The Political Economy of the Asia Pacific SeriesEditor VinodK.Aggarwal Forfurthervolumes: http://www.springer.com/series/7840 Manoj Gupta Indian Ocean Region Maritime Regimes for Regional Cooperation Foreword by Hasjim Djalal and Jon Van Dyke 123 ManojGupta UniversityofNewSouthWales AttheAustralianDefenceForceAcademy 2600AustralianCapitalTerritory Canberra Australia [email protected] ISSN1866-6507 e-ISSN1866-6515 ISBN978-1-4419-5988-1 e-ISBN978-1-4419-5989-8 DOI10.1007/978-1-4419-5989-8 SpringerNewYorkDordrechtHeidelbergLondon LibraryofCongressControlNumber:2010930825 ©SpringerScience+BusinessMedia,LLC2010 Allrightsreserved.Thisworkmaynotbetranslatedorcopiedinwholeorinpartwithoutthewritten permission of the publisher (Springer Science+Business Media, LLC, 233 Spring Street, New York, NY10013,USA),exceptforbriefexcerptsinconnectionwithreviewsorscholarlyanalysis.Usein connectionwithanyformofinformationstorageandretrieval,electronicadaptation,computersoftware, orbysimilarordissimilarmethodologynowknownorhereafterdevelopedisforbidden. Theuseinthispublicationoftradenames,trademarks,servicemarks,andsimilarterms,eveniftheyare notidentifiedassuch,isnottobetakenasanexpressionofopinionastowhetherornottheyaresubject toproprietaryrights. Printedonacid-freepaper SpringerispartofSpringerScience+BusinessMedia(www.springer.com) Foreword It is a privilege to introduce the reader to this book, as I believe that it will make a significant contribution to, given the difficulties in the knowledge of the Indian Ocean,developingcooperationintheIndianOceanregion. Therehavebeennumerousfailedeffortsatregionalcooperationindifferentfora in the Indian Ocean. As a result of the land-based orientation of the people in the region, the importance for countries to develop the power to govern the sea has largely been ignored. The maritime approach taken by Manoj Gupta to the Indian Ocean as a region in international relations offers a timely and critical assessment ofthepotentialforregionalcooperationandoceangovernance. Thepoliticalleadershipintheregioncannolongerignoretheneedforcooper- ation in maritime affairs in the Indian Ocean. This book enriches the literature on IndianOceanissuesasitarguesconvincinglythatthesecurityofnations,economic well-being of the people and health of the Indian Ocean cannot be divested from oneanother.Allarefundamentallydependantontheabilityofthecountriesinthe regiontoindividuallyandcollectivelyexertthepowertogovernthesea. This book on the Indian Ocean is long overdue. Its immediate value resides in providingthereaderwithapiercinginsightintomarinescientificresearchandport statecontrol—thetwomostcriticalregimesforthesecurityofnations,well-being ofpeopleandhealthoftheoceans.Isaythisaftersomefivedecadesofexperience inmaritimeaffairsatnational,regionalandinternationallevelsandhavingbeenthe PresidentoftheInternationalSeaBedAuthority. The reader is provided with a clear understanding of the importance of actor andstructureinterplaytodevelopeffectivecooperativerelations,justastherolesof intellectualgroups,power-basedgroupsandinterest-basedgroupsintheimplemen- tationofmaritimeregimesisimportant.Thebookthusoffersapotentiallycreative tool for assessing the effectiveness of maritime regimes and international regimes ingeneral.Thestatisticaldatapainstakinglycollatedissuggestiveofgreaterintra- Indian Ocean trade, and in this context, the book emphasises the importance of developingshippingintheIndianOcean. Manoj Gupta’s work in maritime policy brings a lively and rigorous presence to complex subjects. His work is about three intertwining concepts—regime the- ory,regionalcooperationandoceangovernance—andheaddressestheirintegration withaclearandthoroughunderstandingoftheliterature.Thisbook,withrefreshing v vi Foreword originality and creativity, provides a new ocean-focussed perspective to regional cooperationininternationalrelations. Iseesomesignificanceinbeinggiventheopportunitytointroducethereaderto this book. I sense Manoj Gupta’s vision for an Indian Ocean future. Having been fullyinvolvedinsomewhatdifficultandtenaciousnegotiationsfornearlyadecade at the third United Nations Convention on Law of the Sea and its implementation thereafter, I share his optimism for regional cooperation toward ocean governance intheIndianOceanregion. I am confident that government officials, nongovernmental organisations and the plurality of scholars in international relations, foreign policy, area studies and regionalismwillfindthisbookusefulandaaninvaluableresourcetofurtherregional cooperationandoceangovernanceintheIndianOceanregion.ManojGuptahasset the tone; now it is up to the wider Indian Ocean community to come together and createa“oneocean”policyfortheIndianOcean. Thisbookisoriginalinmanywaysandmakesasignificantcontributiontogain- ing a deeper knowledge about the Indian Ocean. The book is well researched and documentedandoffersaverycreativeapproachinexplainingregimestooceangov- ernanceandregionalcooperationininternationalrelations.Thisbookisparticularly eloquent and helpful in developing an understanding of maritime regimes in the Indian Ocean, and it offers a refreshing and original approach to overcoming the difficultiesofdevelopingIndianOceancooperation. ProfessorDr.HasjimDjalal ProfessorDr.HasjimDjalalwastheambassadorat-largefortheLawoftheSeaand Maritime Affairs. He has also served as the president of the International Seabed Authority (ISBA) and currently serves as chairman of its Finance Committee. He alsohas been theambassador/deputy permanent representative of Indonesia tothe UnitedNations,ambassadortoCanadaandGermany. HeisamemberofIndonesianMaritimeCouncil,senioradvisortotheIndonesian MinisterforMaritimeAffairsandFisheries,andtoIndonesianNavalChiefofStaff and has been involved in development of maritime cooperation in the Indian and Pacific Oceans. He has written extensively on the Law of the Sea and Regional issues. This book presents a thoughtful and careful analysis of regional Indian Ocean issues,basedonextensiveanddifficultresearch.Ithelpsreadersunderstandnotonly what has been accomplished in the region, but also what remains to be done. The authorprovidesaroadmapforthecountriesofthisregiontofollowandchallenges themtoworktogethermoreeffectivelyinthefuture. ProfessorJonVanDyke Preface The Indian Ocean is arguably the world’s least understood region in international relations. Furthermore, the oceanic realm has been ignored for too long by Indian Oceancountries.Theimplementationofinternationalmaritimeregimescouldpro- videthewaterwayforregionalcooperationandstrengthenoceangovernanceinthe IndianOceanregion. Thisbookisunique.FewcontemporaryworksofferacloselookatIndianOcean maritime affairs. Even fewer works combine three distinct concepts—regimes, regions and ocean governance—in examining prospects for regional cooperation. This book is possibly the first systematic and interdisciplinary attempt at drawing togetherleadingtheoriesofregionalism,integratedmanagementofmaritimeaffairs and regime effectiveness, and in so doing transcending the fields of international maritimelaw,politicalscience,internationalrelationsandinternationalregimes. ThisbookseekstomakeamodestcontributiontothestudyoftheIndianOcean region,offeringacomprehensiveexpositionofmaritimeregimesforregionalcoop- eration.Theaimistotrynarrowingthegapinourunderstandingaboutthestrategic importance of the Indian Ocean as a region in contemporary world geopolitics and international relations. This places the study in the genre of area studies that emphasiseregions,regionalordersandregionalcooperation. A rubric model of regime effectiveness constructed from a synthesis of regime theory and structuration theory is used to test effectiveness of two fundamentally important maritime regimes for the Indian Ocean region. The model avoids both overemphasising the role of structure and underestimating the power of actors in regime building. The creative approach has potential for further development and itsapplicationinmeasuringeffectivenessofotherinternationalregimes. Theregimeformarinescientificresearchandthemaritimesafetyregimeofport statecontrolwereinvestigatedforcooperationinareasofcommonintereststoassess theprospectsforbroaderregionalcooperationintheIndianOceanregion.Thecase studiesshowthatthegroundworkforregionalcooperationinthemaritimerealmhas beenlaidbyIndianOceancountries.Atpresent,though,forthesemaritimeregimes to be effective, the Indian Ocean must be considered as “one-ocean, one-region,” forwhichthereisinsufficientpoliticalleadershipamongstrimcountries. Researching the regimes for the Indian Ocean region has not been without its challenges. The Indian Ocean as a region occupies little scholarly attention. vii viii Preface Thestateofinformationisdismalandpubliclyavailablegovernmentdataofmost countriesisscant.Travellingtorimcountrieswasconstrainedbyresourcesandthe inabilitytoinitiatecontactwithgovernmentagencies. Theanalysisandinterpretationhasreliedoncollatingfirsthanddatafromannual reportsandinternationalagencies.Theideashavedevelopedovernearlyadecadeof policyworkinmaritimeaffairs.Thestudyhasbenefitedimmenselyfromtheinter- actionwithnumeroussubjectexpertsatdifferentforumsandindividualmeetingsin Australia,Indonesia,Malaysia,SingaporeandBrussels.ThediscussioninBrussels wasparticularlyusefulinconceptualisingthemodelformeasuringregimeeffective- nessandlearningmoreaboutglobalgovernance,regionalismandtheinter-regional dimension. Thisuniqueexerciseattemptstoovercomethecynicismassociatedwithlooking attheIndian Ocean asaregiontoarguethatinternational maritimeregimes could potentially build regional cooperation in the Indian Ocean for a new geopolitical region toemerge inthe geostrategic maritimerealm.Ina sense the book develops its own distinctive perspective on maritime regimes for ocean governance in the IndianOceanregion—anewregionalorder. Canberra,Australia ManojGupta Acknowledgements Arguably, this book is my own work, but the effort would not have been possible without the contributions of numerous individuals who have coalesced around its creation. When I left the Indian Navy in 2005, only to embark upon this research, I left behind a highly professional and fine service in search of an identity at sea. I would like to acknowledge four senior officers, Madhvendra Singh, Raman Puri, Satish Nambiar and Ashok Sawhney, who greatly contributed to my learning and advancementinmaritimepolicywork. The transition to research was made easy and much more exciting by a new teaminanewcountry.SamBatemanshowedmethepathtomakingthisresearcha reality.AnthonyBerginintroducedmetotheresearchandCanberra.CliveSchofield offered deep insights into Law of the Sea issues. Carlyle A. Thayer put in long hours providing valuable input and translating the research into its present form, encouragingmetopublish. Duringthecourseofthisresearch,thenumerouspeopleIinteractedwithhelped sharpenmythinkingontheIndianOceanandothermattersofregions,regimethe- ory and maritime affairs. My particular thanks to Professor Dr Hasjim Djalal and RearAdm(Retd)RobertMangindaanforthefieldworkinIndonesia.Iamindebted toProfessorVinodK.Aggarwalforhisvitalinputontheframeworkformeasuring regimeeffectivenessthatchangedthemodelfromastatictoadynamiconeandfor acodingmethodtobeadoptedforthequalitativeanalysis. Thanks are owed to a number of organisations, Indian Ocean Research Group, Maritime Institute of Malaysia, Rajaratnam School of International Relations at Singapore, Centre for Strategic and International Studies in Indonesia, HMAS Creswell and Seapower Centre in Australia, for hosting me in the course of this research, which that allowed wide ranging discussions across a spectrum of pro- fessionals.IamgratefultotheGARNETnetworkofexcellenceandtheEuropean CommissionforsupportingmyparticipationattheFourthPh.D.Schoolworkshop inBelgium. The University of New South Wales played a pivotal role by providing a research scholarship. In the Australian Defence Force Academy a scholar could not have asked for a better home. My sincere thanks to the Australian Government Department of Infrastructure, Transport, Regional Development and ix x Acknowledgements LocalGovernmentfortheirsupportandflexibleworkarrangements.Iwouldnever have entered research, and thus never have written this book, without the teach- ings at the Defence Services Staff College in India and the Southampton Solent UniversityintheUnitedKingdom,formerlyknownasSouthamptonInstitute. I am deeply indebted to the team at Springer led by Jon Gurstelle for their patience and wisdom in bringing this book to life. The final read is mine. I am sure the reader will find errors in this book. My apologies in advance, with more thanonehundredandfortythousandwords,Idonotknowwheretheerrorsare. Finally,Ithankmyfamilyasthistransitionintoresearchwaseasedbytheirlove, supportandendlesspatience.FormywifeNeelima,mysonMihirandmydaughter Tanya, “thanks” can never suffice. I especially wish to thank Mihir for his tireless effortsinassistingmewithpullingthestatisticaldataandreferencestogether.Tanya assisted me immensely with the proof read. My in-laws, Shashi and Chaman, for theirquietencouragementandblessings.Myparents,KumudandChandraMohan, for inspiring me to follow my dreams and without whom none of this would ever havebeenpossible.Thisbookisdedicatedtothem. AndtoGod,whomadeallthingspossible. Contents PartI Introduction:PoweroftheOceansAcrossRegions 1 ResearchingtheIndianOceanRegion . . . . . . . . . . . . . . . . 3 1.1 IndianOceanRegion. . . . . . . . . . . . . . . . . . . . . . . . 3 1.2 MaritimeRegimeBuildingforRegionalCooperation . . . . . . 4 1.3 ImportanceoftheIndianOcean . . . . . . . . . . . . . . . . . . 4 1.4 RegionalCooperationforOceanGovernance . . . . . . . . . . . 5 1.5 CentralityoftheBook . . . . . . . . . . . . . . . . . . . . . . . 6 1.6 FactorsandApproachtoResearch . . . . . . . . . . . . . . . . 7 1.7 ContributionoftheBooktoIRandIOStudies . . . . . . . . . . 9 1.8 StructureofBook . . . . . . . . . . . . . . . . . . . . . . . . . 10 1.9 ANoteonSourcesandMethods . . . . . . . . . . . . . . . . . 11 1.9.1 CaseStudyonIOGOOS . . . . . . . . . . . . . . . . . 12 1.9.2 CaseStudyonIOMOUforPSC . . . . . . . . . . . . . 12 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 PartII Ocean Governance, Regional Cooperation andRegimeTheory 2 TheNewRegimeforOceanGovernance . . . . . . . . . . . . . . . 17 2.1 EmergenceoftheNewLegalRegimefortheOceans . . . . . . . 17 2.2 RegimeChangeintheOceans . . . . . . . . . . . . . . . . . . . 18 2.3 ImportanceofOceans . . . . . . . . . . . . . . . . . . . . . . . 19 2.4 ChangingMaritimeDimensions . . . . . . . . . . . . . . . . . . 22 2.5 RegimeforOceanGovernance“HistoryintheMaking” . . . . . 25 2.6 DefiningOceanGovernance . . . . . . . . . . . . . . . . . . . . 27 2.7 PressuresofOceanGovernance . . . . . . . . . . . . . . . . . . 28 2.8 IndicatorsofOceanGovernance . . . . . . . . . . . . . . . . . . 29 2.9 ObjectivesandPrinciplesofOceanGovernance . . . . . . . . . 30 2.10 InitiativesforOceanGovernance . . . . . . . . . . . . . . . . . 32 2.11 StrategyforOceanGovernance . . . . . . . . . . . . . . . . . . 35 2.12 RegulationandControlatSea . . . . . . . . . . . . . . . . . . . 38 2.13 AttributesofthePowertoGoverntheSea. . . . . . . . . . . . . 40 xi