University of Wollongong Research Online University of Wollongong Thesis Collection University of Wollongong Thesis Collections 2014 Protecting Australia's offshore estate: an evolving commitment for the Royal Australian Navy Jack McCaffrie University of Wollongong Recommended Citation McCaffrie, Jack, Protecting Australia's offshore estate: an evolving commitment for the Royal Australian Navy, Doctor of Philosophy thesis, Australian National Centre for Ocean Resources and Security (ANCORS), University of Wollongong, 2014. http://ro.uow.edu.au/theses/4339 Research Online is the open access institutional repository for the University of Wollongong. For further information contact the UOW Library: [email protected] PROTECTING AUSTRALIA’S OFFSHORE ESTATE: AN EVOLVING COMMITMENT FOR THE ROYAL AUSTRALIAN NAVY A thesis submitted in fulfilment of the requirements for the award of the degree of DOCTOR OF PHILOSOPHY from UNIVERSITY OF WOLLONGONG by JACK McCAFFRIE BA (Queensland) MA (Strategic Studies) (ANU) AUSTRALIAN NATIONAL CENTRE FOR OCEAN RESOURCES AND SECURITY (ANCORS) FACULTY OF LAW, HUMANITIES AND THE ARTS 2014 i ii CERTIFICATION I, Jack McCaffrie, declare that this thesis, submitted in fulfilment of the requirements for the award of Doctor of Philosophy in the Australian National Centre for Ocean Resources and Security, Faculty of Law, Humanities and the Arts, University of Wollongong, is wholly my own work unless otherwise referenced or acknowledged. The document has not been submitted for qualifications at any other academic institution. Jack McCaffrie 23 April 2014 iii iv ABSTRACT For thousands of years, navies have been used primarily for military purposes; battling against opposing naval forces, protecting trade and supporting land forces. They have other roles, which have evolved over time, and are now commonly categorized as the diplomatic and constabulary functions of navies. The diplomatic function relies on the ability of navies to operate freely at sea and to exert influence through their presence. The constabulary function of navies involves law enforcement at sea and relates to the protection of borders, natural resources and the marine environment. Not all navies have become equally involved in the constabulary function. For some smaller navies it marks the limit of their capability, while for others it is only a very small part of their total responsibility. For example, the United States Navy undertakes relatively few constabulary functions; leaving most to the United States Coast Guard which has been established specifically for law enforcement duties. On the other hand, the Royal Navy has played a larger role in the constabulary function, alongside several civilian law enforcement agencies. This thesis examines Australia’s approach to law enforcement at sea, from the time of Federation until the end of 2012, and what it has meant for the Royal Australian Navy. The examination covers the nature and evolution of the law enforcement challenges, noting that illegal immigration and resources protection have been recurring issues from the beginning. In considering government responses to illegal activities at sea the thesis identifies the slow, tentative and relatively informal approach that characterized action until the extension of resource zones, and the arrival of large numbers of asylum seekers by boat, demanded a more effective approach. The thesis also tracks the evolution of supporting legislation, from an early trickle to a growing flood, reflecting the increasing internationalization and complexity of law enforcement at sea. Despite the longstanding involvement of navies in the constabulary function the Royal Australian Navy was slow to engage in it, with wars, funding restrictions and government ambivalence contributing factors. This thesis demonstrates, however, that since the Navy took on the constabulary function, formally from 1967, it has become integral to the Navy’s operations. Furthermore, the constabulary function has had v profound impacts on the Navy’s force structure, basing, people and public image, not all of which have been to the Navy’s advantage. vi TABLE OF CONTENTS Abstract v Acronyms viii Acknowledgements x List Of Figures And Tables xii Chapter One – Law Enforcement At Sea: Implications For The 1 Royal Australian Navy Chapter Two – The Functions Of Navies 30 Chapter Three – The Evolution Of The Constabulary 72 Function Of Navies Chapter Four – The Evolution Of The Constabulary Function Of 123 Navies: The Australian Experience 1901 - 1975 Chapter Five – The Evolution Of The Constabulary 178 Function Of Navies: The Australian Experience 1976 – 1988 Chapter Six – The Evolution Of The Constabulary Function Of 228 Navies: The Australian Experience 1989 – 2001 Chapter Seven – The Evolution Of The Constabulary Function Of 286 Navies: The Australian Experience 2002 – 2012 Chapter Eight - Protecting Australia’s Offshore Estate: The Story 356 So Far Chapter Nine - Conclusions 374 Bibliography 384 vii ACRONYMS ADF Australian Defence Force AFMA Australian Fisheries Management Authority AFZ Australian Fishing Zone APEC Asia Pacific Economic Cooperation AQIS Australian Quarantine and Inspection Service CCAMLR Convention for the Conservation of Antarctic Marine Living Resources DAFF Department of Agriculture, Fisheries and Forests EEZ Exclusive Economic Zone GBRMP Great Barrier Reef Marine Park HMAS Her Majesty’s Australian Ship IMO International Maritime Organization IUU Illegal, Unregulated and Unreported (fishing) ISPS International Ship and Port Security LOSC Law of the Sea Convention MV Motor Vessel MOU Memorandum of Understanding nm Nautical Mile NATO North Atlantic Treaty Organization PSI Proliferation Security Initiative RAAF Royal Australian Air Force RAN Royal Australian Navy RN Royal Navy viii SAR Search and Rescue SIEV Suspected Illegal Entry Vessel SOLAS Safety of Life at Sea (Convention) SPREP South Pacific Regional Environment Plan sq km Square Kilometre UK United Kingdom UN United Nations UNESCO United Nations Educational Scientific and Cultural Organization USA United States of America USN United States Navy ix ACKNOWLEDGMENTS Like many PhDs this one has taken longer to complete than I expected when setting out on the journey. As a part-time student my time was divided between paid employment and the opportunities to progress the thesis - and paid employment always came first. As well as studying part-time, living in Canberra meant only infrequent visits to the University campus. Consequently I was unable to share the camaraderie in the group of ANCORS students engaged in post-graduate study. Nevertheless, I owe thanks to several people who have guided me through the entire process and who have exhibited great patience with my often very slow progress to eventual completion. Foremost among those I wish to acknowledge are my supervisors, Professor Martin Tsamenyi and Dr Chris Rahman. It was Professor Martin who said to me in late 2004 that it was time to start my PhD. He also said to me in late 2013 that it was time to finish my PhD. In between he caused me to think uncomfortably deeply about my topic and my arguments and always provided encouragement, when it was needed. I am especially grateful to Chris for his unerring ability to find weaknesses in my arguments and especially for his assistance in the final stages of thesis preparation. Even though I was unable to spend much time on campus, I have really valued the opportunity to study at Wollongong. Being on the main campus especially and then the Innovation Campus, when visiting ANCORS, always provided the spark that comes from mixing with others who are engaged in study. Within the Centre I would like to thank especially Myree Mitchell for her unfailing helpfulness over many years, Dr Quentin Hanich for his interest and encouragement as he was working towards his own PhD, and Professor Greg Rose for some very useful early advice that I did not forget. I must also mention the staff at the National Library in Canberra, especially those in the Newspapers and Periodicals Room, who were always helpful during my many hours closeted in the controlled access collection. The National Library is a real treasure and those who work there provide an excellent service. Finally I must acknowledge my family, noting that my wife Chris and our three adult children Caroline, Jennifer and Brendan were all engaged in tertiary study at some point during my odyssey. Having Brendan awarded his PhD in 2013 provided an additional spur to my own efforts, but in any event I believe we all took inspiration from each other. Nevertheless, my special thanks to wife Chris for her constant support and encouragement and especially for her proof-reading and editing of the final draft, for which the thesis reads very much better. x LIST OF FIGURES AND TABLES PAGE NO. Figures 2-1 RAN Development of Booth’s Trinity of Naval Functions 33 2-2 The Components of Naval Diplomacy 51 Tables 2-1 Grove’s Typology of Navies 34 2-2 RAN Maritime Operations 1990 – March 2005 43 2-3 Navies and Coast Guards by Capability 69 3-1 A Comparison of East Asian Surface Combatants 96 3-2 East Asian Coast Guard and Marine Police Forces 97 4-1 Customs Assets and Funding, 1902 132 4-2 Naval Personnel Strength 30 June 1908 133 4-3 Persons Admitted or Refused Admission to the Commonwealth 141 under the provisions of the Immigration Restriction Act, 1909-1917 4-4 The RAN in 1920 158 6-1 Irregular Maritime Arrivals 1989 – 2001 232 6-2 Coastwatch Expenditure 1990-91 to 1996-97