Category Archives: History

Naval and maritime history section.

And If We Became the Barbarians…

The “Sacking of Rome” series continues with this fifth installment.

Much is made of the imagery of barbarians storming the gates of Rome. It conjures the picture of masses of foreign hordes bursting over the walls and crashing through the gatehouse, razing a great city to the ground and subjecting its people to horrible torment, slavery and death. Today we can perhaps wonder whether Slavic or Asiatic armies can overwhelm a crumbling Western alliance, subduing Western Europe, the United States and our allies in Asia, achieving decisive victory. While this may make for popular filmmaking (see “Red Dawn” – the original, not the awful remake), it is hardly likely.

 

Consider the etymology of the word “barbarian.” The ancient Greek word, “barbaros,” literally meant “non-Greek,” and was used to describe any foreigner, which to the Greeks would include such advanced civilizations as the Egyptians and Persians as well as the uncivilized tribes they came into contact with. Its direct antonym is “polites,” Greek for “citizen” and where we get our words “polity” and “politics.” To be a barbarian meant more than just being uncivilized, it meant that you were not a citizen. The word would become a pejorative used by the Greeks to even describe other Greeks, suggesting they were not worthy of citizenship, and the responsibilities that would come with it. This would be an important distinction from the word “subject,” used to describe an individual who is subjected to the rule by elites, such as feudal subjects.

 

No one better understood these distinctions than Alexis de Tocqueville, who in his magisterial overview of the American polity Democracy in America[i] identified the mores, or the “habits of mind” that served to protect the political liberties that mid-19th Century Americans enjoyed. These mores and habits can be best thought of today as “the whole moral and intellectual state of the people,” or our national character. He observed that institutions such as our political order – republican democracy – as well as the rule of law, religion, family and private associations (what Edmund Burke would call “little platoons”) created a network of self-reinforcing pillars that permitted the continued growth of freedom and served as America’s greatest source of national power.

 

Tocqueville was quick to point out the vulnerability of a “democratic social state like that of the Americans [to] the establishment of despotism.”[ii] Unlike the time of the ancient emperors of Rome or Persia, where “the details of social life and of individual existence ordinarily escaped his control” the despotism that America was particularly vulnerable to “would be more extensive and milder, and it would degrade men without tormenting them.” He goes on at length to define this form of despotism. As the citizenry begins to “fill their souls” with “small and vulgar pleasures,” it begins to withdraw from the institution that buttress republican democracy, “becoming like a stranger to the destiny of all others.”[iii] The American will “exist only in himself, and for himself alone.” He will elevate the role of the federal government to “take charge of assuring their enjoyments and watching over their fates.” It becomes “absolute, detailed, regular, far-seeing and mild. It would resemble paternal power if, like that, it had for its object to prepare men for manhood; but on the contrary, it seeks only to keep them fixed irrevocably in childhood …” The purpose of the government, and the bureaucracy that underlies it is to “willingly work for their happiness, but it wants to be the unique agent and sole arbiter of that [emphasis added]; it provides for their security; foresees and secures their needs, facilitates their pleasures, conducts their principal affairs, directs their industry, regulates their estates, divides their inheritances, can it not take away from them entirely the trouble of thinking and the pain of living?”[iv]

 

In short, Tocqueville is warning not against the rule of tyrants, but of “schoolmasters.”[v] The schoolmaster “does not break wills, but it softens them, bends them, and directs them; it rarely forces one to act, but it constantly opposes itself to one’s acting; it does not destroy, it prevents things from being born; it does not tyrannize, it hinders, compromises, enervates, extinguishes, dazes and finally reduces each nation to being nothing more than a timid and industrious animals of which the government is the shepherd.”[vi]

 

How can this happen? People have two conflicting desires, the “need to be led and the wish to remain free.” We foolishly try to satisfy both at the same time. We demand that the federal government continue to centralize more power and control over the most intimate parts of individual and social life, in tutelage to our schoolmaster, while consoling ourselves “by thinking that [we] had chosen [our] schoolmasters” in our national elections. We become deluded in believing that we have “guaranteed the freedom of individuals well enough when [we] deliver it to the national power.”[vii]

 

A “schoolmaster” form of absolute federal power – commonly known today as the “nanny state” – has profound implications on the character of the American polity. It would be hard to argue that we are not in danger of falling into the soft despotism that Tocqueville warned about before the Civil War. If his warnings are true, then as Americans shed their sense of rugged individualism and self reliance, we would expect to see more dropping out of the workforce, finding it easier to accept wealth transfers from those who still continue to produce. We may find the expansive reach of government into all aspects of private life, from what we consume to our very own health. Even the nature of private and business relations will become matters of the state. Perhaps we will see a growing sense of narcissistic entitlement seep into the public culture and consciousness, eating away at the very mores that Tocqueville lauded as uniquely responsible for our republican democracy. Media, corporate and government elites will align to maintain a hold on that public consciousness (and power over the federal government), fundamentally altering the narrative of “American exceptionalism” so that we consider our nation just one of many, no better and often worse.

 

To the more immediate topic at hand, a nation fixed irrevocably in childhood will begin to face significant obstacles to maintaining the military power and strength necessary to keep its status as a world super power. It would not cease to exist or become absorbed by another country. Instead, it would slowly decline to a position of near irrelevancy, unable and unwilling to affect events on the global stage beyond the perfunctory speech and endless diplomacy. To be a super power is very hard work, and requires not only sacrifice and commitment, but a sincere belief in the mission and purpose of maintaining that status. It requires a nation of adults.

 

There are many potential military “game changers” today, from nuclear rogue states to far reaching anti-ship cruise missiles, anti-satellite weapons, swarm boats, electro-magnetic pulse weapons and cyber attacks that could all be destabilizing and devastating. Changes in military hardware and the strategies and tactics used by our adversaries who employ them are nothing new however. Nor is the ability to adapt to those changes, even after suffering a defeat. Victory in war has more to do with popular will than it does with hardware. Some new “out of the box” strategy, tactic or toy will always be adapted to eventually. Defeat on the battlefield, or even in war, is “transitory” as Clausewitz notes, with the adversary often just biding time until political events can cause him to rectify the situation.

 

The American military is reflective of its population, and as our national character changes, the military will change accordingly, over time and albeit slowly. Nations that choose the path of decline do not maintain a dominant military force. Its power, much like the “habits of mind” that Tocqueville wrote of, will erode if not nurtured and sustained.

 

So, to answer the question of how might the U.S. find itself sacked like ancient Rome should be one of introspection and self-evaluation. I posited a few of the many indicators that, if the great Frenchman’s warnings are true, we should begin to see, perhaps in our own lifetime. No doubt there are others. But the point remains that we probably need not fear potential barbarians at our gates, but turn our attention instead to the barbarians we may become.

Robert “Jake” Bebber is an information warfare officer. He holds a doctorate in public policy from the University of Central Florida. He lives in Millersville, Maryland with his wife, Dana and their son, Vincent. The views expressed here are his own, and do not represent the U.S. Department of Defense, Department of the Navy or the U.S. Cyber Command. He welcomes your comments at jbebber@gmail.com

 

[i] De Tocqueville, Alexis. Democracy in America. trans. Harvey C. Mandfield and Debra Winthrop. (Chicago: University of Chicago Press: 2000), 274.

[ii] Op cit, p. 661

[iii] Consider the growth in the use of social media, where the veneer of a Facebook wall post or Tweet has replaced actual human interaction.

[iv] Op cit, p. 662-663.

[v] Op cit p. 662.

[vi] Op cit. p. 663

[vii] Op cit p. 664

Lessons from History: The Parthian Defeat of Rome

This is the first article of our “Sacking of Rome” week: red-teaming the global order and learning from history. It is also the first of Merighi’s independent “Lessons from History” regular series for CIMSEC.

They poured gold down his throat, cut off his head, and sent it back as a warning to others.

No, this is not a scene from the latest episode of Game of Thrones; this was the passing of Marcus Licinuis Crassus in 53 BC.[1] Rome’s richest man, a member of the First Triumvirate with Julius Caesar, and the man responsible for putting down the pirates that menaced the Mediterranean, met his ignoble end fighting the greatest challenge the Romans ever faced in the east: Parthia.

Map1
Map of the Achaemenid Persian Empire at its height with the region of Parthia marked in a red circle (Wikimedia Commons)

 

Persia was the preeminent military, political, and cultural power in the ancient world from 550 B.C. to 330 B.C. With its heartland in modern day Iran, its empire spanned from Afghanistan to Turkey at its apex. It all came crashing down in spectacular fashion when Alexander of Macedon rose to power and led a ruthlessly efficient military machine on a path of conquest that brought him all the way to the Indus River. He tried his hardest to unify the Persian state with his own but, when he died at the age of 33 in 323 B.C., his empire immediately collapsed into a host of warring factions. Three of his Greek generals went on to found the three largest states in the Eastern Mediterranean by the time Rome rose: the Seleucids in Turkey and Syria, the Antripatrids (later the Antigonids) in Greece, and the Ptolemians in Egypt. In the Persian heartland, however, ethnic Persians waging a proto-nationalist campaign kicked out the remnants of the Greek invaders. Known as Parthians due to the origins from the titular province in north-eastern Iran, they established a small state that expanded outward as the Alexandrian generals quarreled with one another.

For centuries after his death, every Greek warlord in the Western World claimed their legitimacy through Alexander and the desire to rebirth his Empire. Rome, too, took up this mantle as it expanded eastward into the Greek mainland. Beginning first in Greece and Macedonia, they waged a brutal war with the beleaguered Seleucids and conquered all the territory they possessed in the modern Middle East. This brought Rome’s borders right onto those of Parthia. Both were rising states with expansionist ambitions and a border that sat on porous, easily invadable territory. The stage was set for an epic confrontation between the two great powers.

Map2
Map of the Roman-Parthian border with the location of Carrhae shown in a red circle (University of Guelph)

 

Unfortunately for Rome, this manifested in the ill-fated expedition of the afore-mentioned Crassus in 54 BC. The expedition met its unfortunate end on the plains of Carrhae in south-eastern Turkey along the Syrian border.

How did the Parthians manage to resist Rome for so long? Their success rested on three key disparities between them and their Roman opponents:

1)     Assymmetric Military Advantage

romanparthian
A Roman Legionnaire (left) facing his greatest threat since Hannibal: Parthian horse archers using the Parthian Shot (Wikimedia Commons)

The Roman legion was the paragon of military efficiency in its day. The strict discipline, advanced military technology, and sheer numbers were widely feared even before they began leaving the Italian peninsula. It was by no means a perfect force, as its travails against Hannibal in preceding centuries demonstrated, but the system itself was markedly better than any other fielded even with bad generalship. How then was it so ineffective against Parthia?

Unlike the other opponents the Romans fought in the preceding six centuries, the great bulk of the Parthian army were horse archers rather infantry or melee cavalry. Noted for the infamous “Parthian Shot,” their horsemen would rush forward to engage Roman infantry, retreat, then abruptly turn in their saddles to fire a shot directly behind them. The slow, methodical legionnaires were then rendered ineffective since they could not physically reach their assailants. The horse archer can be equated with modern fears about Medium-Range Ballistic Missiles (MRBMs); they were mobile, highly survivable, and could take out slower assets with near impunity.

These techniques were perfect for the open terrain on the Roman-Parthian border. If the topography had been less open, such as the forests of Gaul or Germania, Parthian tactics would have been less effective. The Parthians, though, did not need an army that could fight on different terrain because that is not where they needed to fight nor chose to fight. This brings us to the second advantage Parthia held over the Romans.

2)   Strategic Focus

The Parthians never harbored ambitions to conquer Rome; their strategy consisted of resisting Roman incursions and making their own when Rome was politically weak (see discussion below). Since the Parthians did not commit their resources into futile all-or-nothing fights with Rome or engage them on disadvantageous terrain, they always maintained a strong conventional deterrent that altered Rome’s calculus away from intervention.

Map3
Map showing the Parthian Empire in relation to the territory of the Scythian nomads. Without a central government, the Scythian tribes could only pose occasional threats in Parthia’s east (Wikimedia Commons)

The Parthians also had the strategic benefit of having fewer serious external competition; its western border was solely with Rome and the neutral kingdom of Armenia (the site of many proxy wars between Rome and Parthia). To their east were far weaker and divided opponents, namely the Scythians and Bactrians. Rome, on the other hand, was beset by strong enemies on all sides. These included: restive tribes in Gaul and the Danube region, lingering discontent in Numidians North Africa, a still-unitary Egypt, and a vascillating client state in northern Turkey. These challenges both demanded military resources and political attention to effectively control. Even if Rome had more money and soldiers than the Parthians, only so many of them could be dedicated toward fighting the Parthians.

3)   Stronger Political Core

faces
(From the Left) Marcus Licinuis Crassus, Julius Caesar, and Marc Antony. All of the men tried to invade Parthia. The first one actually crossed the border and was killed. The other two were killed by Romans before even getting there (Wikimedia Commons and the Musee Des Augustins)

Parthian politics were cold and brutal. Succession crises were common and factions killed one another as they vied for the Parthian crown. There were even instances of Parthian claimants to the throne finding refuge in Rome, like exiled dictators, waiting for the opportune moment to return.

Roman politics during the late Republic and early Empire made Parthia look like Switzerland. The invasion of Parthia planned by Julius Caesar in 44 BC to avenge the death of Crassus (and punish the Parthians for their support of his rival, Pompey) was cancelled when Caesar fell to assassins’ blades on the Ides of March. The resulting civil war claimed thousands of Roman lives both on the battlefield and during the infamous proscriptions during which whatever faction happened to hold power would murder people and then “nationalize” their assets. After years of civil war, Rome finally found its footing under the Second Triumvirate. Marc Antony amassed his own army to take on the Parthians and managed to expel them from Syria in 33 BC only to have to turn around to fight his political partner Octavian in yet another civil war.

Octavian eventually succeeded in unifying the Roman state under his autocratic rule but, by then, he was in no position to challenge any external power. Crippling debts were poised to ruin the state. Opposing factions, though cowed by Augustus’ power, still opposed him behind the scenes. Octavian was forced to reduce to total number of legions to consolidate his hold on the Empire and reduce the risk of another civil war. Rather than risking another Parthian encounter in his weakened state, Octavian instead signed a landmark peace agreement that designated permanent borders in exchange for the legionary standards lost during Crassus’ expedition 33 years earlier. The Roman-Parthian drama would continue in fits and starts over the remainder of their very existences but, after that fateful treaty signed by Augustus, Rome finally admitted that it would fully never replicate Alexander’s conquest of Persia.

The cruel lesson for the United States to take from the Roman experience with Parthia is that an adversary with technology designed specifically to defeats its army, combined with stronger political will, is bound to come out on top of any conflict. Defeat does not just come on the battlefield. Just like Rome, the United States has a great number of serious threats: a bellicose Russia, an increasingly-assertive China, a still-problematic Iran, and trans-national terrorism. Unlike many of these antagonists (and the Parthians before them), the United States does not have the luxury of dedicating its resources to countering just one of these threats. The United States’ political system, after years of war and deep partisanship that conjures images of Caesar’s Rome, is brittle and unable to tackle any of these challenges. The lesson from Parthia is that to defeat the United States is merely to outlast it and negotiate for what you truly want.

Fortunately, for the United States, the peace under Augustus is not the end of the story. Over the following two centuries, the tables would turn and the Parthians’ political structure collapsed. Years of dynastic feuds and rival claimants to the throne made Parthia vulnerable to strong Roman Emperors such as Trajan (115 A.D.) and Septimus Severus (198 A.D.). The Parthian state was overthrown by internal revolution and a new Persian dynasty took its place. The final lesson for the United States is this: it is never too late to recalibrate and nothing is over until it is over.

Matthew Merighi is a civilian employee with the United States Air Force’s Office of International Affairs (SAF/IA) currently transitioning to pursue a Masters’ Degree at the Fletcher School. His views do not reflect those of the United States Government, Department of Defense, or Air Force but hopes his country can stand up to the Parthians.

[1] There is no concrete proof that the gold-pouring incident is true apart from the reports of the Roman historian Cassius Dio but it definitely gets the point across.

(ARCHIVE) URGENT Re: D-Day

This is from our archives, the 2012 reflection on D-Day.

Today’s military is an urgent place. Exclamation marks, capitalization, asterisks, and all sorts of extra accoutrements of PowerPoint panic or Outlook outrage are used to signal that yes, the supplementary quarterly alcohol awareness training is critical to ship’s readiness. As we have turned inward in a time of relative maritime peace, trading many of our helmets for hardhats, terms such as I(Insurv)-minus 400 have replaced the likes of D-Day and H-Hour. However, many approach these administrative and maintenance challenges with greater trepidation and anxiety than any young GI waiting in the landing craft with his rifle.

Today let us remember that exactly 70 years ago roughly 500,000 teenagers stormed through the bloody foam of a pounding surf into the mouth of German guns and likely death. The urgency was real, as men traded their lives for liberty in the most gruesome of ways. On this day, men were blown apart in their own landing craft before the shore. Soldiers drowned under the weight of their own packs in water shallower than a public pool. Waves of dedicated men lost everything they had before even setting foot on the continent they had resolved to save. With a mixture of fear and resolution, an entire generation of boys became old men in a matter of hours.

 

It is well that Memorial Day, Midway, and D-Day come within such close proximity to one another; In our fast-paced world where agitation and consternation can be transmitted at the speed of an email or a cellphone call, it’s a concentrated reminder of the young man huddled behind an anti-tank caltrop. Surrounded by the dead and halfway there, he has no radio, no phone, and no way to communicate his fears; he concentrates on his shipmates, solutions, and survival. He -knows- for what cause he wears his uniform. There is no room for complaint, as enough whining is being done by the bullets, bombs, and mortar rounds falling all around. However, he does take a moment to throw up a prayer, SUBJ: Re:URGENT.

PTP Response: Levels of Interaction, the Historical Approach and the Public Mind

This post was provided by Dr. John T. Kuehn in response to the series on CIMSEC and The Bridge, Personal Theories of Power. Dr. Kuehn is a member of the U.S. Army Command and General Staff College faculty and the author of Agents of Innovation: The General Board and the Design of the Fleet that Defeated the Japanese Navy and A Military History of Japan: From the Age of the Samurai to the 21st Century.

It is just here that the Institute might render important service to the profession by enlightening the public mind of the Navy on this subject, through the medium of essays and frequent discussions. — Admiral Stephen B. Luce, 1888, annual address as President of the U.S. Naval Institute

My personal theory of power, at least for the moment, has two parts. The first part comes from an idea broached by Mark Mandeles known as “levels of analysis.” The second part has to do with my own approach to exercising such power in ethical and, hopefully, altruistic ways in my own life through education, specifically educating minds to include the historical perspective. In other words, the theory followed by its application and execution in my own case.

Levels of Power — An Analysis

First, levels of analysis describe human interactions in terms of relationships. Generally, these levels fall into three groups: the individual, organizational, and institutional. Institutions are near the very top of social hierarchies and, in the words of Douglass North are, “society’s rules of the game.”[i] Translating this to a personal level, each human interaction occurs within these sorts of contexts and, therefore, for each of us, each interaction—as an individual, as a member of an organization or small cohesive team, and as a member of a larger institution—is pregnant with both possibility and limitation, occasionally leading to brilliant success or utter catastrophe. We influence others, wield our power as it were, in these situations and in different ways. Most interactions are at the personal level, but within teams and organizations, we behave a bit differently based, again, on the possibilities and limitations of our personal influence in that particular context. For example, parents exercise individual level power all the time with their children. At the organizational level we often think of our team, unit, or organization associated with employment. As one’s responsibility increases, so does the level of interaction and the ability to exercise personal power at the organizational level. However, for the audience that is probably reading this, we have folks who occasionally (or more often) exercise their power within institutional settings, as leaders of powerful institutions—for example Admiral Jonathan Greenert exercising his influence and authority as the US Navy service chief or David Petraeus when he was director of the CIA.

Education of the Historical Perspective

Back in the turbulent 20th Century an American historian named Thomas Bailey wrote A Diplomatic History of the American People. Bailey argued that the American people, through the power of public opinion, have always (one might say traditionally) exerted a profound influence on the foreign policy of the United States.[ii] This raises the issue of how does one influence the public opinion of the American people? N.A.M. Rodger dealt extensively with how the public mind is influenced by historical narratives and myths. He found that, contrary to perhaps conventional wisdom, Americans do use history to inform their public thinking, but that most of this history is flawed, wrong, or obscures what might have value coming to grips with the human past.[iii] I contend that the historical approach to influencing the public mind is not something that needs doing, rather it is something that needs doing correctly.

For Clausewitz and Mahan theory literally was study.

Minds as different and culturally divergent at Carl von Clausewitz, A.T. Mahan, and Mao Zedong all shared one trait in common when it came to military theory—theory should include study and when it came to war that study should be military history. For Clausewitz and Mahan theory literally was study.[iv] It is all well and good for the military professional to create his or her own theory by doing this (precisely what this series of articles is doing, after all), but how does this translate in power and influence? One means is through education, and not just military professionals or governmental elites, but the public. They get a vote.

For me it involves teaching, engaging if you will, with history as a means to educate the public mind—with individuals, groups, and in larger settings, at all levels. And so I teach primarily military and political history—at Fort Leavenworth, for Norwich University, at University of Kansas, for the Naval War College fleet seminar program, and frankly at any opportunity I get.

A theory is useless unless one employs it in a practical and daily manner.


[i] Friedman, Mandeles, and Hone, American and British Aircraft Carrier Development, 5-6. These authors cite Nobel Laureate Douglass C. North, Institutions, Institutional Change, and Economic Performance (New York, 1993.) More recently, Mandeles acknowledges the role of Jean de Bloch’s pioneering analyses in The Future of War: Organizations as Weapons (Washington, DC, 2005) as contributing to his inspiration for the “levels of analysis” approach.

[ii] Thomas Bailey, A Diplomatic History of the American People, Tenth Edition (Englewood Cliffs, NJ: Prentice-Hall, 1980).

[iii] N.A.M. Rodger, “The Perils of History,” Hattendorf Prize Lecture, Naval War College Review (October 2011): 8-15

[iv] Carl von Clausewitz said this literally in Book 2 on military theory of On War, trans. Peter Paret and Michael Howard (Princeton, NJ: Princeton University Press), 141-142; Jon T. Sumida emphasizes this aspect of both Mahan’s and Clausewitz’s theoretical approaches in Inventing Grand Strategy and Teaching Command: The Classic Works of Alfred Thayer Mahan Reconsidered (Washington, D.C.: Woodrow Wilson Center Press/Johns Hopkins Univ. Press, 1997) and Decoding Clausewitz (Lawrence, KS: University of Kansas Press, 2008), especially chapter 1. For Mao see John Shy and Thomas Collier, “Revolutionary War” in Makers of Modern Strategy (Princeton, NJ: Princeton University Press, 1986): 815-862.