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The Montreux Convention Regarding the Turkish Straits and Its Importance After the South Ossetia War

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The Montreux Convention Regarding the Turkish Straits and Its Importance After the South Ossetia War View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by Calhoun, Institutional Archive of the Naval Postgraduate School Calhoun: The NPS Institutional Archive Theses and Dissertations Thesis Collection 2009-03 The Montreux Convention regarding the Turkish Straits and its importance after the South Ossetia War Gokcicek, Bulent Monterey, California. Naval Postgraduate School http://hdl.handle.net/10945/4858 NAVAL POSTGRADUATE SCHOOL MONTEREY, CALIFORNIA THESIS THE MONTREUX CONVENTION REGARDING THE TURKISH STRAITS AND ITS IMPORTANCE AFTER THE SOUTH OSSETIA WAR by Bulent Gokcicek March 2009 Thesis Advisor: James A. Russell Second Reader: Erik J. Dahl Approved for public release; distribution is unlimited THIS PAGE INTENTIONALLY LEFT BLANK REPORT DOCUMENTATION PAGE Form Approved OMB No. 0704-0188 Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188) Washington DC 20503. 1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE 3. REPORT TYPE AND DATES COVERED March 2008 Master’s Thesis 4. TITLE AND SUBTITLE The Montreux Convention Regarding the Turkish 5. FUNDING NUMBERS Straits and Its Importance after The South Ossetia War 6. AUTHOR(S) Bulent Gokcicek 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION Naval Postgraduate School REPORT NUMBER Monterey, CA 93943-5000 9. SPONSORING /MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSORING/MONITORING N/A AGENCY REPORT NUMBER 11. SUPPLEMENTARY NOTES The views expressed in this thesis are those of the author and do not reflect the official policy or position of the Department of Defense or the U.S. Government. 12a. DISTRIBUTION / AVAILABILITY STATEMENT 12b. DISTRIBUTION CODE Approved for public release; distribution is unlimited 13. ABSTRACT (maximum 200 words) The Turkish Straits include the Çanakkale (Dardanelles) and Istanbul (Bosporus) Straits and the Marmara (Marmora) Sea between them. The Turkish Straits are the only waterways connecting the Black Sea to the Aegean and Mediterranean Seas and to the oceans through the Suez Canal and the Straits of Gibraltar. Regulation of passage through the Turkish Straits has caused many problems throughout history. Since 1936, passage through the Turkish Straits has been governed by the Montreux Convention. Following the South Ossetia War in August 2008, the Turkish Straits again became problematic when Turkey denied passage to U.S. warships seeing to transit the Straits. This thesis analyzes three key research questions surrounding use of the Straits: Can the Montreux Convention satisfy current requirements? Should the Montreux Convention be revised? If modifications in the Montreux Convention are necessary, what modifications are appropriate and how might they affect stability in the Black Sea? 14. SUBJECT TERMS 15. NUMBER OF The Turkish Straits, Istanbul Strait, Canakkale Strait, The Montreux Convention, Passage PAGES Regime in the Turkish Straits 93 16. PRICE CODE 17. SECURITY 18. SECURITY 19. SECURITY 20. LIMITATION OF CLASSIFICATION OF CLASSIFICATION OF THIS CLASSIFICATION OF ABSTRACT REPORT PAGE ABSTRACT Unclassified Unclassified Unclassified UU NSN 7540-01-280-5500 Standard Form 298 (Rev. 8-98) Prescribed by ANSI Std. Z39.18 i THIS PAGE INTENTIONALLY LEFT BLANK ii Approved for public release; distribution is unlimited THE MONTREUX CONVENTION REGARDING THE TURKISH STRAITS AND ITS IMPORTANCE AFTER THE SOUTH OSSETIA WAR Bulent Gokcicek Captain, Turkish Army Forces B.S., Turkish Army Forces Academy, 1996 Submitted in partial fulfillment of the requirements for the degree of MASTER OF ARTS IN SECURITY STUDIES (CIVIL-MILITARY) from the NAVAL POSTGRADUATE SCHOOL March 2009 Author: Bulent Gokcicek Approved by: Professor James A. Russell Thesis Advisor Assistant Professor Erik J. Dahl Second Reader Harold A. Trinkunas, PhD Chairman, Department of National Security Affairs iii THIS PAGE INTENTIONALLY LEFT BLANK iv ABSTRACT The Turkish Straits include the Çanakkale (Dardanelles) and Istanbul (Bosporus) Straits and the Marmara (Marmora) Sea between them. The Turkish Straits are the only waterways connecting the Black Sea to the Aegean and Mediterranean Seas and to the oceans through the Suez Canal and the Straits of Gibraltar. Regulation of passage through the Turkish Straits has caused many problems throughout history. Since 1936, passage through the Turkish Straits has been governed by the Montreux Convention. Following the South Ossetia War in August 2008, the Turkish Straits again became problematic when Turkey denied passage to U.S. warships seeking to transit the Straits. This thesis analyzes three key research questions surrounding use of the Straits: Can the Montreux Convention satisfy current requirements? Should the Montreux Convention be revised? If modifications in the Montreux Convention are necessary, what modifications are appropriate, and how might they affect stability in the Black Sea? v THIS PAGE INTENTIONALLY LEFT BLANK vi TABLE OF CONTENTS I. INTRODUCTION............................................................................................. 1 A. MAJOR RESEARCH QUESTION........................................................ 1 B. IMPORTANCE ..................................................................................... 4 C. PROBLEMS AND HYPOTHESES....................................................... 5 D. LITERATURE REVIEW........................................................................ 6 1. Mare Liberum ........................................................................... 6 2. International Straits and the Turkish Straits ......................... 8 3. The Straits Question.............................................................. 15 4. Russia and the Turkish Straits ............................................. 16 a. Seventeenth and Eighteenth Centuries .................... 16 b. Nineteenth Century..................................................... 17 c. Twentieth Century....................................................... 18 5. The United States and the Turkish Straits........................... 21 a. The General Policy of the United States Regarding International Waters.................................................... 21 b. United States Policy Prior to World War I ................. 22 c. United States Policy from World War I to World War II ............................................................................ 23 d. United States Policy since the Outbreak of World War II ............................................................................ 26 E. METHODOLOGY AND SOURCES.................................................... 27 F. THESIS OVERVIEW .......................................................................... 28 II. THE HISTORICAL BACKGROUND OF THE TURKISH STRAITS.............. 29 A. INTRODUCTION................................................................................ 29 B. THE ERA OF TURKISH DOMINATION (1453-1809) ........................ 30 C. THE BILATERAL AGREEMENTS ERA (1809-1841)........................ 31 D. THE MULTILATERAL AGREEMENTS ERA (1841- 2009) ............... 33 III. THE MONTREUX CONVENTION REGARDING THE REGIME OF THE TURKISH STRAITS...................................................................................... 35 A. INTRODUCTION................................................................................ 35 B. MERCHANT VESSELS ..................................................................... 37 1. In Time of Peace .................................................................... 37 2. In Time of War, Turkey not being Belligerent...................... 38 3. In Time of War, Turkey being Belligerent ............................ 38 4. Situation in which Turkey Considers Itself Threatened with Imminent Danger of War ............................................... 38 C. VESSELS OF WAR ........................................................................... 38 1. In Time of Peace .................................................................... 39 a. Limitation Regarding Passage through the Turkish Straits............................................................. 39 b. Limitation in Respect of the Black Sea ..................... 40 vii 2. In Time of War, Turkey not being Belligerent...................... 42 a. Fulfillment of Rights and Obligations Arising from the Covenant of the League of Nations..................... 43 b. Passage by Warships of any Combatant State which is a Party to Mutual Assistance Covenant Binding Turkey............................................................ 44 3. In Time of War, Turkey being Belligerent ............................ 44 4. Situation in which Turkey Considers Itself Threatened with Imminent Danger of War ............................................... 45 D. AIRCRAFT ......................................................................................... 46 IV. RECENT DEVELOPMENTS REGARDING THE TURKISH STRAITS AFTER
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