1. Introduction

　The Basic Act on Ocean Policy enacted on April 27, 2007 states "The purpose of this Act is, with regard to the oceans, to stipulate the basic principles, to clarify the responsibilities of the State, the local governments, business operators and the citizens as well as to formulate the basic plan regarding the oceans and other basic matters with regard to the measures on the oceans, by establishing the Headquarters for Ocean Policy in order to promote measures with regard to the oceans comprehensively and systematically, through contributing to the sound development of the economy and society of our State and to improve the stability of the lives of citizenry as well as to contribute to the coexistence of the oceans and mankind, in consideration of the fact that the oceans, occupying broad portion of the globe, are indispensable factors for maintaining the lives of the living beings including mankind, and the fact that it is important to realize a new oceanic State in harmonization of the peaceful and positive development and use of the oceans with the conservation of the marine environment, under the international cooperation, as our State surrounded by the oceans, based on the United Nations Convention on the Law of the Sea and other international agreements as well as on the international efforts on the realization of the sustainable development and use of the oceans" (Article 1).

　To achieve the purpose, the Act states, "The Government shall formulate a basic plan with regard to the oceans (hereinafter referred to as "Basic Plan on Ocean Policy"), in order to promote measures with regard to the oceans comprehensively and systematically" (Article 16, paragraph 1), and specifically lists, "the basic policy of measures with regard to the oceans," "the measures that the Government shall implement with regard to the oceans comprehensively and systematically," and "in addition to what are listed in the preceding two items, any items necessary for promoting measures with regard to the oceans comprehensively and systematically" (Article 16, paragraph 2). The government as a whole proactively implements the Act in that "the Prime Minister shall seek a cabinet decision on the draft of the Basic Plan on Ocean Policy" (Article 16, paragraph 3), and "when the cabinet decision prescribed in the preceding paragraph has been made, Prime Minister shall publicize the Basic Plan on Ocean Policy without delay." (Article 16, paragraph 4).

　It also obligates government initiatives to be a plan in response to changing times as stipulated by the lines "bearing in mind the changes on the situation with regard to the oceans, as well as based on an evaluation of the effect of measures with regard to the oceans, the Government shall review the Basic Plan on Ocean Policy almost every five years, and shall make necessary changes" (Article 16, paragraph 5) and "the Government shall endeavor to take necessary measures for the smooth implementation of the Basic Plan on Ocean Policy by, for example, appropriating its budget each fiscal year, to the extent permitted by the State's finances, in order to secure funds necessary to ensure payment of the expenses required for the implementation of the plan (Article 16, paragraph 7).

　In light of the fact that the current Basic Plan on Ocean Policy (the second Basic Plan on Ocean Policy), which was revised in April 2013, is due to be revised as the five-year mark stipulated in the Basic Act on Ocean Policy approaches, this paper provides an overview of the Document on the Situation of the Oceans and Implemented Measures by the Government with regard to the Oceans (Government Annual Report) published annually by the government, together with a review of the Second Basic Plan on Ocean Policy Evaluation Report (Evaluation Report) carried out by the Ocean Policy Research Institute, The Sasakawa Peace Foundation in January 2017, focusing on the measures implemented following the formulation of the Second Basic Plan on Ocean Policy in April 2013 to examine the state of maritime security initiatives in the Second Basic Plan on Ocean Policy, and examine issues and prospects toward formulating the Third Basic Plan on Ocean Policy.[1]

2. Maritime Security in the Second Basic Plan on Ocean Policy

2-1. Overview of the Second Basic Plan on Ocean Policy

　The Basic Plan on Ocean Policy (the First Basic Plan on Ocean Policy) was formulated in March 2008 based on the provisions of the Basic Act on Ocean Policy. The general remarks of First Basic Plan on Ocean Policy clearly state, "relationships between the sea and us," "Japan's system to promote ocean policy," and "goals and period of this plan," and presents a basic policy in Chapter 1 (Basic Policy of Measures with Regard to the Sea) consisting of:

● Harmonization of the development and use of the sea with the preservation of the marine environment;

● Securing the safety and security of the sea;

● Enhancement of scientific knowledge of the sea;

● Sound development of marine industries;

● Comprehensive governance of the sea; and

● International partnership with regard to the sea.

　Chapter 2 (Measures that the Government Should Take Comprehensively and Systematically with Regard to the Sea) lists concrete measures the government should take:

　1. Promotion of the development and use of marine resources

　2. Preservation of marine environment, etc.

　3. Promotion of development of EEZ and continental shelves

　4. Securing maritime transport

　5. Securing the safety and security of the sea

　6. Promotion of marine surveys

　7. Promotion of research and development of marine science and technology

　8. Promotion of marine industries and strengthening the international competitiveness

　9. Comprehensive management of the coastal zones

　10. Preservation of the islands

　11. Securing international coordination and promotion of international cooperation

　12. Enhancement of citizen's understanding of the sea and fostering of human resources.

　Chapter 3 (Other Matters Necessary to Comprehensively and Systematically Promote Measures with Regard to the Sea) also lists the necessary initiatives to implement ocean policy as:

　1. Effective implementation of measures with regard to the sea

　2. Responsibilities of related parties and mutual coordination and cooperation

　3. Active publication of information concerning measures.

　The First Basic Plan on Ocean Policy was reviewed for revision from around 2012, about four years after it was formulated, and many policy recommendations from private organizations were also published.[2] In the government, the Headquarters for Ocean Policy in the Cabinet Secretariat established a Councilors' Meeting of "people who possess excellent insight" (Article 1, paragraph 4 of the Headquarters for Ocean Policy Ordinance) to examine the formulation of the Second Basic Plan on Ocean Policy, with the aim to "deliberate important matters on measures concerning the oceans and give opinions to the head of the Headquarters for Ocean Policy" (Article 1, paragraph 2 of the same ordinance). The results of the examination were compiled as "Opinions for the Formulation of a New Basic Plan on Ocean Policy," and submitted to then Prime Minister Yoshihiko Noda on November 27, 2012.

　In addition to these findings, the Second Basic Plan on Ocean Policy was approved by the Cabinet in April 2013 taking into consideration the implementation status of the First Basic Plan on Ocean Policy, "changes in social circumstances surrounding the sea" that included a "review of energy strategy and disaster-prevention countermeasures after the Great East Japan Earthquake," "mounting expectations for development and use of the sea, "changes in international circumstances surrounding conservation of marine interests," and "other changes in social circumstances, etc."

　The Second Basic Plan on Ocean Policy is comprised of general remarks plus three chapters. The general remarks describe "international cooperation and contribution to international community," "wealth and prosperity through ocean development and utilization of the sea," "from a country protected by the sea to a country that protects the sea," and "venturing into the unexplored frontier" that are "the vision of Japan as an oceanic state" and the "significance of establishing the Basic Plan on Ocean Policy." Moreover, "Basic Policy of Measures with Regard to the Oceans" of the Plan in Chapter 1 are listed as "Current conditions and issues of measures with regard to the oceans," "Measures to be intensively promoted under the Plan" and "Direction of the measures under the Plan," while Chapter 2 lists "Measures the government should take comprehensively and systematically with regard to the sea" that the same as the First Plan:

　1. Promotion of development and use of marine resources

　2. Conservation of marine environment, etc.

　3. Promotion of development of EEZ and continental shelves

　4. Securing maritime transport

　5. Securing the safety and security of the sea

　6. Promotion of marine surveys

　7. Promotion of research and development of marine science and technology

　8. Promotion of marine industries and increase in international competitiveness

　9. Comprehensive management of coastal zones

　10. Preservation of remote islands

　11. Securing international coordination and promoting international cooperation

　12. Enhancement of citizen's understanding of the sea and fostering of human resources.

　And Chapter 3 prescribes, "1. Revision of Headquarters for Ocean Policy for effective implementation of measures," "2. Duties of relevant personnel and mutual coordination," and "3. Proactive publication of information concerning measures" as "requirements for comprehensive and planned implementation of ocean measures."

2-2. Maritime security in the Second Basic Plan on Ocean Policy and initiatives after formulation

　In the Second Basic Plan on Ocean Policy, structured as described above, the provisions considered for maritime security are "3. Promotion of development of EEZ and continental shelves," "5. Securing safety and security of the sea," and "10. Preservation of remote islands." The Second Basic Plan on Ocean Policy describes these items as shown in Table 1 below.

[Table 1](Please refer PDF version)

　In order to give form to the provisions of the Second Basic Plan on Ocean Policy described above, the following initiatives in Table 2 have been implemented since April 2013, when the Second Basic Plan on Ocean Policy was formulated.

[Table 2] (Please refer PDF version)

　Thus, even after the establishment of the Second Basic Plan on Ocean Policy, ministries and agencies have been actively implementing maritime security initiatives, despite there being room for improvement or differences in the speed of carrying out efforts. In the next section, I will outline these initiatives and how experts familiar with ocean policy evaluated them.

3. Evaluation of the Second Basic Plan on Ocean Policy

3-1. The significance of the Evaluation Report

　As discussed, prior to April 2013, when the Cabinet approved the Second Basic Plan on Ocean Policy, different public and private organizations and experts published policy recommendations and research reports on the formulation of the Second Basic Plan on Ocean Policy that took into consideration the initiatives and evaluation of the First Basic Plan on Ocean Policy. However, it is difficult to say that the evaluation of the Second Basic Plan on Ocean Policy, the foundation of the Third Basic Plan on Ocean Policy currently being formulated, has been fully conducted.

　Nevertheless, as stated at the beginning of this paper, the Basic Act on Ocean Policy stipulates "the Government shall formulate a basic plan with regard to the oceans (hereinafter referred to as "Basic Plan on Ocean Policy"), in order to promote measures with regard to the oceans comprehensively and systematically"(Article 16, paragraph 1) and "bearing in mind the changes on the situation with regard to the oceans, as well as based on an evaluation of the effect of measures with regard to the oceans, the Government shall review the Basic Plan on Ocean Policy almost every five years, and shall make necessary changes."(Article 16 paragraph 5), meaning that based on these provisions, a review began from December 2011, with first revisions done in April 2013, followed by approval of the Second Basic Plan on Ocean Policy by the Cabinet. Therefore, obtaining an evaluation of the initiatives that are the basic knowledge of the revision work for the Second Basic Plan on Ocean Policy, is essential to formulating the Third Basic Plan on Ocean Policy.

3-2. Outline of the Evaluation Report

　Based on the background discussed above, under the recommendations and guidance of the Research Committee on Comprehensive Ocean Policy at the Sasakawa Peace Foundation, the Ocean Policy Research Institute, the Sasakawa Peace Foundation, conducted a questionnaire survey of the evaluation of the Second Basic Plan on Ocean Policy fundamental to the revision work on January 1, 2017 to make an academic contribution to the formulation of the Third Basic Plan on Ocean Policy, on the assumption that the second revision would be done in the spring of 2018 taking into consideration the first revision period.[3]

*Outline of the questionnaire survey of the Second Basic Plan on Ocean Policy evaluation

(1) Period and survey subjects: The evaluation was conducted as follows. Please refer to the attachments to these materials (Second Basic Plan on Ocean Policy Evaluation Sheet) for the survey and other forms distributed.

Survey period: Friday, January 13, 2017 (distribution) to Tuesday, January 31, 2017 (deadline)

Survey sample: Research Committees (including working groups) at the Ocean Policy Research

Institute, The Sasakawa Peace Foundation

Members: 65

(2) Evaluation method: Spare survey forms, response slips, sheets for written responses, and reference materials (2016 edition of the Document on the Situation of the Oceans and Implemented Measures by the Government with regard to the Oceans) were distributed and, based on the criteria below, used a sequential answer method (respondents were asked for answers in their specialty field or field of interest, and no other responses were asked beyond these). The scoring of responses is as follows.

Evaluation scoring criteria

1: Not addressed

2: Insufficiently addressed

3: Addressed to a certain extent

4: Sufficiently addressed

(3) Total responses/Response rate: See below for the number of agencies the survey was distributed to and the number of agencies who sent replies (as of March 2, 2017). The overall response rate was 43.1%.

[Figure] (Please refer PDF version)

　In this survey, the respondents were required to answer preliminary questions asking them if they were "Experts," "Not an expert, but have an interest," or "Not an expert, have no interest," on the twelve basic measures described in the Second Basic Plan on Ocean Policy, and the addition of this work is a major feature that made possible analysis by each respondent's attributes. Figures 1 and 2 below show the survey results for the evaluation of each measure and the number of responses to each measure, respectively.

[Figure 1] (Please refer PDF version)

[Figure 2] (Please refer PDF version)

　In addition, questions were asked about individual initiatives prescribed for each measure, and are summarized by an evaluation of the initiatives for each measure and the number of responses for each initiative in Figures 3 and 4, respectively.

[Figure 3] (Please refer PDF version)

[Figure 4] (Please refer PDF version)

3-3. Evaluation of maritime security initiatives

　Figure 1 clearly shows that the initiative "3. Promotion of development of EEZ and continental shelves" received a high evaluation from knowledgeable researchers with an interest in the area, while experts gave a high evaluation for "5. Securing safety and security of the sea" and "10. Preservation of remote islands."

　Of the trend, what is clear in Figure 2 is that "3. Promotion of development of EEZ and continental shelves" has many measures, such as resource development on continental shelves and diplomatic negotiations with neighboring countries about it, and measures against illegal, unreported and unregulated fishing (IUU) by foreign vessels that are easy to report on by the media or that are generally easily understood, which is thought to be why knowledgeable researchers with an interest in the area highly evaluated them.[4]

　On the other hand, compared to "3. Promotion of development of EEZ and continental shelves," "5. Securing safety and security of the sea" and "10. Preservation of remote islands" have many initiatives that are generally not well-understood. In looking at the evaluation results for "9. Comprehensive management of coastal zones," the evaluations from experts are high but those from knowledgeable researchers with an interest in the area are low, and it has already been pointed out that the reason for this may be due to the fact that implementation cases (measures) are not fully understood. It is thought that this same reason explains why experts gave high evaluations and knowledgeable researchers with an interest in the area gave low evaluations for "5. Securing safety and security of the sea" and "10. Preservation of remote islands."[5]

　In addition, as an "Evaluation Report on the Second Basic Plan on Ocean Policy (free description)," this survey received written comments for each question, and included opinions on "5. Securing the safety and security of the sea," such as:

● Measures in East Asia and Southeast Asian waters and measures against piracy and maritime armed robbery are being steadily implemented, but it is imperative to deal with 'emergency' responses and preventive measures in the Oil Line of the Persian Gulf and the Indian Ocean.

● It is necessary to build a maritime security system to seamlessly respond to the so-called gray zone situation.

● A maritime security perspective is lacking on Arctic issues.

　With regard to "10. Preservation of remote islands," the opinion, "The use of remote islands (fishery resources, development of ocean floor mineral resources) is at the forefront, but it is desirable to put their preservation at the forefront before promoting the sustainable use of resources" was given. Based on the responses, it can be concluded that while experts who understood the background and situations of the initiatives gave harsh feedback, they gave high evaluations on individual measures (no opinions were given for "3. Promotion of development of EEZ and continental shelves").

4. Conclusion

　This paper reviewed the state of maritime security initiatives in the Second Basic Plan on Ocean Policy and examined the challenges and future prospects of maritime security in Japan in light of the fact that it has been nearly five years since the current Basic Plan on Ocean Policy (Second Basic Plan on Ocean Policy) was revised in April 2013 and is due to be revised again.

　As a result, I noted that the reason why knowledgeable researchers with an interest in "3. Promotion of development of EEZ and continental shelves" gave high evaluations for its initiatives while experts gave high evaluations for initiatives relating to "5. Securing safety and security of the sea" and "10. Preservation of remote islands" had to do with the different level of understanding of individual measures by the parties. Based on this knowledge, I would like to offer my opinion on maritime security initiatives that should be implemented in the future.

　The direction for formulating the Third Basic Plan on Ocean Policy was presented at the 16th meeting of the Headquarters for Ocean Policy on April 7, 2017. At that meeting, an examination was made based on the content of the "Headquarters for Ocean Policy Councilors' Meeting Report" delivered to Prime Minister Shinzo Abe on March 30, 2017, but the Prime Minister revealed an emphasis on maritime security in the Third Basic Plan on Ocean Policy, stating,[6] "Today, we have decided to start deliberations on formulating the next Basic Plan on Ocean Policy. It has been 10 years since the Basic Act on Ocean Policy was enacted. The situation surrounding Japan's oceans, such as intrusions into waters around Japan by foreign government vessels and other ships, is becoming more severe. As an oceanic state, Japan must strive to keep up with the times and changing environment, and with a resolute determination, take systematic long-term measures to protect the peace and security, protect our marine interests, and maintain and develop open and stable seas. The next Basic Plan on

　Ocean Policy takes a broad view of maritime security and we will take steps to address matters such as the security of territorial waters, ensuring security, disaster measures, and other issues. In addition to strengthening the maritime security system, we will make every effort to establish a maritime domain awareness (MDA) system that facilitates the early detection of various threats and risks, and to preserve and manage remote islands at Japan's borders. We will work toward commercializing marine resource development, such as methane hydrate, and work on conservation of the marine environment and training of human resources to secure a stable energy and resource supply. I want each Cabinet minister to coordinate and seriously examine these issues. Today, I approved the basic policy based on the Act on Preservation of Areas of Remote, Inhabited Islands Establishing Territorial Seas and Maintenance of Local Societies on Areas of Specified Remote, Inhabited Islands Establishing Territorial Seas. Based on this policy, each Cabinet minister should coordinate and take effective measures so that the number of people moving to exceeds the number of those moving out of remote island regions."

　In addition, Appendix 1 (the basic thinking about the formulation of the next Basic Plan on Ocean Policy in the (Headquarters for Ocean Policy Councilors' Meeting Report Outline)) of Material 1 (on formulating the next Basic Plan on Ocean Policy) distributed at the meeting, puts forth the main themes of the Third Basic Plan on Ocean Policy as "maritime security" (a broad definition of maritime security), "promotion of the industrial use of the oceans," "maintenance and preservation of the marine environment, and development of marine human resources," and "other (marine surveys, marine science and technology, international coordination and cooperation, and Arctic policy), along with a proposal for a review system of the Third Basic Plan on Ocean Policy (Figure 5).[7]

[Figure 5](Please refer PDF version)

　The materials also note that "items to be taken into consideration in formulating of the next Basic Plan (composition of the plan, how to write it, etc.)," should have familiar maritime-related content that is easy to understand. The structure of the Plan should be comprehensible and follow the main theme, should incorporate the evaluation of the current Plan and a long term perspective of ten years ahead of the five-year planning period, give attention to a universal philosophy and direction, and set concrete targets for measures specified in the plan.

　Thus, the Third Basic Plan on Ocean Policy was presented with an orientation emphasizing maritime security, but what it means is that it emphasizes non-traditional security over the more typical military security, which is a remarkable trend given that one of the counselors forming the Councilors' Meeting at the Headquarters for Ocean Policy tasked with formulating the Third, is an expert with traditional security (Koichi Furusho, former Chief of Staff, Maritime Self Defense Force).[8] In establishing maritime security, the active involvement of the Ministry of Defense and the SDF, whose primary responsibility is military security, is an important issue, but the most recent edition of the Defense of Japan 2017 white paper, only mentions "5 Initiatives towards ensuring maritime security (Part 3, Chapter 1, Section 2)" and "3 Initiatives in the Asia-Pacific region" (Part 3, Chapter 2, Section 2), so there is room for further development in organic coordination by ministries and agencies. There is also an urgent need to respond to changes in the security environment in East Asia, including changes in the political situation on the Korean Peninsula.

　Therefore, in formulating the Third Basic Plan on Ocean Policy, it is critical to deal with not only non-traditional security but to also consider traditional security in order to respond with certainty to circumstances in Japan and abroad. Elisabeth M. Borgese, who served as Vice Chair of the Independent World Commission on the Oceans (IWCO), said, "the United Nations Convention on the Law of the Sea is divorced from the naval forces. Without contribution from healthy naval forces, there could be no maritime peace,"[9] making on important point about maritime security that this issue is not limited to the Third Basic Plan on Ocean Policy and that it is also an important issue involving the United Nations Convention on the Law of the Sea itself, which is the foundation of the world's ocean policy, including Japan's. My hope is for the Third Basic Plan on Ocean Policy to become a prescription or compass to solve this critical issue.

Addendum: After this paper was written, a report was submitted on December 18, 2017 by the Councilors' Meeting of the Headquarters for Ocean Policy titled "Headquarters for Ocean Policy Councilors' Meeting Report Toward the Formulation of the Third Basic Plan on Ocean Policy." The report emphasizes that the Basic Plan on Ocean Policy should focus on maritime security, noting that "(1) Securing security and public order at sea" is an initiative to be taken up as the main theme in the Third Basic Plan on Ocean Policy and that "development of remote islands," and "development of EEZ and continental shelves" are matters to be taken up as timely topics and with continuing importance. As a whole, however, since the content focuses on developing the past efforts that should emphasize non-traditional security rather than traditional security, I believe that it is necessary to consider traditional security in maritime security in the future.