University of Wollongong Research Online University of Wollongong Thesis Collection 2017+ University of Wollongong Thesis Collections 2018 Maritime Security Cooperation in the Indian Ocean Region: Assessment of India’s Maritime Strategy to be the Regional “Net Security Provider” Shishir Upadhyaya University of Wollongong Follow this and additional works at: https://ro.uow.edu.au/theses1 University of Wollongong Copyright Warning You may print or download ONE copy of this document for the purpose of your own research or study. The University does not authorise you to copy, communicate or otherwise make available electronically to any other person any copyright material contained on this site. You are reminded of the following: This work is copyright. Apart from any use permitted under the Copyright Act 1968, no part of this work may be reproduced by any process, nor may any other exclusive right be exercised, without the permission of the author. 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Recommended Citation Upadhyaya, Shishir, Maritime Security Cooperation in the Indian Ocean Region: Assessment of India’s Maritime Strategy to be the Regional “Net Security Provider”, Doctor of Philosophy thesis, Australian National Centre for Ocean Resources and Security, University of Wollongong, 2018. https://ro.uow.edu.au/ theses1/297 Research Online is the open access institutional repository for the University of Wollongong. For further information contact the UOW Library: [email protected] Maritime Security Cooperation in the Indian Ocean Region: Assessment of India’s Maritime Strategy to be the Regional “Net Security Provider” A thesis submitted in fulfilment of the requirements for the award of the degree Doctor of Philosophy from University of Wollongong by Shishir Upadhyaya Master of Defence and Strategic Studies, University of Madras Master of Telecommunications, Cochin University of Science and Technology Bachelor of Science, Jawaharlal Nehru University Australian National Centre for Ocean Resources and Security (ANCORS) Faculty of Law, Humanities and the Arts University of Wollongong May 2018 ii Blank iii CERTIFICATION I, Shishir Upadhyaya 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 (ANCORS), 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. Shishir Upadhyaya May 2018 iv Abstract This thesis assesses India’s maritime strategy and critically examines its efficacy and sustainability including India’s ambitions to be the “net security provider” for the region.” It seeks to answer the question, whether or not the extant maritime strategy would help India maintain its balance of power with respect to China, and recommends complementary actions and alternate strategic options for India to fulfill its goals in the Indian Ocean. The first part of the thesis examines the entire range of strategic maritime threats and challenges posed to India by the evolving Indian Ocean security environment of the twenty-first century. These include the non-traditional threats such as piracy, maritime terrorism and illegal fishing as well as traditional threats posed by India’s hostile neighbours, China and Pakistan. Subsequently, it looks at how India’s foreign policy has shaped its maritime doctrine and strategy, and examines the stated objectives of India’s maritime strategy that broadly envisage shaping a favourable environment in the India Ocean by emerging as the primary “net security provider” for the littoral states. Next, the thesis explores how the changing world security order of the twenty-first century facilitates maritime security cooperation, and proposes an innovative framework that helps to empirically measure the degree of cooperation between India and regional states. Based on this framework, the thesis then examines India’s bilateral maritime security cooperation initiatives with various regional states and extra-regional powers, and critically analyses the extent and scope of these relations supported by empirical evidence. This is followed by a comparative assessment of India’s bilateral security ties vis-a-vis Chinese influence in the region. The thesis argues that although India has successfully established durable bilateral security ties with most regional states, India’s maritime strategy is unsustainable in the long term and challenged by rising Chinese influence in the Indian Ocean. The study brings out the inherent risks in India’s maritime strategy and proposes an alternate strategic option for India that leverages its geostrategic advantage in the Indian Ocean. The thesis also explores India’s role in multilateral maritime security cooperation in the Indian Ocean and identifies the risks in India’s insular approach to multilateral maritime security cooperation in the region, arguing for involvement of China as well as other extra-regional stakeholders in the maritime security of the region. v The thesis posits that as Chinese maritime power follows its trade in the Indian Ocean region, the threat of China altering the extant balance of power with India in its favour, looms large. What then are the other strategic options for India? The thesis broadly recommends the following: India must realise that national strategy is about leveraging own means rather than dependency on foreign relations which could change over time. Hence, the current focus of India’s maritime strategy based on building bilateral relations could be wasteful and unsustainable. The thesis identifies the Andaman and Nicobar Islands as the weakest link in India’s maritime strategy. It argues that by failing to develop the Andamans as a full-fledged operational command India has failed to leverage their geostrategic potential, overlooking the mouth of the Strait of Malacca. The expansion of China’s maritime power coupled with its rising economic and political influence in the Indian Ocean region could lead to a permanent Chinese presence in the region that could effectively neutralise India’s geographic advantage in the Indian Ocean. Thus, India must strengthen the Andaman and Nicobar command and upgrade it to the level of other naval commands. Furthermore, India should concurrently endeavor to strengthen maritime multilateralism in the Indian Ocean region and work towards closer integration of the extant sub-regional institutions. India’s current approach to take complete “ownership” of the various regional fora in its bid to emerge as the sole “security provider” for the region could potentially stymie growth of maritime multilateralism in the Indian Ocean region paving the way for a larger role by China. Finally, the thesis recommends that India must work towards development of a pan-Indian Ocean information grid, as a regional strategic project that could help to link together the various stakeholders in regional security and help to strengthen India’s position in the region. vi Acknowledgements This thesis marks the culmination of several years’ active service in the Indian Navy spanning numerous operational and staff assignments, and four years of dedicated research and writing. In producing this thesis, I have attempted to consolidate all my experiences and observations from my time in the navy backed with rigorous academic research and interactions with many learned people. All this would not have been possible without the whole-hearted support from many people and I shall forever remain indebted to all of them. First of all, I would like to thank my supervisors, Associate Professor Chris Rahman and Dr. Sam Bateman for their unstinted and untiring support, guidance and encouragement all through my Ph.D. journey. My supervisors will forever remain a source of inspiration for me to help others in their academic endeavours. I would also like to thank the staff at the ANCORS, particularly Professor Stuart Kaye. As the Director of the centre Processor Kaye provided timely advise and lots of encouragement. Also, Myree Mitchell who I will always remember for her motherly care which endeared her to all the faculty members and students at ANCORS. I would also like to place on record my sincere gratitude to the Government of Australia and the University of Wollongong for the opportunity to pursue my Ph.D. and the generous scholarship including the International Postgraduate Tuition Award and the University Postgraduate Award. I carry with me fond memories of my time spent at Australia for which I am very thankful to all the warm and friendly people of Wollongong where I lived with my family. To my fellow students including Dr. Anh Duc Ton, Dr. Ahmad Almaududy Amri (Dudy), Candice Visser, Leonardo Bernard, Brooke Campbell and others, thank you for your lovely company