shape of the UK’s contribution to collective capabilities for intervention and stabilisation in other parts of the world. By contrast, the commitment to maintain a nuclear-armed missile submarine on patrol at all times (i.e., CASD) has remained largely unchanged since the 1960s, when a surprise attack on Western Europe by the Soviet Union was a central driver for UK force planning.” Although this different posture is clearly in place and can be observed in the respective doctrinal documents, we should be careful before reaching any rushed conclusions. We should also be careful before imagining that the solution to the Trident debate is to put nuclear policy in line with conventional doctrine and forego or downgrade the British deterrent. Possibly because it is conventional doctrine that needs an in-depth review in a more realistic direction. Second, because there may not be, as discussed later, a gulf between conventional and non-conventional defence, but rather a continuous spectrum. In other words, any cuts in nuclear capabilities or credibility may have a negative impact on conventional deterrence and the ability to wage conventional, unconventional, and hybrid war.

In our second part, we shall first examine the impact of nuclear weapons on a country’s hard and soft power, and then proceed to discuss “Hybrid warfare” under a nuclear umbrella. While this term has become a buzzword, it is often examined without taking into account its non-conventional dimension, thus failing to capture its complexity. We shall also cover Trident’s opportunity cost and, as some opponents argue, whether it may constitute an obstacle for British conventional rearmament. This second installment concludes with a look at the connection between Trident and, on the one hand, the “special relationship” between London and Washington, and, on the other, the UK’s place within the European Union, the subject of a referendum on 23 June.

Alex Calvo, a guest professor at Nagoya University, Japan, focuses on security and defense policy, international law, and military history in the Indian-Pacific Ocean Region. He tweets at Alex__Calvo and his papers can be found here. Previous work on British nuclear policy includes A. Calvo and O. Olsen, “Defending the Falklands: A role for nuclear weapons?” Strife Blog, 29 July 2014, available here.

Asia-Pacific

The US-China Arrangement for Air-to-Air Encounters Weakens International Law

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This article originally featured on Lawfare and is republished with permission. It may be read in its original form here. 

By James Kraska and Raul “Pete” Pedrozo

As part of the September 2015 fanfare visit by Xi Xinping to the United States, the United States and China signed an arrangement on rules of behavior for safety of air-to-air encounters of military aircraft. The deal is supposed to avert aviation incidents in international airspace between military aircraft of the United States and China. In a deadly 2001 incident, for example, a Chinese F-8 fighter jet interceptor collided with a U.S. EP-3 aircraft that was operating more than 75 miles from Hainan Island, causing the loss of the Chinese aircraft and pilot, and an emergency landing in China by the U.S. surveillance aircraft. Similarly, in August 2014, a Chinese fighter jet roared over, under, and in front of a U.S. P-8 maritime patrol aircraft – coming as close as 50 feet to the American aircraft – about 135 miles east of Hainan Island. The Chinese jet climbed vertically with its underbelly showing in front of the U.S. aircraft to display its under wing combat load out.

After China’s establishment of an Air Defense Identification Zone (ADIZ) in the East China Sea in 2013, Beijing appears poised to adopt a similar zone over the South China Sea. Over the past 18 months, China has constructed three airstrips on artificial islands in the Spratlys that are capable of handling the country’s most advanced military aircraft. China has also deployed surface-to-air missiles to Woody Island in the Paracels and has installed high-frequency radar systems on four of the reefs that it occupies in the Spratlys, which significantly enhances the ability of the People’s Liberation Army (PLA) to monitor surface and air traffic in and over the South China Sea.

The new “Rules of Behavior for Safety of Air-to-Air Encounters” (Air Rules) is not a legally binding instrument, so it does not create any new substantive obligations. The agreement also does not create any new norms, as customary international law already requires military aircraft to fly in accordance with the rules applicable to civilian aircraft “to the extent practicable,” and to exercise due regard during air-to-air encounters. China wanted (and obtained) the deal as a trophy of great power status and strategic equivalence.

The Air Rules are likely to be a fruitless exercise to bring China back into compliance with international norms and its preexisting legal obligations. But if the deal merely restates existing obligations then what is the harm? We view the new Air Rules as more than just a superfluous agreement. The Air Rules reflect orthodox liberal internationalism and the belief among many U.S. international lawyers and policy makers that the international system is made safer and more stable and secure by enmeshing states in a continually expanding web of new commitments. Often, as is the case with the Air Rules, the specific terms of an instrument, the fact that an agreement does not reflect an actual meeting of the minds, or a lack of compliance with its provisions, are deemed less important than the good vibes hopefully generated by signing something. But the Air Rules erode confidence in international law as an effective element of diplomacy and security and diminishes more authoritative sources of law by adding an additional layer of ambiguity and confusion. Moreover, a bilateral deal plays into China’s claim that the issues concerning air-to-air interactions between Chinese fighter jets and the slow and vulnerable American wide body aircraft involve good faith differences over the law between Washington and Beijing, rather than China unilaterally breaking with universal norms to drive U.S. surveillance from the region.

Specific problems with the Air Rules include:

  • The arrangement states that the parties “should” operate consistent with the 1944 Convention on International Civil Aviation (Chicago Convention) and its Annexes and guidance….” Yet the Chicago Convention is legally binding; the Air Rules fail to state that the United States and China “shall” comply with its terms in accordance with their legal commitments. The Chicago Convention reflects the norm of customary international law that aircraft will fly with “due regard” for the safety of other aircraft, so the United States and China are already bound to observe this norm as a matter of law. The requirement in the Annex that the parties “should” operate consistent with the Chicago Convention dilutes the existing legal duty. This section of Annex III should have stated that the parties “shall operate” consistent with the Chicago Convention; it does not and international law has been weakened.
  • The arrangement says that the two powers are to “encourage” active communications during air-to-air encounters, but then states the opposite by specifically indicating that there is no obligation to communicate during such events.
  • The arrangement requires the two states to maintain safe separation of aerial forces using their own “national rules,” although China’s national rules are incompatible with its own treaty obligations in international law. Referencing China’s unlawful national rules in the Air Rules lends them undeserved credibility that undermines the rule of law in the airspace over the oceans.  
  • Furthermore, while the arrangement states that an intercepting aircraft should maintain a “safe separation” with other aircraft, it also says that the “intercepted” aircraft should “avoid reckless maneuvers.” This language clearly recalls the 2001 EP-3 incident described above, in which the Chinese side accused the slower and larger, multi-engine EP-3 aircraft of intentionally turning into the F-8 interceptor. This incredulous claim and the reference in the Air Rules for intercepted aircraft to avoid reckless maneuvers helps China avoid responsibility for past aggressive interceptions. Future scenarios are likely to raise similar facts – Chinese fighter jets intercepting slower U.S. reconnaissance aircraft. The text that attempts to balance or equate responsibilities for avoiding air-to-air incidents implicitly supports China’s effort to avoid responsibility for such incidents.
  •  The arrangement considers establishment of warning areas or danger areas using the worldwide Notice to Mariners (NOTAM) system. This provision is also an existing legal requirement and therefore superfluous. China currently does not comply with this legally binding requirement, so why would it now comply with a new, nonbinding requirement to do the same thing?
  • The arrangement states both sides should implement “in good faith” the 2014 Code for Unalerted Encounters at Sea (CUES). This “good faith” requirement is notoriously ambiguous in international law, and in practical terms is not an obligation to do anything. Furthermore, China already has signed CUES, so it already has a preexisting duty to implement it in good faith regardless of what is included in the new Air Rules. Rather than focus on getting China to comply with the nonbinding CUES, it would be better to insist that China fulfill its binding and longstanding legal commitments.
  • The arrangement indicates that aircraft are entitled to freedom of navigation and overflight in warning areas, but this provision is already a legally binding obligation that China ignores. Will the new, nonbinding Air Rules encourage compliance? Furthermore, China has long insisted that the right of freedom of navigation and overflight is limited to non-military ships and aircraft, or is subject to coastal state requirements, such as prior notification or consent.
  • Finally, the arrangement states that aircraft “should” avoid certain actions that may be seen as provocative, much like the Incidents at Sea Agreement (INCSEA) between the superpowers during the Cold War. Once again, however, this legally nonbinding provision is already subsumed by the legal requirement to exercise due regard during air-to-air encounters.

China’s dangerous interception of U.S. aircraft in international airspace violates long-standing and legally binding rules and norms of international law, so adding a new layer of nonbinding provisions merely creates unhelpful ambiguity and dilutes China’s preexisting legal obligations. Since lawyers are experts in the craft of statutory interpretation, saying the same thing in a different way can actually weaken rather than strengthen the underlying norm because it adds additional grist to the interpretative mill.

Besides the political significance of the agreement, the Air Rules are a new plank in China’s unremitting campaign of lawfare. The Air Rules either fail to invoke the appropriate legal terms of art or contain counterproductive and unorthodox references designed to place the United States in a worse light and provide China with colorable arguments to justify its unlawful behavior in the aftermath of the next air-to-air encounter.

The superfluous nature of the arrangement is also not helpful to the United States. There is a view among liberal internationalists that mention of preexisting international obligations in new agreements helps to reinforce them, and this approach perpetuates a compliance spiral that brings states closer together. But China already understands its existing legal obligations and chooses not to comply, so repeating them in oblique terms in a non-binding agreement only serves to weaken the very terms the United States seeks to reinforce. 

James Kraska is Howard S. Levie Professor of International Law at the Stockton Center for the Study of International Law, U.S. Naval War College, Distinguished Fellow at the Law of the Sea Institute, University of California at Berkeley School of Law, and Senior Fellow, Center for Oceans Law and Policy, University of Virginia School of Law.

Raul “Pete” Pedrozo is Deputy General Counsel for the Defense POW/MIA Accounting Agency (DPAA). Previously he was a Professor of International Law in the Stockton Center for the Study of International Law at the U.S. Naval War College, where he now serves as a Non-Resident Scholar.

Asia-Pacific, Capability Analysis

Japan’s Izumo-class Helicopter Destroyer: An Aircraft Carrier in Disguise?

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By Matthew Gamble

The Land of the Rising Sun has been quietly strengthening its military capabilities and procuring advanced equipment amid the ongoing debate over whether to amend Article 9 of the country’s constitution. Though officially called the Japan Maritime Self-Defense Forces (JMSDF), the Japanese Navy boasts an impressive array of hardware and if the country’s ruling party has its way with the constitution, its capability will only get stronger.

To increase the potency of the JMSDF even further, the acquisition of aircraft carriers (CVs) would be a logical next step. Yet, as CVs can best be described as seagoing airbases with significant offensive capabilities, Japan’s pacifist constitution prohibits their use in its navy. Destroyers (DDs) on the other hand rely on speed and maneuverability and are easily employed in defensive roles, criteria deemed acceptable under the Japanese Constitution. Therefore, to accommodate this unique political limitation, the Japanese have designated one of their latest vessels as a “helicopter destroyer” (DDH) but with capabilities akin to those of an aircraft carrier.

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American Nimitz class supercarrier besides Izumo and Hyuga class vessels of the JMSDF.

Enter the vessel in question: the JS Izumo (DDH-183), commissioned on March 25th, 2015. Officially classified as a $1.2 billion “helicopter destroyer”, this warship is the largest constructed by Japan since the Second World War, and at first glance bears a striking resemblance to a light aircraft carrier. With an impressive length of 248 meters and a beam of 38 meters, the vessel is larger than short take-off and vertical landing (STOVL) carriers operating in the Spanish and Italian navies. Likewise, its fully-loaded displacement of 24,000 tonnes and 7.3 meter draft put the Izumo class in a category similar to that of the Invincible class carriers commissioned by the Royal Navy. Altogether, the scale of these vessels represents a major advance in Japan’s maritime defense capabilities, significantly increasing the country’s ability to project force.

Equipped with the latest in electronic warfare, fire control, and radar systems, the Izumo class has been designed with the battlefield of the 21st century in mind. According to Janes Defense, the Izumo class will carry up to 14 helicopters- primarily Japanese-built MCH-101s and SH-60Ks equipped for anti-submarine warfare or search-and-rescue operations. For closer encounters, the Izumo is equipped with the Phalanx and SeaRam close-in weapons systems (CIWS), capable of defeating most forms of incoming ordnance.

Furthermore, the Izumo class boasts the exceptional capability of supporting amphibious assault operations as the ships have the capacity to embark up to 400 marines and approximately 50 light vehicles. However, unlike the American Wasp-class, the Izumo is not equipped with a well deck and relies on its compliment of helicopters to provide embarked marines with the ability to rapidly deploy in amphibious operations.

Izumo 1
Izumo with helicopters ready on the flight deck.

The Izumo will be supplemented by the JS Kaga (DDH-184), launched in late-August 2015 and expected to be commissioned sometime in 2017. Named after the Japanese province, the second ship of the Izumo class has the dubious honor of sharing the same designation as the infamous IJN Kaga- an aircraft carrier that took part in the surprise attack on Pearl Harbor in 1941 and served with the Imperial Japanese Navy until scuttled at the Battle of Midway in 1942. Unsurprisingly, the choice in name has raised eyebrows given the current Kaga’s aircraft carrier-like appearance.

Though the Izumo and her sister ship Kaga lack catapults or a “ski-jump” to assist conventional fixed-wing aircraft (such as the F/A-18) during take-off and arrestor cables for their recovery, the potential for operating STOVL aircraft from these vessels is high. For instance, in addition to greater size, major alterations were made to the design of the flight deck from Japan’s previous Hyuga class of helicopter destroyers. The new Izumos remove obstacles from the flight deck and rearrange equipment that would prevent the launch and recovery of fixed-wing aircraft. The CIWS system mounted on the foredeck of the Hyuga class has been moved well to the side, opening up the much needed space necessary for fixed-wing operations. Moreover, the aft vertical launch silo has also been removed, allowing for greater ease of aircraft recovery. By and large, changes such as these are critical for allowing the vessel to operate fixed-wing aircraft.

Should Japanese leaders decide to include a compliment of fixed-wing aircraft on the Izumo class, STOVL or vertical take-off and landing (VTOL) aircraft would be necessary as the ship’s basic design lacks the size of catapult assisted take-off barrier arrested recovery (CATOBAR) carriers. Though currently slated to be delivered to the country’s air force, domestic production of the Lockheed-Martin F-35A JSF is already underway in Nagoya. It is unclear, however, whether Japan will produce or purchase the F-35B- the model of the JSF with the STOVL capability necessary for the aircraft to operate from any Izumo class vessel.

f35-night-landing-19
A F-35B practices vertical take off and landing.

To accommodate the JSF, a few key modifications to the class would be necessary. Thermion coating, like that used on the Wasp class, would need to be applied to protect it from the extreme heat created by the F-35’s exhaust during vertical landing. Second, a ski-jump similar to those employed on most European carriers would likely be needed to assist the JSF during take-off, though this is not an absolute necessity as preliminary testing on the Wasp class has demonstrated. Moreover, since Japan has ordered the V-22 Osprey, its addition to the ship’s complement is likely. Should a complement of F-35’s and V-22’s be added to the Izumo and Kaga, Japan would boast an increased maritime strike capability, signaling Japan’s increasing military power to its rivals.

Overall, the capabilities of the new Izumo class “helicopter destroyers” represent a step up for the JMSDF. Though in their current configuration the vessels are not capable of fielding conventional fixed-wing aircraft, with minor adjustments and a compliment of STOVL aircraft, the Izumo class would boast similar capabilities to light aircraft carriers currently serving around the world.

Given this potential, simply calling these ships “helicopter destroyers” could be construed as misleading, or even deceptive. Therefore, we can surmise that the classification is largely for political purposes, as the inherently offensive capability of aircraft carriers would run counter to the values espoused in Article 9 of the Japanese Constitution. Whether the JMSDF decides to further develop the capability of these ships has yet to be seen; however, the potential is there and serves as a warning to China and the DPRK that Japan is indeed a maritime power to be reckoned with.

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.