NPS ARCHIVE 1997 CIMENDEROGLU, E. NAVAL POSTGRADUATE SCHOOL MONTEREY, CALIFORNIA THESIS ANALYSIS OF TRANSFERRING NAVY PERRY U.S. CLASS FRIGATES TO TURKEY AND ISSUES RAISED DURING THE PROCESS by Eser Cimenderoglu March 1997 Principal Advisor: Orin Marvel Approved for public release; distribution is unlimited Thesis C4789233 KNOXLIBRARY -'- oaTGRADUATESCHOOL */IONT£REY CA 93MM101 DUDLEY KNOX LIBRARY NAVAL POSTGRADUATESCHOOL MONTEREY, CA93943-5101 . REPORT DOCUMENTATION PAGE FormApprovedOMBNo.0704-0188 Publicreportingburdenforthiscollectionofinformationisestimatedtoaverage1hourperresponse,includingthetimeforreviewinginstruction,searchingexistingdatasources, gatheringandmaintainingthedataneeded,andcompletingandreviewingthecollectionofinformation.Sendcommentsregardingthisburdenestimateoranyotheraspectofthis collectionofinformation,includingsuggestionsforreducingthisburden,toWashingtonHeadquartersServices,DirectorateforInformationOperationsandReports,1215Jefferson DavisHighway,Suite1204,Arlington,VA22202-4302,andtotheOfficeofManagementandBudget,PaperworkReductionProject(0704-0188)WashingtonDC20503. 1. AGENCYUSEONLY (Leaveblank) 2. REPORTDATE 3. REPORTTYPEANDDATES COVERED March 1997 Master's Thesis TITLEANDSUBTITLE: ANALYSISOFTRANSFERRINGU.S. NAVY 5. FUNDINGNUMBERS PERRYCLASS FRIGATESTO TURKEYANDISSUESRAISEDDURING THEPROCESS AUTHOR(S) Cimenderoglu, Eser PERFORMINGORGANIZATIONNAME(S)ANDADDRESS(ES) PERFORMING 7. Naval Postgraduate School ORGANIZATION Monterey, CA 93943-5000 REPORTNUMBER 9. SPONSORING/MONITORINGAGENCYNAME(S)ANDADDRESS(ES) 10. SPONSORING/MONITORING AGENCYREPORTNUMBER 11. SUPPLEMENTARYNOTES Theviews expressed inthis thesis arethose ofthe author anddo not reflectthe official policy orposition ofthe Department ofDefense orthe U.S. Government. 12a. DISTRIBUTION/AVAILABILITY STATEMENT: Approved for public release; 12b. DISTRIBUTIONCODE: A distribution isunlimited. 13 ABSTRACT (maximum 200words) This thesis analyzes the process used to transfer U.S. Navy Perry class frigates to Turkey and issues raised during this transfer process. Up to the final step, this transfer was representative of most U.S. military equipment transfers. The relations between allied countries depend heavily on the mutual support they provide to each other. Strong relations create strong mutual support, or vice versa. Although the FMS/FML process is a very effective process for ship transfers, political issues must never be underestimated. As the Cold War came to an end, the mutual threat had changed, affecting alliances and rephrasing the causes oftheir existence. The effect ofthis change has caused more domestic oriented policies to predominate within a country's political system. Although this policy change didn't cause procedural changes in regulations and rules, the application ofthe decisions given and approved by the highest executive and legislative branch authorities are now more subjective and seem unpredictable. Long term and continuous repetition ofthis behavior could cause negative impact on alliances. 14. SUBJECTTERMS ForeignMilitarySales, ShipTransfertoTurkey,FMSProcess,PerryClass 15. NUMBEROF Frigate Sales, SecurityAssistance PAGES 61 16. PRICECODE 17. SECURITYCLASSIFICA- 18. SECURITYCLASSIFI- 19. SECURITYCLASSIFICA- 20. LIMITATIONOF TIONOFREPORT CATIONOFTHISPAGE TIONOFABSTRACT ABSTRACT UL Unclassified Unclassified Unclassified NSN7540-01-280-5500 StandardForm298 (Rev. 2-89) PrescribedbyANSIStd239-18298-102 11 Approved for public release; distribution is unlimited ANALYSIS OF TRANSFERRING NAVY PERRY CLASS FRIGATES TO U.S. TURKEY AND ISSUES RAISED DURING THE PROCESS Eser Cimenderoglu Commander, Turkish Navy B.S., Turkish Naval Academy, 1979 Submitted in partial fulfillment ofthe requirements for the degree of MASTER OF SCIENCE IN MANAGEMENT from the NAVAL POSTGRADUATE SCHOOL March 1997 DUDLEYKNOXLIBRARY NAVAL POSTGRAOiU rg '^HOOL MONTEREY Ca SS^jQI ABSTRACT This thesis analyzes the process used to transfer U.S. Navy Perry class frigates to Turkey and issues raised during this transfer process. Up to the final step, this transfer was representative of most U.S. rnilitary equipment transfers. The relations between allied countries depend heavily on the mutual support they provide to each other. Strong relations create strong mutual support, or vice versa. Although the FMS/FML process is a very effective process for ship transfers, political issues must never be underestimated. As the Cold War came to an end, the mutual threat had changed, affecting alliances and rephrasing the causes of their existence. The effect of this change has caused more domestic oriented policies to predominate within a country's political system. Although this policy change didn't cause procedural changes in regulations and rules, the application of the decisions given and approved by the highest executive and legislative branch authorities are now more subjective and seem unpredictable. Long term and continuous repetition of this behavior could cause negative impact on alliances. VI TABLE OF CONTENTS INTRODUCTION I. 1 BACKGROUND A. 1 B. THESIS OBJECTIVES 3 RESEARCH QUESTIONS C. 3 1. Primary 3 2. Secondary 3 D. SCOPE AND LIMITATION OF RESEARCH 4 E. ORGANIZATION OF STUDY 4 CURRENT FMS POLICIES AND PROCEDURES FOR THE II. TRANSFER OF U.S. NAVY VESSELS TO FOREIGN COUNTRIES 5 HISTORY A. 5 SECURITY ASSISTANCE PROGRAMS B. U.S. 8 THE FMS PROCESS C. 10 1. Letter ofRequest 11 SME 2. Request for 13 3. All Other FMS (non-SME) 13 GOVERNMENT ORGANIZATIONS D. U.S. 13 1. Executive Branch 13 2. Legislative Branch 14 3. Judicial Branch 16 E. SECURITY ASSISTANCE (SA) RELATED TO AUTHORIZATION AND APPROPRIATION ACTS 16 1. Authorization Acts 16 2. Appropriations Act 17 F. CONGRESSIONAL NOTIFICATION 17 1. Foreign Military Sales/Leases 17 2. Congressional Joint Resolutions 19 SUMMARY H. 19 Vll III. THE U.S. NAVY TRANSFER PROGRAM AND "PERRY" CLASS FRIGATE TRANSFER PROCESS TO TURKEY 21 A. THE U.S. NAVY SHIP TRANSFER PROGRAM 21 1. General 21 2. Ship Transfer Policies 21 3. The Transfer Authorities 23 4. Methodology ofShip Transfers 24 5. The Transfer Process 25 B. BACKGROUND ON SHIP TRANSFERS TO TURKEY 32 C. THE INITIATION OF THE "PERRY" TRANSFER TO TURKEY 32 D. TRANSFER PROCESS 33 1. Work Definition Conferences (WDC) 33 2. Legislative and Congressional Process and Outcomes 35 SUMMARY E. 40 ANALYSIS OF THE TRANSFER PROCESS WITH RESPECT IV. TO THE FMS PROCEDURES 41 A. INITIATION OF THE TRANSFER PROCESS 41 B. SHIP INSPECTIONS AND TURKEY'S FORMAL COMMITMENT 41 C. REVISION OF THE TRANSFER AGREEMENT 42 D. CONGRESSIONAL PROCESS 42 1. Transfer Authorization Bills 42 2. Congressional Notification 43 E. THE DISPUTE OVER THE KARDAK ISLETS IN AEGEAN SEA 44 A 1. BriefExplanation ofthe Crisis 44 A 2. Bill Introduced to the U.S. Senate 45 F. THE FINAL STEP YET TO COME 46 V CONCLUSION 47 A. CONCLUSION 47 B. AREAS FOR FURTHER RESEARCH 48 INITIAL DISTRIBUTION LIST 49 viii