Category Archives: Global Analysis

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The Cabbage and the Submarine: Why Fears of Chinese Control of the Seas are Overstated

The following piece is cross-posted from our partners at the CDA Institute as part of an ongoing content sharing relationship. You can read the article in its original form here.

CDA Institute Analyst Ariel Shapiro comments on the proliferation of submarines and issue of sea denial in the Asia-​Pacific.

In 2013, Major General Zhang Zhaozhong, an outspoken senior official in the Chinese People’s Liberation Army, described China’s strategy in the South China Sea by referring to a cabbage. In regards to the Scarborough Shoal, a group of rocks disputed by China and the Philippines, the Chinese strategy is to inundate the area with a large fleet of military and commercial ships of all sizes, to surround the contested rocks like the layers of a cabbage. What essentially amounts to a blockade, disguised by friendly vegetarian metaphors, is a manifestation of the more assertive Chinese foreign policy undertaken by President Xi Jinping. In this post, I will discuss how the recent build-​up of regional naval fleets in Asia is a response to China’s increasingly assertive policy – and why this is cause for concern for China.

In recent years, there has been a buildup of military submarines in the Asia-​Pacific, which Michael Wesley at the Australian National University refers to as a “bonanza.” Despite multiple changes in leadership over the past few years in Australia, the massive project to replace the Royal Australian Navy’s six aging Collins-​class submarines with 12 new state of the art diesel submarines is still well underway (as a point of comparison, Canada currently has four Victoria-​class submarines, three of which are operational, and all of them several years older than the submarines Australia is replacing).

The Australian submarine procurement process brings to the forefront the changes that are happening in another key player in the Asia Pacific region: Japan. For the first time since the 1960s, new legislation in Japan permits the country’s world-​renowned industry to export military technology. The top contender for the contract to replace the Australian submarines is the Soryu-​class, developed by Japanese giant Mitsubishi. The Soryu-​class diesel submarine is notable for its air-​independent propulsion technology, which allows the vessel to remain underwater without surfacing for significant periods of time compared to other diesel submarines. Japan, of course, is not only developing the submarine for export; it is in the midst of increasing its total submarine fleet form 16 to 22.

Australia is not the only country in the region increasing its submarine fleet. In September 2015, the Indonesian House of Representatives announced a plan to purchase two Kilo-​class submarines from Russia; the nation comprises 17,000 islands, and senior military planners estimate that the country needs at least 12 submarines to adequately patrol its territorial seas. Across the Strait, Lieutenant-​Colonel Aaron Beng of the Singapore Armed Forces analyzes submarine procurement in Asia from his country’s perspective. He notes Singapore’s recent acquisition of two Vastergotland-​class submarines from Sweden, bringing the fleet’s total to six; the refurbishment of two French Scorpèné-​class submarines by Malaysia; and the ongoing purchase by Vietnam of six Kilo-​class submarines from Russia. One can also include the new Thai ruling military junta decision to purchase submarines from China. Not to be outdone, the first of India’s six new Kalvari-​class diesel electric attack submarines, based on the French Scorpèné, are currently undergoing sea-​trials.

What is the motivation for this submarine acquisition? The submarine is, in terms of dollar-​per-​value, the best tool for sea denial. This maritime strategy is an asymmetric one. Instead of great powers building up fleets to fight for control of the seas, as was the case in the lead up to the First World War, sea denial is a strategy used by weaker powers to deny access to their coastal areas by larger powers; the maritime equivalent of guerilla warfare. Essentially, a small, stealthy, relatively inexpensive submarine can pose a serious threat to an advanced aircraft carrier or major surface combatant.

For example, Singapore’s submarines will add to its defence posture of the “poison shrimp”; while the Republic has neither the ambition nor the capacity to control the seas, it does indeed have the capacity to cause significant damage to a larger power that would attempt to threaten its vital interests (which, due to its small size and the global nature of its economy, include shipping), much like eating a poisoned shrimp can make a much larger animal very ill. As Peter Briggs at the Australian Strategic Policy Institute notes, navies have submarines not only to serve in a potential war, but for “situations short of conflict” – their mobility, endurance, stealth, and payload make them an essential tool in preventing conflict through deterrence.

This brings us back to China and the cabbage strategy. In the South China Sea, despite the unresolved nature of competing claims over various small islands, China is continuing with its policy of reclaiming land and building infrastructure. Last week, tensions flared as the USS Lassen, an American destroyer, sailed in what Washington claims are international waters but which China considers within its territorial sea. While the US Navy (USN) remains the most advanced and important navy force in the Pacific Ocean, China’s growing fleet of advanced surface and undersea ships gives it a sea denial capability against America’s more formidable force – especially when combined with its on-​shore anti-​access and area denial (A2/​AD) assets.

Smaller countries in the region are eager to build up their own deterrence and sea denial capacity to protect their shipping lanes and vital interests in an era where the United States can no longer underwrite global maritime security, and submarines are perhaps the best way to do so. While this strategy is aimed primarily against China, Beijing, in turn, is building up its own fleet towards a strategy of sea denial against the more powerful USN. However, China has also increased the responsibilities placed on its forces and has turned otherwise uninvolved actors into maritime rivals. In addition to asserting its primacy over its coasts and capacity to dominate Taiwan, which remains at the core of China’s security policy, it now also actively seeks to assert Chinese freedom of maneuver over the South China Sea and eventually rival American control of wider areas of the Pacific Ocean.

While much has been written about the Sino-​American rivalry in the Pacific, the role of smaller Southeast Asian countries is too often forgotten. The USN is still far superior, for the time being, to the Chinese People’s Liberation Army Navy. Yet any assessment of the strategic balance must take into account other important players in the region, such as Australia, Japan, Singapore, India and Vietnam, all of which are showing a tendency to bandwagon with the United States – making any potential Chinese dominance even less foreseeable.

At a recent conference at the University of Ottawa, Professor Jean-​Pierre Cabestan, one of the foremost French experts on China, noted how Chinese President Xi Jinping’s success in making China more assertive on the world stage has only provoked a “rebalancing” of the United States and its allies towards China. Indeed, if the cabbage strategy continues to cause horizontal proliferation (the number of countries building up military capacity) as well as vertical proliferation (pre-​existing powers increasing their capacity, such as the development of new missile systems on littoral combat ships in the United States), China’s aggressiveness may have caused it to lose more influence than it has gained.

Ariel Shapiro recently graduated from McGill University in political science and economics and is currently an Analyst at the CDA Institute. 

Upcoming Topic Weeks Announcement

CIMSEC Topic Weeks have always been an excellent way to engage our community of defense and foreign policy professionals and academics to highlight issues that deserve greater attention. CIMSEC’s  upcoming topic weeks will be listed well in advance in this post to give our prospective authors more lead time to develop their ideas and contribute superb publications. Expect subsequent announcements at the beginning of each month listing specific dates and deadlines for individual topic weeks.

Note: The  schedule has been amended to accommodate the Distributed Lethality topic week in February. 

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January: The Littoral Arena

Submissions due by Thursday, January 21
Topic Week runs from Monday, January 25 to Sunday, January 31

The littorals only constitute around 15 percent of the world’s oceanic expanse, yet  60 percent of the world’s urbanized populations are located within sixty miles of the coast, including 80 percent of the world’s capitals. The U.S. Navy has only recently drawn attention to the littoral domain after decades of emphasizing blue water sea control. What are the unique warfighting challenges posed by the littorals? What capabilities and operating concepts best enable power projection in this complex environment? Can navies optimized for blue water operations effectively translate their experience into the littorals?

midget sub
Iranian midget submarine.

February: Distributed Lethality

Submissions due by Sunday February 21
Topic Week runs from February 22-February 28. 

The Distributed Lethality Task Force partnered with CIMSEC to launch a topic week exploring the concept and outlined various lines of inquiry the task force is interested in pursuing. Distributed Lethality is an initiative launched by Navy leadership to explore the warfighting benefits offered by dispersing surface combatants, employing them in new roles, and adding more firepower across the fleet. 

PACIFIC OCEAN (May 23, 2014) The guided-missile destroyers USS Halsey (DDG 97), USS Michael Murphy (DDG 112) and USS Gridley (DDG 101) are underway in formation during a strait transit exercise. The Carl Vinson Carrier Strike Group is underway conducting a composite training unit exercise off the coast of Southern California. (U.S. Navy photo/Released)
PACIFIC OCEAN (May 23, 2014) The guided-missile destroyers USS Halsey (DDG 97), USS Michael Murphy (DDG 112) and USS Gridley (DDG 101) are underway in formation during a strait transit exercise. (U.S. Navy photo/Released)

March: Naval Humanitarian Assistance/Disaster Relief (HA/DR)

Time and time again, naval forces have performed admirably as first responders to devastating natural disasters. Naval forces can rapidly maneuver to disaster struck areas and facilitate the transfer of millions of pounds of critical supplies in a matter of weeks. The Asia-Pacific is especially prone, with over half a million lives lost and $500 billion in damages incurred within the last decade due to natural disasters. Can HA/DR operations refine warfighting skills? What are the political challenges and benefits of deploying naval forces in support of humanitarian operations? Could demand for naval aid increase as sea levels risen and climate change progresses? 

Airmen set sail aboard USNS Mercy for humanitarian mission
Hospital ship USS Mercy.

April: Sino-Indo Strategic Rivalry

Much has been made of great power competition in the Asia-Pacific, with the U.S. and China considered the main actors, but India is a powerhouse in the making. India’s rapidly growing economy and modernizing armed forces ensures its relevance in the Asia-Pacific. Prime Minister Modi aligned India with U.S. policy towards South China Sea maritime disputes with a joint statement stating “We affirm the importance of safeguarding maritime security and ensuring freedom of navigation and over flight throughout the region…” Additionally, the Indian peninsula juts 1000 km into the Indian ocean, providing India’s carrier equipped navy superb positioning to affect sea lines of communication flowing towards the straits of Malacca. How might this strategic rivalry evolve, and is there precedent and potential for conflict?

INDIA-CHINA-DIPLOMACY
The Deputy Chief of General Staff of the Chinese PLA, Gen. Ma Xiaotian calls on the Chief of Naval Staff, Admiral Nirmal Verma, in New Delhi on December 09, 2011.

Authors can send get in touch with the editorial team and send their submissions to [email protected]. Topic weeks are competitive and not all submissions may be accepted, so we encourage thoroughly researched contributions. CIMSEC topic weeks are our opportunity to make our mark as a community on the big discussions, and we look forward to promoting your insights. 

Dmitry Filipoff is CIMSEC’s Director of Online Content. Follow us @CIMSEC.

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Breaking the Ice: The US Chairmanship in the Arctic Council

By Paul Pryce

Sometimes the best resources are not hidden behind a paywall but are freely made available to researchers. Thanks to the Congressional Research Service’s 114-page report Changes in the Arctic: Background and Issues for Congress by Ronald O’Rourke, with a recent version released in September 2015, such is the case for those wishing to understand strategic trends in the Arctic from the perspective of the United States. This is especially timely, as US President Barack Obama toured Alaska from August 31, 2015, becoming the first American president to visit America’s Arctic region. On September 4, just days after President Obama arrived in Alaska and the very same day the CRS released its report, five People’s Liberation Army Navy (PLAN) vessels – three surface combatants, an amphibious landing vessel, and a replenishment ship – entered within twelve miles of the Alaskan coastline.

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The report offers a comprehensive overview of legislation and international agreements concerning the Arctic, as well as the economic opportunities yet to be realized in the Chukchi Sea, Beaufort Sea, and elsewhere in the region. Although Shell has since cancelled its plans for offshore drilling in the Chukchi Sea, oil and other commodity prices could at some point in the future return to levels where Arctic resource exploitation becomes profitable once again. Arctic shipping is also becoming viable – that much was made clear when MV Yong Sheng became the first container-transporting vessel to transit from its home port in China along the Northern Sea Route, Russia’s Arctic waterways, to reach Rotterdam, Netherlands in August 2013. It is this increased opportunity for business in the region which presents new challenges for the United States Coast Guard (USCG) and United States Navy (USN).

090321-N-8273J-254 ARCTIC OCEAN (March 21, 2009) Crewmembers of the Los Angeles-class submarine USS Annapolis (SSN 760) man the bridge watch after breaking through the ice during Ice Exercise (ICEX 2009) in the Arctic Ocean. Annapolis and the Los Angeles-class submarine USS Helena (SSN 725) are participating in ICEX 2009 to operate and train in the challenging and unique environment that characterizes the Arctic region. (U.S. Navy photo by Mass Communication Specialist 1st Class Tiffini M. Jones/Released)
ARCTIC OCEAN (March 21, 2009) Crewmembers of the Los Angeles-class submarine USS Annapolis (SSN 760) man the bridge watch after breaking through the ice during Ice Exercise (ICEX 2009) in the Arctic Ocean. Annapolis and the Los Angeles-class submarine USS Helena (SSN 725) are participating in ICEX 2009 to operate and train in the challenging and unique environment that characterizes the Arctic region. (U.S. Navy photo by Mass Communication Specialist 1st Class Tiffini M. Jones/Released)

As the report highlights, eight ships were lost in Arctic Circle waters in 2006. Less than a decade later, in 2014, there were 55 ship casualties in these waters. Thus far, the risk to human life and environmental impact of these accidents have been relatively limited, but it is apparent that US maritime forces currently lack the means to respond quickly and effectively to a serious disaster in the country’s Arctic waterways. The CRS highlights two capability gaps: basing and icebreaking.

Currently, the largest USCG base is located at Kodiak Island, which is on the south coast of Alaska near the Aleutian Range. USCG vessels operating from Base Support Unit Kodiak could respond quickly to an incident along existing shipping lanes near the Bering Sea but would need days or even weeks to reach the site of a ship collision or oil spill in the Chukchi Sea or Beaufort Sea. The US Army Corps of Engineers has been investigating the suitability of other Alaskan communities, specifically Nome or Port Clarence, as possible sites for a deepwater port from which USCG vessels could operate in the future. Located much further north along the Alaskan coast – jutting out into the Bering Strait in fact – either location would significantly cut down USCG response times in the Chukchi Sea. Port Clarence is already home to a small USCG presence: a 4,500 foot long paved runway capable of accommodating search-and-rescue (SAR) aircraft. Until a deepwater port is established within range of the Chukchi Sea, however, the US capacity to exert sovereignty in the Arctic will be severely limited.

The other capability gap identified in the report relates to the USCG’s shrinking fleet of icebreakers. After USCGC Polar Sea suffered an engine casualty in June 2010, the US has only the heavy polar icebreaker USCGC Polar Star and the medium polar icebreaker USCGC Healy at its disposal. Although Polar Star was refurbished and re-entered service in December 2012, this is only expected to extend the vessel’s service life until approximately December 2022. Unless Polar Sea is repaired or the White House significantly steps up efforts to acquire a new heavy polar icebreaker, the USCG could soon find itself unable to reach the US’ northernmost waterways due to sea ice cover. Much as the USCG is currently under-equipped to project American power in the Arctic, the USN also suffers a capability gap. The updated Navy Arctic Roadmap for 2014-2030, which was release in February 2014, acknowledges that opportunities for Arctic transits will be limited in the near term but commits to obtaining the capability necessary to operate for sustained periods in the Arctic by the 2020’s.

How the USN intends to attain this capability in the mid-term is unclear. In 2002, the Norwegian Coast Guard gained the icebreaking-capable offshore patrol vessel Svalbard, which has ensured a permanent presence for Norway in the Barents Sea and the Arctic waterways surrounding the Svalbard Islands. By spring 2018, the Royal Canadian Navy will begin taking delivery for the first of its new Harry DeWolf-class Arctic offshore patrol ships, a fleet of five to six vessels with some limited icebreaking capabilities and a similarly sustained presence in Canada’s expansive Arctic territory. The USN will presumably need vessels with characteristics closely resembling those of the Harry DeWolf-class and Svalbard-class; ice strengthening ships from the Military Sealift Command (MSC) as proposed in the Arctic Roadmap would very likely be insufficient, especially when China has demonstrated a willingness to engage in freedom of navigation operations (FONOPS) in American-claimed waters and the Russian Federation is aggressively expanding its already impressive icebreaking capabilities.

The Arctic Coast Guard Forum (ACGF), which was established in October 2015, will ensure some level of security for Arctic shipping and may even go toward reducing tensions in the region. Canada, which chaired the Arctic Council from 2013 until April 2015, endeavoured to establish just such a forum for exchange among the coast guards of the Arctic Council’s eight member states (Canada, Denmark, Finland, Iceland, Norway, Russia, Sweden, and the US) but was unable to bring the Russians to the negotiating table. The US, which will chair the Arctic Council until April 2017, is clearly willing to assemble a toolbox of so-called ‘confidence and security-building measures’ (CSBM’s) to ensure any future disputes in the Arctic are resolved peacefully. With the conclusion of an Arctic Search and Rescue Agreement (ASARA) in 2011, which clarifies which states have responsibility for SAR operations in certain Arctic waterways, there is clearly a growing interest in cooperatively policing Arctic waterways.

As outlined here, the CRS report is a valuable resource for those wishing to gain a strong basis of understanding with regards to the Arctic. Readers are fortunate, then, that an updated edition of the report continues to be released almost quarterly.

Paul Pryce is a Senior Research Fellow at the Atlantic Council of Canada and a Board Member at the Far North Association. He is also a long-time member of the Center for International Maritime Security (CIMSEC).

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South China Sea arbitration: Beijing puts forward her own views Part One

By Alex Calvo

Introduction: restatement or small Filipino victory? Manila’s international arbitration bid has been repeatedly rejected by Beijing, which argues that it does not fall under the compulsory arbitration provisions of UNCLOS. Even after the Court ruled on jurisdiction, on 29 October 2015, China stuck to this position, as clear from an official statement the following day. However, despite repeatedly refusing to appear before the court, last year Beijing chose to issue a formal document stating her posture. For some this may simply be a restatement of China’s position, confirming that it will not take part in the proceedings. For others, it amounts to a small victory for the Philippines and the rule of law at sea, since China has finally been unable to completely ignore the proceedings. Whatever one thinks about it, it is useful to examine the document, dated 7 December 2014 (unclear whether any pun intended), while we wait for the Permanent Court of Arbitration to hold the first oral hearings on the substantive aspects of the case, scheduled for late November 2015. We shall be doing so in this four-part series.

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Chinese attitudes towards international law. Post-Mao China has followed a somewhat contradictory approach to international law. To a large extent, this mirrors the country’s complex domestic relationship with the concept of the rule of law. On the one hand, China’s reopening of her law schools after the Cultural Revolution and huge expansion of the legal profession and the practical, day to day, presence of the law, has led to a similar move in the international arena. However, this greatly expanded role of the law both domestically and internationally has been accompanied, in the internal domain, by a persistent rejection of the concept of “rule of law”, authorities rather leaning towards “rule by law.” In Chinese foreign relations, international law has had to contend with two obstacles. First, there is a mistrust of international tribunals, and the fear that they may impinge on Chinese sovereignty. Moreover, the South China Sea has been defined as a “core national interest,” although the exact meaning of this term may not be completely clear. Second, with the notion that public international law is a creature of Western nations and thus inextricably linked to a historical period of foreign domination that only began to be reversed after the 1949 Communist victory, or now that Chiang Kai-shek seems to be enjoying some sort of rehabilitation in China the 1943 Cairo conference. This applies particularly to the law of the sea, seen as unfairly constraining the legitimate aspirations of a nation that has grown increasingly dependent on maritime trade and which feels surrounded by a chain of islands in hostile hands.

The paper’s purposes, according to Beijing. After an introduction, making it clear that issuing the paper does not amount to taking part in the arbitral proceedings, the text lists in Paragraph 3 the main purposes of the paper, each such purpose covered in sections II to V. These goals are first of all (Section II, Paragraphs 4-29) to stress that the case concerns “the territorial sovereignty over several maritime features in the South China Sea,” which, contrary to Filipino assertions, “is beyond the scope of the Convention and does not concern the interpretation or application of the Convention.” Section III, Paragraphs 30-56 explains that “China and the Philippines have agreed, through bilateral instruments and the Declaration on the Conduct of Parties in the South China Sea, to settle their relevant disputes through negotiations” and that the arbitration proceedings are thus a breach by Manila of “its obligation under international law.” Section IV, Paragraphs 57-75 explains Beijing’s position that, “assuming, arguendo, that the subject-matter of the arbitration” was interpreting or applying UNCLOS, this would still be “an integral part of maritime delimitation” thus falling squarely within China’s derogation from compulsory arbitration. Section V, Paragraphs 76-85 underlines that “the Arbitral Tribunal manifestly has no jurisdiction over the present arbitration” and defends the view that China’s refusal to take part in the proceedings stands “on solid ground in international law.” These sections are followed by a set of Conclusions (Section VI, Paragraphs 86-93).

The 1898 Treaty of Paris in the PRC’s narrative of the conflict. In Section II, the document (5) explains that “Prior to the 1970s, Philippine law had set clear limits for the territory of the Philippines, which did not involve any of China’s maritime features in the South China Sea,” citing Article 1 of the 1935 Constitution, which reads “The Philippines comprises all the territory ceded to the United States by the Treaty of Paris concluded between the United States and Spain on the tenth day of December, eighteen hundred and ninety-eight, the limits of which are set forth in Article III of said treaty, together with all the islands embraced in the treaty concluded at Washington between the United States and Spain on the seventh day of November, nineteen hundred, and the treaty concluded between the United States and Great Britain on the second day of January, nineteen hundred and thirty, and all territory over which the present Government of the Philippine Islands exercises jurisdiction.” It added that the 1961 Philippine Republic Act No. 3046, titled “An Act to Define the Baselines of the Territorial Sea of the Philippines,” confirmed such territorial limits.

Replica of one of Admiral Zheng He's treasure ships, built in 2014. As China turns to the sea, she is stressing his figure.
Replica of one of Admiral Zheng He’s treasure ships, built in 2014. As China turns to the sea, she is stressing his figure.

Setting aside for a moment whether Manila has indeed redefined the limits to her national territory, this is potentially very significant because as reiterated in last year’s US Department of State “Limits on the Sea” No 143 paper, devoted to China, Washington has persistently stressed that it was taking no sides concerning the ultimate issue of sovereignty. Yet, while this may be sustainable in the case of other territorial disputes in the region, the case of the Philippines is rather different, given that the country was under US sovereignty for more than half a century. Thus, whatever one makes of Beijing’s case, it is difficult not to agree that past treaties signed by the United States may be relevant to the issue at hand. A question may be what, if any, may be Beijing’s motivation in bringing up such treaties, in addition to providing arguments in favor of its posture concerning the extent of Filipino territorial claims. Is Beijing perhaps hoping to prompt Washington to publicly comment on the matter in a way that may be detrimental to Manila? Or to quietly lean on the Philippines not to go too far? These may be speculative questions, yet ones difficult to avoid given the complex nature of the South China Sea dispute, with not only different immediate players, that is the coastal states, but plenty of other interested contenders, including the United States, Japan, India, and Russia. China’s document also refers to a UK-US Treaty, and while London has traditionally chosen a low profile posture in the region, it has recently been upgrading defense cooperation with Japan. Going back to Washington, the possible impact of past treaties and other diplomatic practice has already been considered important by observers in the case of Taiwan and the Senkaku/Diaoyu/Diaoyutai Islands, given Formosa’s change of status following the end of the Second World War and the American occupation of the Ryukyu Archipelago for three decades after its conclusion. However, the connection with the United States is much closer in the case of the Philippines, and Washington’s non-committal posture on sovereignty may come under increased pressure, although as mentioned this could result from different, even opposed motivations. 

Read the next installment here

Alex Calvo is a guest professor at Nagoya University (Japan) focusing on security and defence policy, international law, and military history in the Indian-Pacific Ocean Region. A member of the Center for International Maritime Security (CIMSEC) and Taiwan’s South China Sea Think-Tank, he is currently writing a book about Asia’s role and contribution to the Allied victory in the Great War. He tweets @Alex__Calvo and his work can be found here.

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