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The Making of China's Maritime Security Policy: Policy Actors, the Fragmented Authority, and Implications

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The Making of China's Maritime Security Policy: Policy Actors, the Fragmented Authority, and Implications The Making of China’s Maritime Security Policy: Policy Actors, the Fragmented Authority, and Implications Chia-Yu Huang A thesis in fulfillment of the requirements for the degree of Doctor of Philosophy School of Humanities and Social Sciences UNSW Canberra 2014 PLEASE TYPE THE UNIVERSITY OF NEW SOUTH WALES Thesis/Dissertation Sheet Surname or Family name: Huang First name: Chia-Yu Other name/s: Abbreviation for degree as given in the University calendar: PHO School: School of HASS Faculty: UNSW Canberra Title: The making of China's maritime security policy: policy actors, the fragmented authority, and implications Abstract 350 words maximum: (PLEASE TYPE) This thesis aims to examine the decision-making process of China's maritime security policy. In particular, it addresses the question of what factors have led to the inconsistent nature of China's maritime security policy, a phenomenon as yet little examined. In contrast to existing studies regarding China's maritime power which have implied that there is a clear driver dominating China's maritime security policy, this thesis highlights inter-agency competition in the policy process. It argues that due to the fragmentation of its decision-making authority, China does not have a clear driving force dominating the making of its maritime security policy. Instead, its policy is influenced and shaped by various loosely coordinated actors in the policy process and is a product of extensive bureaucratic bargaining. Consequently, even though Beijing has an overarching policy guideline to build the country into a maritime power (haiyang qiangguo), relevant decisions on specific maritime security issues are made disjointedly and slowly, which contributes to the inconsistent nature of its maritime security policy. The theoretical foundation of this thesis is the Fragmented Authoritarianism (FA) model which is one of the most important analytical frameworks for the study of Chinese politics and decision-making process. Four case studies inform the empirical analysis: Beijing's policy on the East China Sea dispute, its policy on the South China Sea dispute, the Chinese aircraft carrier program and China's counter-piracy operations in the Gulf of Aden. They help explain the roles played by policy actors in the decision-making process of China's maritime security policy when the country confronts various security challenges. This thesis provides a comprehensive analysis to explain the inconsistent nature of China's maritime security policy and, on a broader level, offers new thoughts for the future study in relation to China's foreign and security policy. In addition, it extends the FA framework by dividing policy actors into two groups, prirnary and marginal, according to the weight of their influences on policy outcomes. Declaration relating to disposition of project thesis/dissertation I hereby grant to the University of New South Wales or its agents the right to archive and to make available my thesis or dissertation in whole or in part in the University libraries in all forms of media, now or here after known, subject to the provisions of the Copyright Act 1968. I retain all property rights, such as patent rights. I also retain the right to use in future works (such as articles or books) all or part of this thesis or dissertation. I also authorise University Microfilms to use the 350 word abstract of my tlile is in Dissertation Abstracts International (this is applicable to doctoral theses only) . ......................... C.~.~ ......... .. .... gr_ h.~.!.~'.. Y:. .. ...... ~si·9~~·t~~~ ..... 6 ..... Date The University recognises that there may be exceptional circumstances requiring restrictions on copying or conditions on use. Requests for restriction for a period of up to 2 years must be made in writing. Requests for a longer period of restriction may be considered in exce tional circumstances and re uire the a roval of the Dean of Graduate Research. FOR OFFICE USE ONLY Date of completion of requirements for Award: THIS SHEET IS TO BE GLUED TO THE INSIDE FRONT COVER OF THE THESIS ORIGINALITY STATEMENT 'I hereby declare that this submission is my own work and to the best of my knowledge it contains no materials previously published or written by another person, or substantial proportions of material which have been accepted for the award of any other degree or diploma at UNSW or any other educational institution, except where due acknowledgement is made in the thesis. Any contribution made to the research by others, with whom I have worked at UNSW or elsewhere, is explicitly acknowledged in the thesis. I also declare that the intellectual content of this thesis is the product of my own work, except to the extent that assistance from others in the project's design and conception or in style, presentation and linguistic expression is acknowledged.' Signed ··············~························ Date ...............o:r/10................ I vv/u r................................ COPYRIGHT STATEMENT 'I hereby grant the University of New South Wales or its agents the right to archive and to make available my thesis or dissertation in whole or part in the University libraries in all forms of media, now or here after known, subject to the provisions of the Copyright Act 1968. I retain all proprietary rights, such as patent rights. I also retain the right to use in future works (such as articles or books) all or part of this thesis or dissertation. I also authorise University Microfilms to use the 350 word abstract of my thesis in Dissertation Abstract International (this is applicable to doctoral theses only). I have either used no substantial portions of copyright material in my thesis or I have obtained permission to use copyright material; where permission has not been granted I have applied/will apply for a partial restriction of the digital copy of my thesis or dissertation.' Signed ·········~'''"'''''''''''""""""""""""""' Date ...... ?f.!!. C?./:~('f.................................................. AUTHENTICITY STATEMENT 'I certify that the Library deposit digital copy is a direct equivalent of the final officially approved version of my thesis. No emendation of content has occurred and if there are any minor variations in formatting, they are the result of the conversion to digital format.' Signed ·········~······································ Date ..............................og /to/ -zotU.. T. .... ......................................... TABLE OF CONTENTS Abstract iv Acknowledgement vi List of Figures and List of Tables viii Abbreviations ix Chapter One Introduction 1 1.1 Objectives of This Study 1 1.2 Literature Review 9 1.3 Main Argument of This Thesis 25 1.4 Research Methodology 31 1.5 Structure of Thesis 34 Chapter Two The Fragmented Authoritarianism Model and Policy Actors in the Making of China’s Maritime Security Policy 37 2.1 The Fragmented Authoritarianism Model 38 2.2 Impacts of the Fragmentation of Authority on Policy Outcomes 45 2.3 Strengths and Limitations of the FA Model 48 2.4 Policy Actors in the Decision-making Process of China’s Maritime Security Policy 53 2.5 Concluding Remarks 78 Chapter Three The Evolution of China’s Maritime Security Policy 80 3.1 The Early Years of the PRC under Mao Zedong 81 3.2 The Era of Deng Xiaoping and the Economic Reform 91 3.3 The Era of Jiang Zemin 100 3.4 The Era of Hu Jintao 108 3.5 Latest Development of China’s Maritime Security Policy under Xi Jinping 119 3.6 Concluding Remarks 121 i Chapter Four The Decision-making Process of Beijing’s Policy on the East China Sea Dispute 124 4.1 The East China Sea Dispute: Competing Claims and Strategic Significance 125 4.2 Beijing’s Policy on the East China Sea Dispute 132 4.3 Policy Actors’ Roles in Beijing’s Policy on the East China Sea Dispute 143 4.4 Key Features of the Policy Process 160 4.5 Concluding Remarks 170 Chapter Five The Making of Beijing’s Policy on the South China Sea Dispute 172 5.1 The South China Sea Dispute: An Overview 173 5.2 Beijing’s Policy on the South China Sea Dispute 183 5.3 Three Selected Issues: Factors behind the Decisions 192 5.4 Concluding Remarks 214 Chapter Six China’s Aircraft Carrier Program: Factors behind the Prolonged Process 217 6.1 China’s Long March to Its First Aircraft Carrier 219 6.2 The Decision-making Process of China’s Aircraft Carrier Program 233 6.3 CCP’s Decision to Begin Carrier Construction and Undetermined Future Trend 253 6.4 Concluding Remarks 258 Chapter Seven Policy Process of China’s Escort Operations in the Gulf of Aden 261 7.1 China’s Counter-piracy Operations in the Gulf of Aden: An Introduction 262 7.2 Existing Studies of China’s Somali Campaign 273 7.3 Policy Actors’ Roles in the Decision-making Process 277 7.4 Impacts of a Fragmented Structure of Authority on the Escort Operations 289 ii 7.5 Concluding Remarks 297 Chapter Eight Conclusion 300 8.1 Summary of Major Findings 301 8.2 Implications of the Findings for Regional Order in the Asia-Pacific 305 8.3 Significance of This Thesis’ Argument and Areas for Future Research 307 Bibliography 311 iii ABSTRACT This thesis aims to examine the decision-making process of China's maritime security policy. In particular, it addresses the question of what factors have led to the inconsistent nature of China's maritime security policy, a phenomenon as yet little examined. In contrast to existing studies regarding China's maritime power which have implied that there is a clear driver dominating China's maritime security policy, this thesis highlights inter-agency competition in the policy process. It argues that due to the fragmentation of its decision-making authority, China does not have a clear driving force dominating the making of its maritime security policy. Instead, its policy is influenced and shaped by various loosely coordinated actors in the policy process and is a product of extensive bureaucratic bargaining.
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