ForewordWhile oceans have the potential to aid mankind's development andprosperity, they also contain many problems in such areas as security,development, and the environment. Should not the United States and Japan,the two major seapowers, standing on the foundation of security cooperationon the sea created by the United States Navy and Japan MaritimeSelf-Defense Force, firmly build a "seapower alliance" that incorporates adaring new concept, and offer it to the world as a global commons, therebycontributing to peace and prosperity via the ocean?Motivated by these ideas, the Ocean Policy Research Foundation, inconjunction with the Pacific Forum CSIS, the Center for a New AmericanSecurity and the American Enterprise Institute, organized the U.S.-JapanSeapower Dialogue, at which experts from both countries came together overa series of three meetings in March and July of 2008 and April of 2009.Through the Dialogue, which has facilitated discussion of issues facing theU.S. - Japan Alliance and the status of initiatives to deal with ocean problems,many constructive opinions have been presented. The Ocean PolicyResearch Foundation compiled the fruits of these discussions andsubmitted them to the 3rd U.S.-Japan Seapower Dialogue in the form of adraft proposal. Participants of the dialogue agreed that there was value inmaking a proposal that reflects carefully and across a broad range theoutcome of the dialogue.With the endorsement of participants of the U.S.-Japan Seapower Dialogue,Ocean Policy Research Foundation publishes hereupon United States-JapanSeapower Alliance for Stability and Prosperity on the Oceans as a proposal.Ocean Policy Research FoundationApril 17, 2009iThis proposal is endorsed by the following individuals;Naoyuki AGAWAMasahiro AKIYAMAKazumine AKIMOTORichard ARMITAGEJames E. AUERMichael AUSLINRalph A. COSSABrad GLOSSERMANMichael J. GREENJiro HANYUBrian HARDINGKeiko IIZUKATakehisa IMAIZUMIHideaki KANEDAKazuyo KATOBrendan KELLYJames A. KELLYShinichi KITAOKAYoji KODAKei KOGAKanae KOMAKITetsuo KOTANIJames KRASKARichard McPHERSONAki MORIKoji MURATAHiroyuki NAKAHARAKazuya NATSUKAWARobin H. SAKODARandall G. SCHRIVERShunji YANAITetsuo YUHARAiiContents1．U.S. - Japan Seapower Alliance Ushering in a New Era ······ · 12．Development of the U.S.-Japan Seapower Allianceon the Ocean: A Proposal ··············································· · 4a．Ocean Based Defense and Security ······························ · 5a-1 Promotion of a Global Maritime Partnershipin the Indian and Pacific Oceans ···························· · 5a-2 Establishment of Joint Response Readiness forSituations of Armed Conflict ································· · 7a-3 Consortium of Seafaring Nations Concept ··············· · 9b．Toward Sustainable Development of the Ocean ············· · 9b-1 Development of Marine Resources,Marine Technology, and Research Study ················· · 9b-2 Conservation of the Marine Environment andResponse to Climate Change ································· 11c．Establishment of an International Regime based onUNCLOS and Related Conventions ····························· 11iii1. U.S. - Japan Seapower Alliance Usheringin a New EraThe oceans hold the possibility for solving many of the issues facingmankind, such as the problems of energy and resource shortages, and climatechange, as well as how to create future development and prosperity.＊＊＊＊Hopes for DevelopmentThe oceans cover 71 percent of the surface of the planet on which we live.In the future as in the past, the sea lanes will continue to bring prosperity tosociety. Unexploited resources beneath the seabed have also been confirmed,including oil, natural gas, manganese modules, and methane hydrate, andadvanced exploration and exploitation technologies are being developed. Acontinuing decrease in frozen sea areas in the Arctic Ocean will make transitthroughout the Northwest Passage and Northern Sea Route more feasible,thereby significantly reducing travel time between Europe, Asia, and NorthAmerica. And, melting sea ice may make accessible the seabed of the ArcticOcean, which has resources such as crude oil.The Ocean as a "Critical Infrastructure" for MankindWhen we look at conditions on the ocean however, we find the sea lanesare threatened by piracy and maritime terrorism, overt tensions betweenstates over marine jurisdictional areas and rights to ocean resources, andextreme instability in the security environment due to a lack of transparencyin the rapid build-up of naval forces by emerging maritime powers. Shouldglobal shortages of resources and energy arise in the future, armed conflictscould erupt between states over maritime rights and freedoms.－ 1 －At the same time, indiscriminate development and pollution areendangering marine ecosystems and environments, and further aggravatingclimate change. Global warming leads to the problem of sea level rise, whichthreatens island states and areas at low sea levels. In addition, it is fearedthat climate change will lead to new security problems.Amidst these conditions, entities among many developing and lessdeveloped coastal states lack the financial and enforcement resources toeffectively manage their jurisdictional waters, which results in havens forillegal, unregulated, and unreported (IUU) fishing, piracy, and maritimeterrorism, and an inability to protect living and non-living marine resourcesand the ocean environment. Also, while development of technologies forseabed resource extraction continues apace, environmental impactassessment often lags.Due to the bounty it provides, the ocean is often called the "CommonHeritage" of mankind. In light of these essential qualities, it might now bemore aptly termed mankind's "Critical Infrastructure," which we mustcooperate to preserve and protect.The Ocean for Japan and the United StatesThe United States and Japan are the world's two largest economies andleading seafaring nations, as more than 30 percent of each country's GDPdepends on maritime commerce. The two countries are also the world'slargest importers of oil. The ocean is a lifeline for their economies, whoseimportance will no doubt increase in future. Development of seabed resourceswill also become indispensable for both countries.Both nations enjoy expansive coastlines, so security in the oceans isessential to their national security. The oceans are the largest maneuver－ 2 －space on the globe, providing the first line of defense against attack andenabling swift and flexible responses to distant crises. The U.S.-Japanalliance is, if we look only at its significance through the lens of mutualsecurity, substantially a maritime defense alliance in the sense of using thesea to protect common national interests.Leadership Needed for the OceanLeadership by the leading seafaring nations is indispensable forstabilizing the security environment on the ocean, promoting marinetechnology, revitalizing industry, advancing sustainable development, andestablishing international order. The United States and Japan shouldrestructure their seapower in strengthening their alliance arrangements,make it the common basis for international cooperation, and grapple with theproblems involving ocean development and security.Changes in the Concept of SeapowerAt the end of the 19th century, Admiral Alfred T. Mahan observed a historythrough which the fate of nations was inextricably bound up with theircontrol of the seas, and the Admiral described "seapower" as the applicationof a state's strength in maritime transport, navigation, experienced seafarers,and a capable navy in order to achieve greater prosperity through maritimetrade via "the great common of mankind" or the "great highway." He urgedAmerica to build its power in this regard. The development of Mahan'sconcept has had far-reaching effects on world history, and, in the current ageof a global economy, has yet to lose its validity.In today's world, all countries seek to increase their access to the ocean inpursuit of a variety of rights and interests. The great highway of mankind isnow the great commons, essential for global mobility and trade, and a richsource of both living and non-living resources. A variety of management－ 3 －regimes have been created, including the United Nations Convention on theLaw of the Sea (UNCLOS), which gives sovereign rights and jurisdiction tocoastal states for the development of resources and protection of theenvironment. Under these conditions, we must therefore add such capacitiesas scientific research and technology, resource development, andenvironmental protection management as important elements of seapower.In this way, the concept of seapower must be grasped in a refined andbroadened way and with expanded significance.The New Concept of Seapower Arising From the U.S.-JapanAllianceThe seapower we propose to build through the U.S.-Japan Alliance ischaracterized by such a broad definition. The process of building the newseapower alliance will also serve as a new challenge for the U.S.-JapanAlliance that some suggest is beginning to waver. Recognizing the greatchanges that have taken place on the ocean, there is a need for the UnitedStates and Japan to establish and exercise a new seapower throughout theworld. The spread of this concept would become an attempt to connectthe Pacific and the Indian Oceans with peace and stability.2. Development of the U.S.-Japan Alliance on theOcean : A ProposalWe offer the following proposal to the governments of the United Statesand Japan so that both countries may work together to create an accessible"new seapower" that will promote freedom of navigation and stabilize thesecurity environment of sea lanes, and will deter armed conflict overmaritime interests while promoting sustainable ocean development.－ 4 －As the seas are interconnected and comprise one "world ocean", solutionsto ocean problems call for comprehensive responses. For a Consortium ofSeafaring Nations, cooperation on resource and environmental protectionissues and promoting science and technology, in addition to cooperation onmilitary and security issues, is more important than ever. Joint effort in theseareas is now called for.a. Ocean Based Defense and Securitya－1. Promotion of a Global Maritime Partnership in theIndian and Pacific Oceans・Japan should support the Global Maritime Partnership (GMP) beingadvanced by the United States, which calls for mobilizing theseapower of different nations for disaster relief, prevention of maritimeterrorism, piracy, and transport of weapons of mass destruction, and, incooperation with the United States, help strengthen GMP in the Indianand Pacific Oceans.・The United States and Japan should work to create Maritime DomainAwareness (MDA) as the global commons, while ensuring MDA is notmisused by state and non-state actors to impede freedom of navigation.・The international cooperative activities being carried out by CoastGuards from several countries that began as a result of such Japaneseinitiatives as the "Northern Pacific Coast Guard Forum Principals'Summit" and similar gatherings focused on Southeast Asia, areappreciated. Likewise, the "Western Pacific Naval Symposium"(WPNS) provides a great contribution by promoting confidence buildingand transparency as well as mutual understanding toward stabilizingthe maritime security environment. The United States and Japanshould cooperate in promoting the regional expansion of theseinternational activities and the creation of multi-layered regimes.・The navigational safety support activities Japan conducts in the Malacca－ 5 －and Singapore Straits and surrounding areas should, in conjunctionwith India, be extended into the Indian Ocean. Japan also shouldpromote cooperation with the United States on the support activities itcarries out on the East African coast. It should be noted that theparticipation of Japan in international frameworks to suppress piracyoff the coast of Somalia may succeed in promoting directly or indirectlycooperation among various countries including the EU, Russia, andChina on the basis of U.S.-Japan cooperation, and will create anopportunity for the establishment of a multinational system to securethe safety of sea lanes that are the great commons.・The roles of the International Maritime Organization (IMO), which hasgrappled with global maritime security issues, are appreciated. Withregard to the piracy problem, the Regional Cooperation Agreement onCombating Piracy and Armed Robbery against Ships in Asia （ReCAAP)is a welcome framework for regional cooperation for informationanalysis and sharing and capacity building, and we recognize that it isproving an invaluable model for international cooperative activities forthe problems of piracy off the coast of eastern and western Africa. Thegovernments of the United States and Japan strongly hope thatIndonesia and Malaysia will join ReCAAP soon. At the same time, this"ReCAAP model" should be adopted for other regional concerns, as wellas those on the maritime security agenda.・The United States and Japan should expand their diplomatic effortstoward developing states, including support for coastal zonedevelopment and safety, security, and environment protection ininternational straits, education, and training programs for coast guards,and the sharing of information related to maritime security.・The United States together with Japan should promote the "CooperativeMechanism" that was established for Safety of Navigation andEnvironmental Conservation in the Malacca and Singapore Straits, and－ 6 －pursue measures for gaining cooperation of civil sectors such as theshipping industry.・From the perspective of maritime security, Japan should ease therestrictions of its Three Principles on Arms Export in order to give moreeffective support to developing countries and to promote U.S.-Japancooperation in technological development.a－2. Establishment of Joint Response Readiness forSituations of Armed Conflict・The United States and Japan, in order to prepare for and preventconflicts that are feared likely to arise in the near future over thestruggle for resources and energy or disputes between states on suchissues as ocean boundary delimitation, from a maritime securityperspective need to make arrangements in accordance with theU.S.-Japan Mutual Cooperation and Security Treaty to cooperate toreduce tension and prevent war, including the maintenance and exerciseof a combined maritime deterrent posture.・The two nations should seek to cooperate with all nations opposing theemergence of any aspiring hegemonic state that could disrupt thebalance of power on the seas and create instability in the securityenvironment. The United States and Japan should be ready forcontingencies by maintaining and demonstrating strong navalcapabilities as an indication of the strength of their alliance and byarranging a standing posture of Intelligence, Surveillance, andReconnaissance (ISR).・The roles, missions, functions, and refinement of base facilities of Japan'sMaritime Self-Defense Force and Japan Coast Guard and the U.S. Navy,U.S. Marine Corps, and U.S. Coast Guard, all of which are involved indeveloping naval strategy for deterrence, forward presence, sea control,power projection, and sea lane defense, need to be examined. Japan is－ 7 －being called upon to resolve various problems concerning thetransformation of U.S. bases in Okinawa and implement the plan asquickly as possible. Also, Japan should realize the relocation of the FifthU.S. Aircraft Carrier Air Wing to Iwakuni and landing and takeofftraining facilities for it needs to be secured near the Japanese mainlandat an early date.・As regards seaborne operations of Critical Maritime InfrastructureProtection involved with the sea lanes and Missile Defense (MD), theC4I system, which makes use of the global commons - the oceans, outerspace, and cyberspace － is indispensable. Maritime Security, OuterSpace Security, and Cyber Security need to be integrated into a unifiedapproach that preserves these domains for the free enjoyment of allstates. U.S.-Japan interoperability must also be considered in thisregard. A concert of interested nations on a global scale is needed toprovide for the security of sea lanes. For this, initiative by theU.S.-Japan alliance is imperative.・In addition, we must be prepared to consider how climate change couldworsen the security environment and lead to conflict. The United Statesand Japan, in conjunction with other countries and internationalorganizations, must carry out research in advance and makepreparations to respond to a variety of situations, including disasterrelief and humanitarian assistance, management of an influx ofrefugees created by rising sea levels, conflict created by depletion of fishstocks, large-scale natural disasters, the spread of epidemics, andsignificant retreat of coastlines.・To carry out the above activities in a responsible manner, Japan shouldmove urgently to reach a solution to security related constitutionalissues so that Japan can exercise the right of collective self-defense, andparticipate more actively in the United Nations PeacekeepingOperations and other international collective peace activities.－ 8 －a－3. Consortium of Seafaring Nations Concept・In order to secure maritime security in international coordination, theU.S.-Japan Seapower Alliance should be open to expansion, rather thanremaining an exclusive partnership. We therefore propose that aloose-knit Consortium of Seafaring Nations be established, composed ofnations that endorse the tenets of this Seapower Alliance. From theWestern Pacific region, therefore, the Republic of Korea and Australiashould first be invited to join and cooperate.・In the Indian Ocean, the United States and Japan should make efforts tosecure the sea lanes from the Indian Ocean to the Asian Pacific. Thisrequires active participation in multinational anti-terror operations andinternational anti-piracy measures. Cooperative relations with Indiashould be sought.・To establish a loose-knit Consortium of Seafaring Nations, it is essentialthat the participating countries fulfill fundamental conditions, such asthe observance of international rules, including freedom of the globalcommons, as reflected in the Charter of the United Nations andUNCLOS, and international coordination. Russia, as an historic seapower with compelling interest in freedom of the seas, and China, anemerging maritime power with an interest in worldwide mobility, arenot to be excluded from this union. Rather, these states should be urgedto reaffirm their commitments to the principles of the union, with thepossibility that the two nations eventually would participate.b. Toward Sustainable Development of the Oceanb－1. Development of Marine Resources, Marine Technology,and Research Study・To provide against shortages of resources, energy, and food supplies likelyto occur on a global scale, the major seafaring nations of the UnitedStates and Japan should play leading roles in the development of living－ 9 －and non-living resources in the seabed and continental shelves, as wellas in the development of ocean energy resources and seawater potential.Both countries can and should help battle the global economic crisis bydemonstrating their commitment to a "Blue New Deal" policy based onthese precepts and by promoting development of the oceans on thecondition of sound environmental stewardship in the maritime domainas well as increasing job creation.・The United States and Japan need to cooperate with each other wherepossible in the development of technologies and funding for theexploration and exploitation of seabed resources and marine energydevelopment in order to bring these industries into active production.・Research on the oceans, the accumulation of data, its use and sharing,and human resource exchanges are important for the effectivepromotion and development of technology. To facilitate this, theestablishment of a joint data center and R&D center for research anddevelopment of marine resources, as well as joint construction and useof a marine scientific survey ship and platform for exploration andexploitation, are desirable. Furthermore, opportunities for the exchangeand publicizing of technologies between the two countries should becreated in maritime industries, which support such research anddevelopment.・As new marine technologies are developed, transfer to developingcountries should be considered. The United States and Japan shouldplay a leading role in this area.・We recognize the fine work done by the "Marine Resources andEngineering Coordination Committee" (MRECC) of the U.S.-JapanConference on Development and Utilization of Natural Resources(UJNR), but further revitalization and the improvement of informationsharing between the United States and Japan should be considered inthis area.－ 10 －b－2. Conservation of the Marine Environment and Responseto Climate Change・Given the pressing issues facing the oceans, along with efforts toconserve the marine environment and maintain biological diversity, themaritime powers of the United States and Japan should demonstrateleadership in international initiatives. While recognizing theachievements of the U.S.-Japan Common Agenda in this regard, wewould like to see more steady progress in these areas.・The Integrated Ocean Drilling Program (IODP), a sophisticated oceanmonitoring system with a global development of temperature/salinityprofiling floats (Argo Project), and the International Coral ReefInitiative (ICRI) are highly regarded programs that have beendeveloped at the initiative of the United States and Japan. Furtherdevelopment of such marine science research projects is important forconservation of the marine environment and ocean use. The activities ofthe U.S.-Japan joint research center, begun 10 years ago, hold similarpromise.・Development of ocean resources, including exploitation of seabedresources, requires environmental impact assessments, formulation ofmanuals for environmental conservation, and development ofconservation technologies and methods. These are difficult but vital.U.S.-Japan cooperation and effective responses are needed in theseareas.・U.S.-Japan initiatives are needed to investigate and promote an oceanversion of the "Green Revolution," an energy revolution, CO2 captureand sequestration technologies, reduction in CO2 emissions from ships,and development of responsive technologies to address global warming.－ 11 －c. Establishment of an International Regime based onUNCLOS and Related Conventions・UNCLOS, which came into force in 1994 and has 157 parties to theConvention as of the end of 2008, serves as the fundamental legalbasis for the international order on the oceans. The United States, theworld's largest maritime nation, has made great contributions to thecreation and development of the international ocean regime, but has yetto accede the Convention. This reluctance not only weakens Washington'sposition and reduces America's potential for exercising leadership in theoceans, but also reduces the trust of other nations and undermines U.S.economic interest and national security. In this regard, we welcomerecent movements toward U.S. accession. The United States andJapan should cooperate in the establishment of an international oceanregime based on UNCLOS and related conventions created after theadoption of UNCLOS.・Recognizing that freedom of navigation and overflight is the fundamentalprinciple in the international waters, the United States and Japanshould endeavor to shape an international order in the oceans byaddressing these issues, which include problems associated withexploitation of area resources, coordination of user states' activities inthe EEZs and coastal states' interests, restraint of excessive claims bycoastal states, boundary delimitation of EEZ and continental shelf,realization of sustainable development, and the protection of biologicaldiversity.・To promote effective responses to the problems of piracy and maritimeterrorism, the United States and Japan should quickly ratify the 2005Protocol to the Convention for the Suppression of Unlawful Acts Againstthe Safety of Maritime Navigation（SUA 2005). The two states should atthe same time urge all countries in the Asia-Pacific region to ratify theConvention itself.－ 12 －・As for the Arctic Ocean, many interrelated issues within the purview ofUNCLOS have accumulated, including resource development, ocean use,navigation, boundary delimitation, maritime security, environmentalconservation, and climate change. Japan has an interest in using theArctic Ocean as a transpolar route between Asia and Europe, and theUnited States also has economic and military interests in a free ArcticOcean. There are possibilities for the United States, as a coastal state,and Japan, as a user state, to cooperate in addressing these issues onthe basis of their alliance by sharing information and ideas.－ 13 －Ocean Policy Research FoundationKaiyo Senpaku Building 1-15-16 Toranomon, Minato-ku,Tokyo 105-0001 JapanTel. 81-3-3502-1828 Fax. 81-3-3502-2033URL; https://www.spf.org/