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Expanding the Naval Canon: Fernando de Oliveira and the 1st Treatise on Maritime Strategy

Every community has a canon that best encapsulates the genealogy of personalities, ideas, and events that shape the way the community sees itself and is perceived by others. The naval community is no exception. This article suggests that an important monograph has been overlooked in that canon: Fernando de Oliveira’s “The Art of War at Sea” published in 1555. It is the oldest treatise on maritime strategy.

The naval lore and the mainstream canon
Maritime strategy and war at sea have long occupied the minds of sailors and statesmen. The scholarly study of maritime strategy, however, is a relatively recent endeavour. Its roots in the modern western tradition are found in the United Kingdom during the latter half of the 1800s.

Authors such as the Colomb brothers, Sir John Laughton, and, more famously, Sir Julian Corbett were among the first to muster a robust understanding of strategy in discussions of naval problems. The United States soon followed suit as Alfred Mahan, William Sims, and Willis Abbot, among others, penned numerous other works to an increasingly sophisticated naval lore.

Not surprisingly, the standard account of the disciplinary evolution of maritime strategy and naval affairs reflects this Anglo-Saxon outlook. This account is taught in naval academies and some civilian universities around the world, further reinforcing the existing canon. Other influences surely contribute to the debate, including Jomini and Beaufre, and even ancient Greeks, such as Thucydides and Themistocles, but by and large the naval lore is founded on works dealing with the British and American experiences at sea.

Fernando de Oliveira’s “The Art of War at Sea” (1555)

In its rise to become the first global maritime empire, Portugal had to develop an understanding of maritime strategy that enabled the achievement of its political aims. Like Britain’s Corbett and America’s Mahan, Portugal’s greatest maritime strategist was Fernando de Oliveira. Writing at the peak of Portuguese power, Oliveira put in writing the foundations of that global empire.

Fernando de Oliveira’s “The Art of War at Sea” (Arte da Guerra do Mar), published in Coimbra in 1555, stands as the oldest treatise on maritime strategy. Oliveira himself acknowledges that very little had been written on the subject; he only refers to Vegetius (4th century AD) for his important but sparse insights into naval warfare. In historical context, Oliveira wrote this treatise three centuries before Corbett, Mahan, and others acquired the habit of thinking strategically about naval warfare. So what can we find in Oliveira’s “The Art of War at Sea”?

Frontispiece of the original "Arte da Guerra do Mar" (1555), by Fernando de Oliveira.
Frontispiece of the original “Arte da Guerra do Mar” (1555), by Fernando de Oliveira.

The book is divided into two parts, the first dealing with the principles of war at sea whereas the second explores its conduct. Each part has fifteen chapters. The genius of Oliveira’s work is found not merely in his (dated) analysis of Portugal’s 16th century navy, but, more importantly, in his comprehensive grasp of the (perennial) foundations of maritime power. The chapters focus on topics such as just war theory, strategic theory, leadership, shipbuilding, logistics, personnel recruitment and retention, and military readiness. And this is just in the first half. The second part goes on to tackle force structure, situational awareness, oceanography, and intelligence, among other topics.

These are obviously modern terms to describe very old phenomena. However, the challenges of 16th century naval power are not dissimilar to those of today’s navies whose countries depend on the sea for wealth and prestige. Oliveira, like Corbett and Mahan, was aware of this and expressed it in the opening pages of the treatise. Discussing naval matters, the author argues, “is a useful and necessary matter, particularly for the people of this land [Portugal] who now fare more at sea than others, whereby they gain many profits and honour, and also run the risk of losing it all, if they do not preserve it […].” This verdict ought to resonate contemporary strategists from nations such as the United States, Britain, and Japan, but also those strategists whose countries have maritime ambitions, such as China and India.

Fernando de Oliveira (or Fernão de Oliveira) was an interesting man living in interesting times. A true polymath educated in a Catholic seminary, it soon became evident that God had other plans for him. Oliveira dwelled in the maritime community of Lisbon, then as now a capital with an umbilical connection to the sea, learning key skills that made him a valuable asset for any navy. These skills included: navigation (he became a pilot aboard a French warship in expeditions against British commerce); shipbuilding (two English kings coveted his counsel whilst a prisoner of war in London); negotiation (he led a prisoner exchange when a Portuguese military expedition to north Africa failed; and possibly espionage (some sources mention his spying for the Portuguese Crown in negotiations with the Vatican).

In between his adventures, Oliveira wrote invaluable works that rival “The Art of War at Sea” in scope and insight. These include the world’s first encyclopaedic treatise on navigation and shipbuilding entitled Ars Nautica (ca. 1570), which he later expanded into the first treatise on naval architecture, Livro da Fabrica das Naos (ca. 1580), the first book on Portuguese grammar, Grammatica da Lingoagem Portuguesa (1536), and one of the first books on Portuguese history, Historea de Portugal (ca. 1581). These works attest to Oliveira’s genius. Unlike Corbett, who entertained a career as a novelist at first, Oliveira made a lasting literary contribution to fields beyond maritime strategy.

Conclusions
There is every reason for Fernando de Oliveira’s “The Art of War at Sea” to become compulsory reading for sailors, mariners, strategists, historians, and laymen with an interest in the complexity of conflict at sea. I will highlight only four of them.
First, the book is a distant yet direct ancestor to the current mainstream canon of maritime strategy. Incorporating this source into the canon and submitting it to academic scrutiny will help illuminate the origins of Western maritime strategic thought.
Second, there is an inherent value in studying Oliveira’s work in the context of naval warfare in the age of sail, particularly Portugal’s path toward a global maritime empire.
Third, the book retains great relevance for current debates on maritime strategy. Oliveira’s thoughts on the building, maintenance, and deployment of navies in the pursuit of policy can inform decision-makers, analysts, and the larger policy community on the often misunderstood nature and character of naval warfare.
Fourth, “The Art of War at Sea” can foster a debate on broader issues of strategy and power in light of existing scholarship on just war theory, military leadership, defence economics, and so forth.

In conclusion, it is high time for the naval community to retrieve Fernando de Oliveira’s “The Art of War at Sea” from the dustbin of history. My current efforts to translate the treatise to English will hopefully set this process in motion.

 

Tiago Mauricio is a WSD-Handa non-resident fellow at Pacific Forum CSIS. He holds an MA in War Studies from King’s College London and is continuing his studies at Waseda University, after spending two years as a researcher at Kyoto University, Japan. He is currently translating Fernando de Oliveira’s Arte da Guerra do Mar (1555) to English.

Law from Power

A law is the system of rules that a particular country or community recognizes as regulating the actions of its members and may enforce by the imposition of penalties. The key word being enforce. If someone asks, “Why shouldn’t you exceed the speed limit?” will the most likely answer be “because it is against the law,” or will it be “because if you get caught you will have to pay a speeding ticket”?

We can romanticize laws and say they come from a unified moral feeling of right and wrong, but they do not. The truth is, laws come from power. It is not enough that a governing body makes a rule and tells everyone to follow it. All laws ultimately come down to the issue of enforcement. Any authority can say something is a law, but if they cannot enforce it, it becomes meaningless. The legalization of marijuana within the states of Colorado and Washington is a good example. Marijuana is illegal within the United States under the Controlled Substance Acts of 1970, but in 2012 the states of Colorado and Washington legalized marijuana. How can individual states within the U.S. passing state-level legislation countermand federal law? The answer is simply, they cannot. Marijuana is still illegal by federal law within Colorado and Washington, but the federal government of the U.S. either does not have the means or the will to enforce it, so it effectively becomes legal.

She's going to need that sword.
She’s going to need that sword.

The United Nations was created in 1945 to maintain peace and international security. Since its creation, it has been viewed by most of the world as the creator, maintainer, and enforcer of international law. The 2003 invasion of Iraq and 2014 annexation of Crimea by Russia are two events in recent history in which many have very different opinions. Multiple positions have thrown around the terms “in violation of international law” and “in accordance with international law” repeatedly.

Those who oppose the war have repeatedly made the argument that the 2003 invasion of Iraq was in violation of Article 2 sect. 4 of the UN charter, “all members shall refrain in their international relations from the threat or use of force against the territorial integrity or political independence of any state.” There is also a valid argument that UN Security Council Resolution 1441, which passed the Security Council unanimously as Iraq’s “final opportunity to comply with its disarmament obligations,” was enough to authorize a UN member to take military action. Along similar lines, some argue that Russia violated the territorial integrity of Ukraine, while others claim that actions in Crimea are a domestic issues under Article 2 sect. 7 of the UN Charter where “nothing contained in the present Charter shall authorize the United Nations to intervene in matters which are essentially within the domestic jurisdiction of any state.” The Crimean people voted to secede from Ukraine and then requested to join Russia.

The legal definitions will be debated for both cases for years to come, but this is not important. What is more relevant to ask is, does it matter? Anyone can say the actions taken in Iraq or Ukraine were against international law, but if no one has the means and will to enforce it, then it is meaningless. Condemn all you want, show deep concern, and say there will be consequences, but talk is cheap. Power and action are expensive.  

Maintaining international peace and security
Maintaining international peace and security

When the UN was formed, it consisted of 51 members. There were approximately 76 internationally recognized independent nations at this time. If the other approximately 25 nations created a different organization counter to the UN and passed their own conflicting laws to what was laid out by the UN charter, would those laws have been any less real? Absolutely! At the point of its creation the UN contained the most powerful nations in the world, so when it said in Article 2 sect. 6 that “the Organization shall ensure that states which are not Members of the United Nations act in accordance with these Principles,” it meant business because the UN had the power to back it up.

Laws ultimately come down to the issue of enforcement, and the ability to enforce comes from having adequate power. Arguing what is contrary to and in accordance with international law means absolutely nothing if there are not meaningful consequences for nation’s actions. Claims without the ability to enforce are rhetoric, nothing more.

LT Jason H. Chuma is a U.S. Navy submarine officer who has deployed to the U.S. 4th Fleet and U.S. 6th Fleet areas of responsibility. He is a graduate of the Citadel, holds a master’s degree from Old Dominion University, and has completed the Intermediate Command and Staff Course from the U.S. Naval War College. He can be followed on Twitter @Jason_Chuma.

The opinions and views expressed in this post are his alone and are presented in his personal capacity. They do not necessarily represent the views of U.S. Department of Defense or the U.S. Navy.

PTP Response: Levels of Interaction, the Historical Approach and the Public Mind

This post was provided by Dr. John T. Kuehn in response to the series on CIMSEC and The Bridge, Personal Theories of Power. Dr. Kuehn is a member of the U.S. Army Command and General Staff College faculty and the author of Agents of Innovation: The General Board and the Design of the Fleet that Defeated the Japanese Navy and A Military History of Japan: From the Age of the Samurai to the 21st Century.

It is just here that the Institute might render important service to the profession by enlightening the public mind of the Navy on this subject, through the medium of essays and frequent discussions. — Admiral Stephen B. Luce, 1888, annual address as President of the U.S. Naval Institute

My personal theory of power, at least for the moment, has two parts. The first part comes from an idea broached by Mark Mandeles known as “levels of analysis.” The second part has to do with my own approach to exercising such power in ethical and, hopefully, altruistic ways in my own life through education, specifically educating minds to include the historical perspective. In other words, the theory followed by its application and execution in my own case.

Levels of Power — An Analysis

First, levels of analysis describe human interactions in terms of relationships. Generally, these levels fall into three groups: the individual, organizational, and institutional. Institutions are near the very top of social hierarchies and, in the words of Douglass North are, “society’s rules of the game.”[i] Translating this to a personal level, each human interaction occurs within these sorts of contexts and, therefore, for each of us, each interaction—as an individual, as a member of an organization or small cohesive team, and as a member of a larger institution—is pregnant with both possibility and limitation, occasionally leading to brilliant success or utter catastrophe. We influence others, wield our power as it were, in these situations and in different ways. Most interactions are at the personal level, but within teams and organizations, we behave a bit differently based, again, on the possibilities and limitations of our personal influence in that particular context. For example, parents exercise individual level power all the time with their children. At the organizational level we often think of our team, unit, or organization associated with employment. As one’s responsibility increases, so does the level of interaction and the ability to exercise personal power at the organizational level. However, for the audience that is probably reading this, we have folks who occasionally (or more often) exercise their power within institutional settings, as leaders of powerful institutions—for example Admiral Jonathan Greenert exercising his influence and authority as the US Navy service chief or David Petraeus when he was director of the CIA.

Education of the Historical Perspective

Back in the turbulent 20th Century an American historian named Thomas Bailey wrote A Diplomatic History of the American People. Bailey argued that the American people, through the power of public opinion, have always (one might say traditionally) exerted a profound influence on the foreign policy of the United States.[ii] This raises the issue of how does one influence the public opinion of the American people? N.A.M. Rodger dealt extensively with how the public mind is influenced by historical narratives and myths. He found that, contrary to perhaps conventional wisdom, Americans do use history to inform their public thinking, but that most of this history is flawed, wrong, or obscures what might have value coming to grips with the human past.[iii] I contend that the historical approach to influencing the public mind is not something that needs doing, rather it is something that needs doing correctly.

For Clausewitz and Mahan theory literally was study.

Minds as different and culturally divergent at Carl von Clausewitz, A.T. Mahan, and Mao Zedong all shared one trait in common when it came to military theory—theory should include study and when it came to war that study should be military history. For Clausewitz and Mahan theory literally was study.[iv] It is all well and good for the military professional to create his or her own theory by doing this (precisely what this series of articles is doing, after all), but how does this translate in power and influence? One means is through education, and not just military professionals or governmental elites, but the public. They get a vote.

For me it involves teaching, engaging if you will, with history as a means to educate the public mind—with individuals, groups, and in larger settings, at all levels. And so I teach primarily military and political history—at Fort Leavenworth, for Norwich University, at University of Kansas, for the Naval War College fleet seminar program, and frankly at any opportunity I get.

A theory is useless unless one employs it in a practical and daily manner.


[i] Friedman, Mandeles, and Hone, American and British Aircraft Carrier Development, 5-6. These authors cite Nobel Laureate Douglass C. North, Institutions, Institutional Change, and Economic Performance (New York, 1993.) More recently, Mandeles acknowledges the role of Jean de Bloch’s pioneering analyses in The Future of War: Organizations as Weapons (Washington, DC, 2005) as contributing to his inspiration for the “levels of analysis” approach.

[ii] Thomas Bailey, A Diplomatic History of the American People, Tenth Edition (Englewood Cliffs, NJ: Prentice-Hall, 1980).

[iii] N.A.M. Rodger, “The Perils of History,” Hattendorf Prize Lecture, Naval War College Review (October 2011): 8-15

[iv] Carl von Clausewitz said this literally in Book 2 on military theory of On War, trans. Peter Paret and Michael Howard (Princeton, NJ: Princeton University Press), 141-142; Jon T. Sumida emphasizes this aspect of both Mahan’s and Clausewitz’s theoretical approaches in Inventing Grand Strategy and Teaching Command: The Classic Works of Alfred Thayer Mahan Reconsidered (Washington, D.C.: Woodrow Wilson Center Press/Johns Hopkins Univ. Press, 1997) and Decoding Clausewitz (Lawrence, KS: University of Kansas Press, 2008), especially chapter 1. For Mao see John Shy and Thomas Collier, “Revolutionary War” in Makers of Modern Strategy (Princeton, NJ: Princeton University Press, 1986): 815-862.

Sea Control 37 – Personal Theories of Power

seacontrol2CIMSEC and The Bridge have been coordinating on a collection of articles on the personal theories of power for several uniform service members, defense professionals, and academics.  I sit down with, Dave Lyle, Rich Ganske, and Nate Finney, three other writers from the series, to discuss the nature of power, some of the theories from our collection, and the utility of such discussion.

DOWNLOAD: Sea Control 37 – Personal Theories of Power

Speaking of theories of power… remember, CIMSEC is running our “Sacking of Rome” series starting 16 June! Instead of talking about securing the commons, maintaining global security… using historic examples, modern-day developments, or predictions of the future, red-team the global system and develop constructive answers to your campaign. If you were an adversary, how would you seek to subvert or tear down the global system and how could we stop you? Paul Pryce is our editor for the week: (paul.l.pryce -at- gmail.com).

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