In the extensive system of functionaries, the naval Admiral or Captain is incidentally one and in international law, as in strategy and tactics, he must know the doctrine of his country. In emergencies, not infrequent, he has to act for his superior, without orders, in the spirit and manner his superior would desire. If in war, the war may be complicated by a dangerous foreign dispute arising from action involving neutral rights or, on the other hand, a neutral unright may be tolerated to the disadvantage of the national cause. In peace, injudicious action may precipitate hostilities; or injudicious inaction may permit infringement of American rights, of persons or of property.
Alfred Thayer Mahan uttered these cogent words at the United States Naval War College in 1912. Behind them lay the nerve-wracking experiences of men who had served their countries in difficult situations; there have been many since and there will be many more. The precarious balance between peace and war may any day rest on the independent action of a commanding officer faced with an “incident” about which he must do something, and do it fast. An example of determined action in such a crisis was provided by the skipper of U.S.S. Noa in one of our early brushes with communist violence.
Destroyer Noa, commanded by Lieutenant Commander Roy C. Smith, Jr., USN, arrived at Nanking, China on February 27, 1927 to relieve U.S.S. Simpson as station ship in the reinforced Yangtze Patrol. Also present were the new British cruiser Emerald under Captain Hugh T. England, RN; Japanese destroyers Hinoki, Momo, and Yanagi; and three gunboats and two transports of the Northern Chinese government. These last five defected to the Cantonese or Southern forces within the week and moved up river.
Chiang Kai-Shek, leading the Southern Chinese, was fighting his way north against the Manchu government in Peking and intervening warlords. His armies, one led by the Russian General Galens, had taken Hankow and were sweeping down the Yangtze towards Nanking and Shanghai, having just inflicted a serious defeat on the Northern army under Sun Chuan-feng. Chiang’s Kuomintang Party was supported and influenced by Chinese communists, guided by Mikhail Borodin, a Russian “adviser,” and the leading divisions of his army were solidly infected with communism. Their path of pillage, arson, murder, and rape through foreign communities was the occasion for adding destroyers to the Yangtze Patrol and for the concentration of foreign warships at Nanking in early 1927.
Nanking was headquarters for the Manchu or Northern armies, who were evacuating Sun’s beaten troops and replacing them with fresh divisions from the north under Marshal Chang Chung Chang. The city was filled with soldiers who had commandeered practically all means of communication, were given to general maltreatment of the native population, and had generally disrupted normal life in the city. The battle line ran from Wuhu, up river, eastward toward Hangchow Bay, below Shanghai. The Manchu army had a strong position and their line was expected to hold. There were a number of foreigners still in the area, however, and their protection was the responsibility of the warships anchored off the city.
When in the vicinity of other armed forces of the United States or of an ally of the United States, the senior officer present shall, as far as possible, maintain a complete concert of action with their commander. He shall cooperate with the commander of such forces in the preparation and execution of plans for such joint action as may be necessary. (U. S. Navy Regs; Art. 0609)
There were 400-500 Americans, some 100 British, a like number of Japanese, and a few of other nationality under cognizance of the British or American Consulates. These people were scattered to such an extent that their protection by men-of-war in the river presented a difficult problem. In case of danger ashore it would be unwise to send landing parties beyond support of ships’ guns. There simply were not enough landing forces in the ships present to protect all of the foreign populace ashore. Standard evacuation plans, handed from ship to ship, no longer fitted the situation and the entire picture was rather bleak in the event of a Northern collapse. Faced with the same problem, the American and British commanders decided to form a joint task force and evolve a workable defense plan.
They envisaged four eventualities which would require action on their part: (1) Withdrawal of troops with possible looting, (2) Disordered retreat of North China Army with looting certain, and risk to foreign lives, (3) The city’s becoming a field of battle, and (4) Occupation by Cantonese troops followed by communist agitators’ stirring up dangerous anti-foreign feeling.
Their plan was laid out in three stages: (1) Consuls ask all foreigners to leave before trouble broke, (2) On indication of a Northern defeat all women and children evacuate immediately and remaining foreigners concentrate in areas where effective armed protection could be given, and (3) All remaining foreigners evacuate to hulks or ships in the river.
Detailed plans for gunfire support of the concentration areas, for landing party routes to those areas, and for visual-telephonic communications between ships and their consulates were all worked out in joint conferences. The British and American Consuls, Messrs. Bertram Giles and John K. Davis, respectively, both excellent men and old China hands, had lists of their nationals. They contributed a system of communications via group leaders to reach all foreigners ashore. When these details had been agreed upon they were presented to the Japanese who joined the conference after getting approval from their commander in chief in China. The plan went into effect early in March.
Meanwhile, the Russian steamer Pamiat Lenina arrived at Pukow, across river from Nanking, en route to Hankow carrying various Russians including Madame Borodin, wife of Chiang Kai-Shek’s “adviser.” North China troops boarded the vessel and discovered trunks full of propaganda, plans, and secret papers hidden in the bunkers. As a result the Russians were all bundled off to Peking for trial and there a police raid was made on the Soviet embassy. Left at her moorings, the steamer was later scuttled. This incident pointed up the communist influence in the Cantonese forces and the bitter antagonism between South and North, for the latter government was firmly supported by Japan as a counter to the resurgent Russian strength in China.
Although the Northern positions below Nanking had seemed safe enough, the “silver bullet,” combined with very effective propaganda, led to defections which crumbled the front and brought the situation to a sudden head. Missionaries from the south brought word that the Cantonese were advancing and by March 20 came news that North China forces had been routed from Shanghai. That evening heavy gunfire was heard in Nanking.
The senior officer present shall, insofar as possible, preserve close relations with the diplomatic and consular representatives of the United States. He shall consider any recommendations, request, or other communications from any such representative. While due weight should be given to the opinions and advice of such representatives, the senior officer present is solely and entirely responsible for his official acts. (U. S. Navy Regs; Article 0610)
In a meeting at the British Consulate next morning it was decided to issue the first stand-by warning. About one third of the Americans had already left, on the advice of their alert Consul; but the remainder, including many women and children, were scattered through the southern part of the city, away from the river. Nearly all the other foreign colonies were located in this same area and most of their residents were still ashore. As the noise of battle approached it was obvious that the city would fall or suffer siege within a few days. Either eventuality required withdrawal of foreigners so the consular authorities issued a warning to evacuate women and children, beginning at 0600 on the 22nd. This decision was communicated to the Japanese Consul and to the naval authorities on the river. Noa requested river transportation to care for the refugees and U.S.S. William B. Preston was ordered down from Wuhu for that purpose, arriving Nanking around 0800 of the 22nd. Lieutenant Commander Smith remained Senior Officer Present Afloat for the American force, since the Consul had previously requested that any other ship ordered to Nanking be commanded by an officer junior to him in order to preserve the happy status of existing command relations.
The naval commanders immediately ordered the joint defense plan into operation. A visual signalling station was set up on the Socony House, located on a hilltop apart from the city proper and in clear view from the river, with the cooperation of Mr. Hobart, the Standard Oil Manager. The station was manned by John D. Wilson, SM1c, from Noa, and two other signalmen from William B. Preston. Visual communications were relayed via Socony House between Noa and the American Consulate, and Emerald set up a similar arrangement via the Butterfield & Swire dock.
Whenever ... it shall become necessary to land an armed force in a foreign territory on occasions of political disturbance where the local authorities are unable to give adequate protection to life and property, the assent of such authorities, or of some one of them, shall first be obtained, if it can be done without prejudice to the interest involved. (U. S. Navy Regs; Article 0614 (3))
The next step, landing armed guards for the consulates, involved the first of a series of command decisions. Ensign Woodward Phelps and ten men were detailed for this duty. They were armed only with pistols since the Consulate had an adequate stock of rifles. In recent days it had become increasingly difficult to get past the city gates. Anticipating that an armed party would surely be barred, Nod’s captain called on the Consul to provide private cars for transportation. Pistols were concealed under uniform coats, field packs were stowed under rugs on the floorboards and, without consulting local authorities, the party drove through to the Consulate. On the other hand, Emerald’s party marched up to the gate and was refused admittance; her captain and the British Consul spent all day and half the night trying unsuccessfully to find an authority who would grant permission. Next day they too followed the direct approach and sneaked in two officers and nineteen men in civilian clothes. A machine gun and ammunition were later smuggled into the American Consulate.
Early on the 22nd the women and children began arriving at the landings, which were cleared and blocked off to facilitate traffic by British and American landing parties. By noon there were 102 refugees in Noa and 73 in William B. Preston. That afternoon thirty of Noa’s group were sent down to Shanghai in a passing river steamer. The warship crews had all moved aft, leaving the forward compartments to the civilians, but living conditions were difficult at best. A surprising number of petty complaints from the missionary refugees plagued both captains for the next two days.
About noon on the 23rd Northern troops streamed to the river front in a frenzied rout, fighting among themselves over sampans or rafts in which to cross the wide river and escape. This flight continued through the day and night. There was looting in the native quarters but no violence to foreigners. In the city, as on the ships, there was extreme tenseness caused by this vast movement of armed men. The Consulate armed guard maintained good order and established sentries who kept the grounds secure. But there was complete disorder outsides the gates and a North Chinese officer died on the doorstep of stab wounds. Hourly signals between Noa and the shore gave assurance that all was well, but little sleep was had by anyone that night. By dawn it was reported that some 70,000 North China soldiers had crossed the river. An army of about 100,000 men had simply ceased to exist, and the city lay defenseless.
On occasions where injury to the United States or to citizens thereof is committed or threatened, in violation of the principles of international law or treaty rights, the senior officer present shall consult with the diplomatic or consular representatives of the United States, if possible, and shall take such action as the gravity of the situation demands. The responsibility for any action taken by a naval force, however, rests wholly upon the senior officer present. (U. S. Navy Regs; Article 0613)
In the morning of the 24th word came from the Consul that Cantonese troops had surrounded and were entering the city, and that the commanding general of the Northern forces was planning to make a stand at Pukow.
Shortly after 0700 the gunboats which had defected earlier appeared several miles upstream and began firing toward Pukow. Ships in the river then stood between potential fire from the two sides. The river was less than a mile in width. The situation was bad.
At 0715 the Consul sent an alarming message: “The Southern troops in city came to American Church Mission, entered house to look for Northern soldiers. Broke open trunks of Americans and robbed Chinese. American Christian Mission reports same treatment.”
About this time, too, Southern troops began arriving on the bund in small parties and opened rifle fire on the ships. All ships were hit countless times and one man in Emerald was killed. One bullet hit Nod’s bridge wing, barely missing the captain, and a dumdum put a large hole in her No. 3 stack. The situation was not made easier by the numerous women and children on board, but their conduct throughout was exemplary.
About 0800 the Japanese Consulate was attacked. The Consul, sick in bed, was shot Comyangpat told Nod’s captain to use his twice but not fatally, the building was looted and personal violence done to most of its occupants. The small naval guard, acting under order of the Consul, did not fight back. The commanding officer committed harakiri later because of the insults to his countrymen which he was powerless to prevent or avenge.
Uniformed bands of Cantonese soldiers were led by officers and local Kuomintang communists in a systematic, well-ordered looting of all foreign-owned property, schools, hospitals, and missions. The vice- president of Nanking University, Dr. Williams, was shot and killed. That these depredations were committed by Cantonese was borne out by statements of witnesses who identified the soldiers by their dialect. It was also clear that the Communist wing of the Kuomintang, not the more moderate element led by Chiang Kai-Shek, was responsible.
When news of these happenings reached the American Consulate it was decided to evacuate to Mr. Hobart’s house on Socony Hill, a mile nearer the shore and ships. The transfer was made on foot and took about an hour. The party consisted of the Consul, his wife and two small children, some missionaries, and the armed guard from Noa. They were sniped at repeatedly. When one man was wounded slightly the order not to return fire was promptly revoked and the party arrived at Socony House without further incident.
Upon hearing that the British Consul General had been wounded while trying to disarm looters, Emerald’s skipper determined immediately to make a landing in force with every man available, and he asked Captain Smith to come over for a conference. The latter wanted to notify his seniors before taking a step “fraught with such infinite possibilities of disaster,” and sent out a radio message:
Noa to ComYangPat Priority. 1024. Looting by Southerners all throughout city. Reported foreigners are being killed, communications cut off. H.M.S. Emerald landing in force. I think to do this will only result in losing the whole landing force. I have force ready to land. Request instructions. 1109.
Comyangpa told Noa’s captain to use his discretion but recommended that landing forces not be sent beyond range of ship’s guns. Under desultory sniper fire, Captain Smith transferred to Emerald for the conference. It was decided to sit tight until officials ashore reached some responsible Cantonese authority to whom Captain England could protest the outrages and make demands for proper protection of foreigners and their property. They also decided that if Socony House was rushed, main batteries would be used to drive away the soldiers or cover the escape of the inmates. These decisions were communicated to shore whence came the message: “American Consul is getting in touch with Cantonese officials. No immediate danger. Do not open fire unless specially requested. Will keep you informed.”
But the situation ashore was worse than this message seemed to indicate. No Cantonese official was located and loot-happy soldiers were affronting the House. The Consul and Mr. Hobart argued with them and succeeded in bribing the first few groups to leave. Random sniper fire continued and surrounding houses were ransacked. Soldiers kept coming to the House until almost fifty of them had gathered. It was known by now that their intention was to kill all foreigners. The Consul quoted one of these soldier- bandits as saying, “We are Bolshevists, we are proud of being Bolshevists, and we are going to act like Bolshevists.” Good communist indoctrination!
Efforts were continued to find some responsible Cantonese leaders but it was obvious that they did not wish to be found. Meanwhile, the Consul and Mr. Hobart continued to argue with the increasingly hostile soldiers, bribing them until all available money and jewelry was exhausted. It was clear that the last expedient was at hand. The troops were bent on loot and murder and had worked themselves into a frenzy for both. The time had come to fight. Reluctantly, at 1532, the Consul ordered the electrifying signal: “Open fire over our heads. Commence firing.”
The use of force by United States naval personnel against a friendly foreign state, or against anyone within the territories thereof, is illegal.
The right of self-preservation, however, is a right which belongs to states as well as to individuals, and in the case of states it includes the protection of the state, its honor, and its possessions, and the lives and property of its citizens against arbitrary violence, actual or impending, whereby the state or its citizens may suffer irreparable injury. The conditions calling for the application of the right of self-preservation cannot be defined beforehand, but must be left to the sound judgment of responsible officers, who are to perform their duties in this respect with all possible care and forbearance. In no case shall force be exercised in time of peace otherwise than as an application of the right of self-preservation as above defined. It must be used only as a last resort, and then only to the extent which is absolutely necessary to accomplish the end required. It can never be exercised with a view to inflicting punishment for acts already committed. (U. S. Navy Regs; Article 0614, (1) and (2))
In the next two minutes this signal was canceled and then repeated, followed by an “SOS, SOS.” Captain Smith held fire to permit Emerald, as his senior, the first shot. But when the British ship was delayed in remanning guns and training out, he remarked, “Well, I’ll either get a medal or a court martial out of this.” and gave the order, “Let her go, Benny.” (Lieutenant Benjamin F. Staud, USN, Executive and Gunnery Officer). No. 1 and 2 guns of Noa let go with 4-inch flat-nosed projectiles which landed to the left of the House and just over the crest of the hill behind it, whence most of the Chinese fire on the house was coming. At the same time, to protect the gun crews, machine-gun fire was directed at the snipers who had been firing on the ships.
Destroyer H.M.S. Wolsey now arrived on the scene in response to Captain England’s earlier appeal. In the flurry of excitement following the Consul’s first signal Wolsey’s request for a brief of the situation went unanswered. Noa’s opening salvo, therefore, startled her entire crew, including the captain who exclaimed, “Those bloomin’ Yanks have got the wind up again!” In a moment Emerald’s six-inchers opened up and Wolsey promptly stood inshore to await orders of target designation and to cover any possible landing party. The Japanese division commander, having no orders or instructions to cover the situation, did nothing, but in each of his ships sailors manned the after decks and cheered each salvo heartily.
Noa’s slow and deliberate fire stopped after nineteen rounds, but Emerald continued with single guns at one-minute intervals. Huge crowds on the bund and along the shore disappeared as if by magic, as did all soldiers near Socony House. Reports from foreigners evacuated later stated that all looting stopped instantly, on bugle signals, when the first shell exploded—further evidence of planning and control. There were widely varying claims about the number of people hit by the ships’ gunfire, some propagandists placing the figure as high as 200,000, but the total of civilian casualties as given by General Chiang Kai-Shek himself came to just six. The others killed and wounded in the vicinity of the foreign houses were soldiers and looters who had no business being there.
Men were seen coming out of the Socony House at 1545 and, when they were clear, Emerald ceased fire. Refugees from the American Consulate and others headed toward the city wall and the river. Ropes had been made of sheets, belts, blankets, and old straps to lower them over the sixty-foot wall. As soon as the exodus from the house was observed, landing parties were called away by the four British and American ships. A total of about 250 men struck off inland led by Commander A. Maitland-Dougal, rn, covered by the ready guns of Wolsey. All landing forces were safely back on board with 48 men, two women, and two children in less than two hours’ time. It was the unanimous belief of the refugees that only the opening of main battery fire saved the lives of the remaining foreigners, all of whom had harrowing experiences but came out of Nanking safely in the next day or two. Many of these people, when they realized the extent to which the naval commanders had gone to effect their safety, wrote resolutions of appreciation and sent copies to the highest naval and diplomatic officials of their countries. The only injuries sustained by people from Socony House were to Mr. Hobart and Wilson, the signalman, when the improvised rope broke as they were going down the wall. Considering the amount of sniper fire, this was miraculous.
No officer in the naval service shall issue an ultimatum to the representative of any foreign government, or demand the performance of any service from any such representative, without first communicating with the Secretary of the Navy, except in extreme cases where such action is necessary to save life. (U. S. Navy Regs; Article 0615)
As soon as the safety of the Socony House people and the landing forces was assured, another conference was held in Emerald and for the first time in 24 hours Noa’s gig was not fired upon in transit. The prime question was how to make contact with responsible Cantonese Army officials. A delegation of important-looking Chinese carrying large banners of the Red Swastika Society along the bund appeared to be the answer. The leaders were summoned and it soon became evident that some minor general was behind their appearance. Awaiting their arrival, Captains England and Smith drew up a joint ultimatum:
The following demands are made by the British and American Senior Naval Officers now present at Nanking:
1. An immediate and very strict order for the protection of all foreigners and their property must be issued by General Chang Hui-chan, Commander of the 4th Division of the Nationalist Army.
2. General Chang himself must come on board H.M.S. Emerald this evening before 11 p.m. to negotiate regarding today’s outrages on all foreigners by his troops in Nanking, and firing on foreign men-of-war must cease immediately.
3. All foreigners in Nanking must be brought to the Bund escorted by his best troops or be accounted for by 10 A.m. tomorrow morning.
4. If these demands are not complied with we intend to take immediate steps as we consider necessary, treating Hsia Kwah (the wafer-front section) and the City of Nanking as a military area.
These demands were handed to the leader of the Chinese spokesmen with instructions for immediate delivery to the commanding general in Nanking, and the party was returned to the shore.
Soon after this delegation departed U.S.S. Isabel, flying the flag of Rear Admiral H. H. Hough, Commander Yangtze Patrol, arrived and the function of Noa's captain as senior American Naval officer present ended. The admiral was highly pleased with what had been done—to the vast relief of Lieutenant Commander Smith.
General Chang did not appear as ordered but, as the ships were preparing to open fire next day in enforcement of their demands, the remaining foreigners arrived safely at the landings. The following morning a joint conference was held between the American, British, and Japanese naval commanders. (The latter interrupted frequently and heatedly to say, “I wish to fire.”) Since no responsible Chinese official had yet been seen it was decided to exact apology and reparation, at the mouths of their guns if necessary, but the various home governments now stepped in to decree no further drastic action. Noa took her refugees to Shanghai, with all guns manned and ready, and was the first U.S. ship in nearly a year to pass the Silver Island forts without being fired upon.
Chiang Kai-Shek continued with unification of China under the Kuomintang. The events at Nanking were a major factor in his break with the communists, their ouster from the party, and the beginning of the Chinese Civil War. The four signalmen who worked so bravely under fire received the Navy Cross. The thanks and commendations of their governments went to Captains English and Smith, but the latter’s spoken thought on ordering the Open Fire was not prophetic for he got neither court-martial nor medal.
L’Envoi
“Well done, Captain Smith.”
His decisions and actions, taken independently and in concert with others, had trod a narrow and hazardous path between security and jeopardy. He had landed an armed force on foreign soil against the express wishes of local authorities, he had fired on foreign troops with whom his country was not at war, and he had joined in issuing an ultimatum to the representative of a foreign government. Each of these actions was sufficient ground for a court-martial if his judgment had been found wanting—as he well knew.
“In peace, injudicious action may precipitate hostilities; or injudicious inaction may permit infringement of American rights, of persons or of property.” Here was neither; here was judicious action, considered, prompt, and resolute. We may now say that he was wise to have thus acted within the metes and bounds of Naval Regulations, that his were the actions of a reasonably prudent man under the circumstances and certain to be condoned.
Scrutiny will reveal, however, that the metes and bounds of Naval Regulations are not, as they cannot be, fine drawn and clear cut. They provide a guide but the decision is, as it must be, left to the commander on the spot. Communications have improved since 1927 but occasions may still arise where the local commander will not have time for specific instructions. Further, the value of such instructions depends upon the remote commander’s understanding of the situation in all its details and it might be injudicious to count on that in the face of rapidly changing local conditions. The local commander must still expect to face emergencies alone, but with reasonable assurance that he is not acting completely at his peril.
After the action Captain Smith was deeply concerned lest his superiors disapprove of what was done. To his own best judgment he had acted in accordance with the exceptional case situations of Navy Regulations. Would his superiors agree? If they did not, his career was finished. It is fortunate that he did not let this concern impair his judgment at the critical moments. In sharp contrast to his bold determinations stands the inactivity of the Japanese squadron commander who was much safer from the standpoint of his career, if not of his conscience.
It would be wise for every man who may some day find himself in a position of such vital responsibility to consider the lesson of this episode which was aptly summed up in a contemporary editorial:
Captain Smith of the U.S.S. Noa remarked, as he opened fire at Nanking, that he would get either a court-martial or a medal for it. That remark should be blazoned in every office, workshop, and institution of the land. It is the willingness to accept the obloquy without complaint, should it come, that makes the reward worth having.