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European Maritime Security Week Wraps Up on CIMSEC

By Dmitry Filipoff

Last week CIMSEC published articles analyzing European maritime security submitted in response to our Call for Articles. Submissions discussed various topics including but not limited to high-end and hybrid warfighting challenges in the Baltic, humanitarian operations in the Mediterranean, and strategic thinking on maritime arenas far from the European continent. We thank our authors for their excellent contributions, listed below.

The Case for a Constant NATO CSG Presence in the Mediterranean by Jason Chuma

“NATO should maintain a continuous Carrier Strike Group (CSG) presence in the Mediterranean. A CSG patrolling the Mediterranean, especially in the eastern Mediterranean near Tartus, would be an overt display to Russia that NATO has not forgotten about the Mediterranean.”

Integrating Maritime Security Operations in the Mediterranean by Evmorfia-Chrysovalantou Seiti

“This work will analyze the external actors present in the Mediterranean and the schemes of cooperation for preventing a spillover effect, which can not only impact the European continent but global affairs.”

Russia’s Black Sea Fleet Buildup and Modernization by Alex Schneider

“An enlarged and more advanced Black Sea Fleet has the potential to provoke substantial tension with the United States and NATO, especially in the Mediterranean Sea. Nevertheless, it also has the potential to act as a security partner for the Alliance for operations against regional—and cross-regional—terrorism, trafficking, and piracy.”

The Baltic: Grey-Zone Threats on NATO’s Northern Flank by Martin N. Murphy, PhD and Gary Schaub, Jr. PhD

“NATO’s leadership termed Russian strategy ‘hybrid warfare,’ defining it as warfare in which “a wide range of overt and covert military, paramilitary, and civilian measures are employed in a highly integrated design.”  Questions were raised immediately about the suitability of the designation, as the label NATO adopted fails to adequately capture the reality of what Russia inflicted on Ukraine—and may inflict on states in the Baltic Sea Region (BSR) in the near future.”

The Asia Pacific and Europe’s Maritime Security Strategy by Dave Andre

“The importance of the region for European trade and business, global economic stability, and international maritime security necessitates that the EU maintain more than just an economic and diplomatic presence in the region. Adding a dedicated maritime presence to the region will involve a balancing act between the competing interests of individual EU members while advancing a comprehensive and unified stance—this goes beyond simple matters of naval capability and capacity.”

An Adequate NATO Maritime Posture: The Missing Element For Deterring Russia by Ian Sundstrom

“Through its invasions of Georgia and Ukraine, its intervention in Syria, and its continued bellicosity at sea and in the air, Russia has proven itself to be a threat to European security once again. NATO has taken actions to deter aggression against its members, but its efforts at sea have been inadequate.”

European Answers for African Questions? by Dirk Siebels

“Africa matters, not only because of migrants boarding rickety boats in Libya to embark on a dangerous trip to Europe. At the same time, European and African governments often have different agendas, underlined by the many challenges to maritime security emanating from the African coastline.”

French Maritime Strategic Thought on the Indo-Pacific by David Scott

“In Europe, France is distinctive in claiming that its boundaries actually extend outside Europe into the Indian Ocean and Pacific Ocean, i.e. the ‘Indo-Pacific,’ through its overseas departments (département d’outre-mer), and overseas territories (territoire d’outre-mer), which are considered integral parts of France, and indeed thereby of the European Union. These Indo-Pacific possessions also have large Exclusive Economic Zones (EEZs). These give France important maritime interests to be maintained, and if need be defended, by the French Navy.”

Resources, Limited Capabilities Challenge Baltic Navies As Russia Threat Grows by Jeremiah Cushman

“The focus on land threats, expense of naval combat platforms, and limited resources have so far prevented the countries from acquiring or maintaining significant naval capabilities. What follows is an analysis of each Baltic State’s respective naval capabilities followed by trends in their combined missions and activities.”

The Role of the Black Sea in Russia’s Strategic Calculus by Byron Chong

“For Russia to achieve these long-term objectives, its supremacy in the Black Sea is a critically enabling factor. The unique geography of the region confers several geopolitical advantages to Russia in its confrontation with the West. As such, the Kremlin has sought measures to strengthen its hold over the region.”

Dmitry Filipoff is CIMSEC’s Director of Online Content. Contact him at Nextwar@cimsec.org

Featured Image:Kiel, Germany. 25th June, 2015. German naval soldiers from the frigate ‘Hamburg’ march to a ceremony for the transfer of command over the permanent NATO force in the Mediterranean (Standing NATO Maritime Group 2) in Kiel, Germany, 25 June 2015. (Carsten Rehder/dpa/Alamy Live News

The Role of the Black Sea in Russia’s Strategic Calculus

European Maritime Security Topic Week

By Byron Chong    

Introduction

As one of his last acts of 2015, on December 31st, Russian President Vladimir Putin formally approved his country’s new national security strategy. The content of the updated document reflected the sharp deterioration in Russia’s relationship with the West after the Ukraine crisis – it accused the U.S. and its allies of trying to dominate global affairs and described NATO expansion as a major security threat.1 When this document is analyzed together with Russia’s Military Doctrine issued the previous year, on December 25th, 2014, they provide valuable insight into understanding the Kremlin’s strategic concerns and long-term objectives. Both documents describe a country threatened by NATO’s encroachment towards its borders and its loss of influence over the ex-Soviet states on its periphery. They focus on the need to restore lost prestige and leadership over its neighbors, and halt the Alliance’s eastward expansion.2

For Russia to achieve these long-term objectives, its supremacy in the Black Sea is a critically enabling factor. The unique geography of the region confers several geopolitical advantages to Russia in its confrontation with the West. As such, the Kremlin has sought measures to strengthen its hold over the region. Firstly, it has sought to weaken NATO’s ties to the regional states, working to drive wedges into these relationships, and using military force when necessary to stop the Alliance’s expansion. Secondly, it has been expanding its military capabilities in order to challenge NATO’s presence in the region and ultimately dominate the Black Sea.

Significance of the Black Sea

The Black Sea holds a special significance in Russia’s strategic calculus for several reasons. Firstly, it is an important crossroads and strategic intersection for the entire region. Access to the Black Sea is vital for all littoral and neighboring states, and greatly enhances the projection of power into several adjacent regions. Indeed, dominating the Black Sea would allow Russia to project power toward the Eastern Mediterranean, the northern Middle East, the South Caucasus, and to the rest of mainland Europe.3 Russian military operations in Syria for instance, were supported by the naval presence it maintained in the Eastern Mediterranean – some of which were elements of its Black Sea Fleet.4 

Secondly, the region is an important transit corridor for goods and energy. Control over regional ports and sea lanes would give Russia the power to choke trade and energy routes and blackmail states into compliance. Moscow could also utilize its power and influence in the Black Sea to challenge and disrupt energy supplies via pipeline from the Caspian Basin to Europe. Such a move would weaken prospects for future energy deliveries from states like Azerbaijan and Turkmenistan, and more importantly, undermine the European Union’s efforts to seek energy diversity outside Russia’s orbit.5 

A map of the Black Sea (Wikimedia Commons)

Thirdly, the Black Sea region can be considered as NATO’s ‘soft underbelly’ or the vulnerable spot in its eastern flank. The region is rich in cultural and ethnic diversity, and due to geographical proximity, share close historical ties with Russia.6 Historical grievances and ethnic tensions could be harnessed by Moscow as a means to interfere in its neighbors’ affairs and pressure regional governments into aligning itself with Russia. By ‘turning’ regional NATO members, Moscow could severely weaken the Alliance’s internal cohesion and undermine its credibility.7

Russia And The Littoral States

Despite the strategic importance of the Black Sea, Russia had initially lacked the political, economic, and military power to effectively assert itself over the region. This began to change in the early 2000s after major shifts in the regional political environment.8 In Georgia (2003-2004 Rose Revolution) and Ukraine (2004-2005 Orange Revolution), leaders who had been more susceptible to Russian influence were ousted and replaced with pro-Western governments.9 At around this time in 2004, Bulgaria and Romania successfully gained NATO membership – a move that Russia found itself unable to prevent. Of the six Black Sea littoral states, three – Romania, Bulgaria and Turkey – were now members of NATO, and the other two –Ukraine and Georgia – were working in close partnership with the Alliance.10 Alarmed by this turn of events, Russia sought to halt NATO’s expansion in the Black Sea by ensuring that Ukraine and Georgia would never ascend into its ranks. At the same time, it pursued policies to strengthen its own influence amongst the remaining states and weaken their relationship with NATO.11  

The invasion of Georgia in August 2008 demonstrated Russia’s determination to contain NATO in the Black Sea. At the Bucharest Summit earlier that year, the Alliance had been seriously considering Georgia’s application for membership, which greatly concerned the Kremlin.12 Thus, when Georgia sought to reclaim its two separatist regions of Abkhazia and South Ossetia that summer, Russia saw its opportunity. Its military moved swiftly to support the separatists and pushed back the Georgian forces. After its victory, Moscow agreed to a ceasefire. The invasion had prevented Georgia’s reincorporation, thereby keeping it in a weakened and divided state.13 More importantly, Russia kept a sizable military presence in Abkhazia and South Ossetia, constituting a constant threat to Georgia’s stability and territorial integrity, effectively halting its progress towards NATO membership.14

Russia’s policy toward Ukraine has been similarly aggressive. In 2006 and 2009, Russia used its energy exports as an instrument of intimidation and influence, temporarily ceasing the supply of natural gas to Europe through Ukraine and increasing its energy prices.15 Bilateral relations improved when the pro-Russian leader Viktor Yanukovych became Ukraine’s president in 2010. This however, would not last. In February 2014, facing mass demonstrations calling for his removal, Viktor Yanukovych fled the country. The new government was vehemently anti-Russian and had clear preference for Western institutions like NATO and the EU.16 While this was disturbing news by itself, what really concerned Moscow was the status of its naval base at Sevastopol in Crimea. Officially owned by the Ukraine, the base was on lease to the Russians and home to its Black Sea Fleet. Sevastopol was of great strategic importance, being Russia’s only warm water naval base and an important hub to project its naval power abroad.17 Hence, in order to ensure unrestricted access to Sevastopol, Russia moved in its forces and annexed Crimea in March 2014.18 Concurrently, it supplied arms and support to pro-Russian separatists in eastern Ukraine allowing them to escalate their war against the new government in Kiev.19 In pushing the country toward civil war, Russia had sufficiently destabilized Ukraine and prevented it from becoming a Western stronghold on its own doorstep.

 Compared to Georgia and Ukraine, Russia’s policy towards the other littoral states has been relatively restrained. Given their status as NATO members, Moscow has been careful not to test the limits of the Alliance’s security guarantees. Instead, it has resorted to other means to exert its influence. In Turkey’s case, Russia has exploited the Erdogan government’s drift towards authoritarianism.20 Unlike most of the West which has criticized the Erdogan government for its alleged human rights abuses, the Russian leadership has remained supportive, which has earned praise and gratitude from Erdogan himself.21 Besides trying to decouple Turkey’s links to NATO, maintaining cordial relations with Ankara carries another strategic purpose for Moscow. Turkey controls the Bosphorus and Dardanelles Straits – the vital passage between the Black Sea and the Mediterranean. Should Ankara one day decide to close the straits, it could bottle up the Black Sea Fleet and severely limit Russia’s ability to project power further abroad.22

In the case of Bulgaria and Romania, Moscow has sought to subvert and weaken anti-Russian opposition within their governments. To that end, it has been alleged that the Kremlin has forged powerful ties to local business interests and provides support for pro-Russian political leaders and parties within both countries.23 This approach has been broadly successful in Bulgaria, as reflected in the growing support within the local political sphere to end the EU sanctions against Russia.24 Romania however, presents a bigger challenge. Although it has pursued dialogue with Russia, it has also pushed for greater NATO presence in the region. It has taken on a leadership role in the Bucharest Format – a multilateral grouping of nine NATO members created to follow up on NATO commitments.25  The country also currently hosts elements of the U.S. anti-missile shield, which has led the Kremlin to declare it “a clear threat.”26

Strengthening the Military in the Black Sea

The second effort undertaken by Russia has been to build up its military capabilities in the Black Sea. To that end, the Kremlin has embarked on a long-term rearmament program designed to establish an anti-access/area-denial (A2/AD) zone or ‘bubble’ over the region.27 The concept focuses on deploying capabilities that firstly, prevent forces from entering an area i.e. anti-access; and secondly, limits an opponent’s freedom of action and maneuver within the operational area, i.e. area-denial.28 Within an operational A2/AD bubble, long-range assets could be deployed to strike ground targets, interdict maritime traffic, and impose no-fly zones.29 During a conflict, such a strategy greatly increases the risk of causalities for any hostile force entering the A2/AD bubble. NATO decision-making could be undermined by the raised costs of reinforcing allies in the region, hampering their ability to exert collective defense and weakening the credibility of their deterrence.30  Moreover, NATO’s inaction would greatly enhance Russia’s prestige, demonstrating its ability to challenge the West.    

Within the Black Sea, Crimea will be the main platform for conducting A2/AD operations. Advanced defense systems have been deployed to the peninsula, such as the anti-ship Bastion-P missile system equipped with the P-800 Oniks cruise missiles, along with the anti-aircraft S-300v4 and S-400 Triumf missile systems.31 Upgrade program are underway to refurbish Soviet-era bunkers, reanimate early warning radar systems, and install high-tech electronic warfare equipment.32 Along with Russia’s other missile systems in Armenia, Krasnodar, and Latakia, its A2/AD capabilities extend over major parts of the region – covering much of the Black Sea, and parts of Georgia, Turkey, and Ukraine.

The K-300P Bastion-P (NATO reporting name SSC-5) mobile coastal defense missile systems successfully hit a surface target in the Black Sea during a drill in September 2014. (RT)

The Black Sea Fleet is also undergoing a major modernization program. Moscow plans to spend $2.4 billion by 2020 to outfit the fleet with next-generation warships, submarines, and air-defense systems. Up to eighteen new units are being commissioned and many will be equipped with the versatile Kalibr-NK missile system.33 They will be joined by new air assets such as the Su-30M naval aviation fighter and other ground/air attack fighters and helicopters. These capabilities are meant to transform the Black Sea Fleet into a force capable of denying NATO access to the Black Sea and projecting power outward to threaten NATO interests in the Mediterranean and Middle East.34

Russia’s A2/AD capabilities will also be strengthened by the deployment of the Tupolev Tu-22M3 to the region. The long-range bomber can carry Kh-15 or Kh-22 missiles designed to destroy air defense systems.35 The bomber force will be protected by Russian fighters like the Sukhoi Su-24 which can secured a vast majority of the Black Sea airspace and greatly expand Russia’s strategic aviation patrol routes in the region.36 In deploying these different capabilities together, Russia would be able to form a multi-layered, interconnecting defense network that can threaten or interdict any force within the A2/AD bubble.

Enduring Challenges

Despite the aggressive measures taken by Russia, its dominance over the Black Sea continues to face enduring challenges. Turkey for instance, controls Russia’s access between the Black Sea and the Mediterranean, but its full cooperation cannot always be taken as a guarantee. Fundamental disagreements exist over the conflict in Syria, with Russia supporting the Assad regime and Turkey opposing it.37 The rise in tensions after the downing of a Russian fighter jet by the Turkish Air Force in November 2015 similarly demonstrates the precariousness of their relationship.38 In the event of a crisis, Moscow’s priority must be to ensure that Turkey at the very least remains neutral, allowing Russia to continue resupplying its forces in the Mediterranean. Should the passage be closed by an openly hostile Turkey, Russia would find its forces in the Mediterranean in great danger. With the second most powerful military force in the region, Turkey possesses the offensive capabilities to threaten Russia’s isolated forces.39 A defeat would deal a major blow to Russia’s prestige and status as a military power. Moscow therefore, must continue to engage Ankara, strengthening bilateral ties while seeking ways to find some compromise over their differences.

Istanbul and the Bosphorus Strait (Photo from International Space Station April 16, 2004)

Romania presents another troublesome neighbor for Russia. Although its military capabilities are no match for the larger power, its eagerness to encourage NATO presence in the Black Sea is in direct contradiction to Moscow’s long-term objectives. Both states share a number of unresolved disputes, such as over the theft of Romanian treasures during WWII and over Russia’s refusal to denounce the Molotov-Ribbentrop Pact.40 This may have in part, contributed to the Romanian leadership’s pursuit of Alliance membership and general distrust of Russian intentions. To neutralize Romania, Russia may promote pan-nationalist ideas such as the ‘Greater Romania’ concept. This would encourage regional disputes between Romania and its neighbors Ukraine and Moldova. Russia could also fan the flames by orchestrating demonstrations, infiltrating saboteurs, and supporting separatist activities.41 Russia could also hinder Romania’s exploration of natural resources in the Black Sea either through harassment or through legal means by claiming the territorial waters around recently annexed Crimea.42 These measures could intimidate Romania into aligning itself closer with Russia or at least distract it from seeking closer ties with NATO.

Russia’s pursuit of an A2/AD bubble in the Black Sea is also fraught with challenges. The massive rearmament programs come with a substantial price tag. Russia’s state revenues, however, have been severely depleted by the collapse of global oil prices and ongoing economic sanctions.43 In addition, Russia’s shipbuilding industry now faces a shortage of ship engines after Ukraine stopped sales over the annexation of Crimea.44  These issues throw into question how much of Russia’s modernization plans will actually be realized. The A2/AD strategy had been seen as a cost-effective measure to counter NATO’s overwhelming sea power. If Russia fails to achieve the full potential of its plans, it may seriously undermine the effectiveness and deterrence value of the A2/AD bubble. 

Conclusion

As this paper has described, Russia has pursued highly aggressive policies in order to secure its dominance over the Black Sea region. What Moscow must bear in mind however, is that control over the region is not an end in itself, but the means to achieve a greater objective – to keep out NATO interference. In this regard, Russia’s measures have somewhat backfired. Concerned over Russia’s rising belligerence, NATO at the recent Warsaw Summit pledged to increase Allied military presence in the region. Besides strengthening Allied capabilities in the air, land, and sea, there will be increased allied visits to Romanian and Bulgarian ports, and enhanced inter-Alliance training and exercises.45 While it can be argued that these are merely symbolic measures, they could signal the beginning of a gradual NATO build-up around the Black Sea. Perhaps Russia’s greatest challenge now is to find a way dominate the region without causing anxiety amongst the littoral states, as that in turn, may trigger an increased NATO presence. After all, it would be a supreme irony if Russia’s efforts to shut out NATO instead became the contributing factor for a growing Allied presence.

Byron Chong has a Masters in Strategic Studies from the S. Rajaratnam School of International Studies. A passion for history and international politics drew him to this field after his first degree in engineering. His research interests include security issues in Europe and the Asia Pacific.

Bibliography

Altman, J. “Russian A2/AD in the Eastern Mediterranean,” Naval War College Review 69, No. 1  (2016): pp. 72-84.

BBC News. “Russia security paper designates Nato as threat,” 31 December 2015. Accessed March 15, 2017, from: http://www.bbc.com/news/world-europe-35208636

Bechev, D. “Russia’s Influence in Bulgaria,” New Direction – The Foundation For European Reform, May 12, 2015. Accessed March 17, 2017, from: http://europeanreform.org/files/ND-report-RussiasInfluenceInBulgaria-preview-lo-res_FV.pdf

Bugajski, J., and Peter B. Doran, “Black Sea Rising: Russia’s Strategy in Southeast Europe,” Centre for European Analysis – Black Sea Strategic Report No.1 (2016): 1-16

Burton, L. “Bubble Trouble: Russia’s A2/AD Capabilities,” Foreign Policy Association, October 25, 2016. Accessed, March 17, 2017, from: http://foreignpolicyblogs.com/2016/10/25/bubble-trouble-russia-a2-ad/

Carey, H.F., Romania Since 1989: Politics, Economics, and Society. Maryland: Lexington Books, 2004.

Caryl, C. “New Model Dictator: Why Vladimir Putin Is the Leader Other Autocrats Wish They Could Be,” Foreign Policy, February 13, 2015. Accessed March 16, 2017, from: http://foreignpolicy.com/2015/02/13/new-model-dictator-putin-sisi-erdogan/

Chuma, J. “The Mediterranean: Driving Russia’s Strategic Decisions since 1676,” Center for International Maritime Security, December 15, 2016. Accessed March 15, 2017, from: https://cimsec.org/mediterranean-driving-russias-strategic-decisions-since-1676/30070

Dombey, D. “Turkey’s Erdogan Lurches toward Authoritarianism,” Financial Times, May 6, 2014. Accessed March 15, 2017, from: https://www.ft.com/content/e89e8d74-cfc1-11e3-a2b7-00144feabdc0

Kurtdarcan, B., and Barın Kayaoğlu, “Russia, Turkey and the Black Sea A2/AD Arms Race,” National Interest, March 5, 2017. Accessed March 17, 2017, from: http://nationalinterest.org/feature/russia-turkey-the-black-sea-a2-ad-arms-race-19673

Laguerre, C. “Russia’s Self-Inflicted Security Dilemma,” Center for International Maritime Security, December 12, 2016. Accessed March 15, 2017, from: https://cimsec.org/russias-self-inflicted-security-dilemma/29977

Lasconjarias, G., and Alessandro Marrone, “How To Respond to Anti-Access/Area-Denial (A2/AD)? Towards a NATO Counter A2/AD Strategy,” NDC Conference Report No. 01/16, February 2016. Accessed March 17, 2017, from: http://www.ndc.nato.int/download/downloads.php?icode=480 

Mearsheimer, J. “Why the Ukraine Crisis is the West’s Fault,” Foreign Affairs, September/October 2014. Accessed March 15, 2017, from: https://www.foreignaffairs.com/articles/russia-fsu/2014-08-18/why-ukraine-crisis-west-s-fault

Micallef, S. “The Ambitions and Challenges of Russia’s Naval Modernization Program,” Center for International Maritime Security, December 13, 2016. Accessed March 17, 2017, from: https://cimsec.org/ambitions-challenges-russias-naval-modernization-program/30008

Miller, C. “Why the Black Sea?” Foreign Policy Research Institute, January 23, 2017. Accessed March 17, 2017, from: http://www.fpri.org/article/2017/01/why-the-black-sea/

Motyl, A. J. “Kiev Should Give Up on the Donbass,” Foreign Policy, February 2, 2017. Accessed March 15, 2017, from: http://foreignpolicy.com/2017/02/02/ukraine-will-lose-its-war-by-winning-it/

Okov, S. “Ending Russia Sanctions Among Goals for Bulgarian Kingmaker,” Bloomberg, March 14, 2017, accessed March 17, 2017, from: https://www.bloomberg.com/news/articles/2017-03-14/ending-eu-s-russia-sanctions-among-goals-for-bulgarian-kingmaker

Oliker, O. “Unpacking Russia’s New National Security Strategy,” Center for Strategic and International Studies, January 7, 2017. Accessed March 18, 2017, from: https://www.csis.org/analysis/unpacking-russias-new-national-security-strategy

Osborne, S. “Russia calls Romania a ‘clear threat’ and Nato outpost for hosting US missile shield,” Independent, February 9, 2017. Accessed March 17, 2017, from: http://www.independent.co.uk/news/world/europe/russia-romania-clear-threat-nato-outpost-us-anti-missile-shield-putin-tensions-a7571031.html

Toucas, B. “The Geostrategic Importance of the Black Sea Region: A Brief History,” Center for Strategic & International Studies, February 2, 2017. Accessed March 15, 2017, from: https://www.csis.org/analysis/geostrategic-importance-black-sea-region-brief-history

Toucas, B. ” NATO and Russia in the Black Sea: A New Confrontation?” Center for Strategic & International Studies, March 6, 2017. Accessed March 15, 2017, from: https://www.csis.org/analysis/nato-and-russia-black-sea-new-confrontation

Endnotes

1. BBC News, “Russia security paper designates Nato as threat,” 31 December 2015, accessed March 15, 2017, http://www.bbc.com/news/world-europe-35208636

2. Olga Oliker, “Unpacking Russia’s New National Security Strategy,” Center for Strategic and International Studies, January 7, 2017, accessed March 18, 2017, https://www.csis.org/analysis/unpacking-russias-new-national-security-strategy

3. Janusz Bugajski and Peter B. Doran, “Black Sea Rising: Russia’s Strategy in Southeast Europe,” Centre for European Analysis – Black Sea Strategic Report No.1 (2016): 2.

4. ibid., 3.

5. ibid., 2, 3.

6. Chris Miller, “Why the Black Sea?” Foreign Policy Research Institute, January 23, 2017, accessed March 17, 2017, http://www.fpri.org/article/2017/01/why-the-black-sea/

7. Bugajski and Doran, “Black Sea Rising,” 3.

8. Corentin Laguerre, “Russia’s Self-Inflicted Security Dilemma,” Center for International Maritime Security, December 12, 2016, accessed March 15, 2017, https://cimsec.org/russias-self-inflicted-security-dilemma/29977

9. Boris Toucas, “The Geostrategic Importance of the Black Sea Region: A Brief History,” Center for Strategic & International Studies, February 2, 2017, accessed March 15, 2017, https://www.csis.org/analysis/geostrategic-importance-black-sea-region-brief-history

10. ibid.

11. Bugajski and Doran, “Black Sea Rising,” 5.

12. John J. Mearsheimer, “Why the Ukraine Crisis is the West’s Fault,” Foreign Affairs, September/October 2014, accessed March 15, 2017, https://www.foreignaffairs.com/articles/russia-fsu/2014-08-18/why-ukraine-crisis-west-s-fault

13. ibid.

14. Bugajski and Doran, “Black Sea Rising,” 5.

15. Toucas, “The Geostrategic Importance of the Black Sea Region.”

16. Mearsheimer, “Why the Ukraine Crisis is the West’s Fault.”

17. Jason Chuma, “The Mediterranean: Driving Russia’s Strategic Decisions since 1676,” Center for International Maritime Security, December 15, 2016, accessed March 15, 2017, https://cimsec.org/mediterranean-driving-russias-strategic-decisions-since-1676/30070

18. ibid.

19. Alexander J. Motyl, “Kiev Should Give Up on the Donbass,” Foreign Policy, February 2, 2017, accessed March 15, 2017, http://foreignpolicy.com/2017/02/02/ukraine-will-lose-its-war-by-winning-it/

20. Daniel Dombey, “Turkey’s Erdogan Lurches toward Authoritarianism,” Financial Times, May 6, 2014, accessed March 15, 2017, https://www.ft.com/content/e89e8d74-cfc1-11e3-a2b7-00144feabdc0

21. Christian Caryl, “New Model Dictator: Why Vladimir Putin Is the Leader Other Autocrats Wish They Could Be,” Foreign Policy, February 13, 2015, accessed March 16, 2017, http://foreignpolicy.com/2015/02/13/new-model-dictator-putin-sisi-erdogan/

22. Jonathan Altman, “Russian A2/AD in the Eastern Mediterranean,” Naval War College Review 69, no. 1 (2016): 74.

23. Dimitar Bechev, “Russia’s Influence in Bulgaria,” New Direction – The Foundation For European Reform, May 12, 2015, accessed March 17, 2017, http://europeanreform.org/files/ND-report-RussiasInfluenceInBulgaria-preview-lo-res_FV.pdf

24. Slav Okov, “Ending Russia Sanctions Among Goals for Bulgarian Kingmaker,” Bloomberg, March 14, 2017, accessed March 17, 2017, https://www.bloomberg.com/news/articles/2017-03-14/ending-eu-s-russia-sanctions-among-goals-for-bulgarian-kingmaker

25. Toucas, “The Geostrategic Importance of the Black Sea Region.”

26. Samuel Osborne, “Russia calls Romania a ‘clear threat’ and Nato outpost for hosting US missile shield,” Independent, February 9, 2017, accessed March 17, 2017, http://www.independent.co.uk/news/world/europe/russia-romania-clear-threat-nato-outpost-us-anti-missile-shield-putin-tensions-a7571031.html

27. Bugajski and Doran, “Black Sea Rising,” 10.

28. Guillaume Lasconjarias and Alessandro Marrone, “How To Respond to Anti-Access/Area-Denial (A2/AD)? Towards a NATO Counter A2/AD Strategy,” NDC Conference Report No. 01/16, February 2016, accessed March 17, 2017, http://www.ndc.nato.int/download/downloads.php?icode=480

29. Bugajski and Doran, “Black Sea Rising,” 11.

30. ibid., 9,10.

31. Loic Burton, “Bubble Trouble: Russia’s A2/AD Capabilities,” Foreign Policy Association, October 25, 2016, accessed, March 17, 2017, http://foreignpolicyblogs.com/2016/10/25/bubble-trouble-russia-a2-ad/

32. Bleda Kurtdarcan and Barın Kayaoğlu, “Russia, Turkey and the Black Sea A2/AD Arms Race,” National Interest, March 5, 2017, accessed March 17, 2017, http://nationalinterest.org/feature/russia-turkey-the-black-sea-a2-ad-arms-race-19673

33. Bugajski and Doran, “Black Sea Rising,” 12.

34. ibid.

35. Burton, “Bubble Trouble.”

36. Bugajski and Doran, “Black Sea Rising,” 12.

37. Altman, “Russian A2/AD in the Eastern Mediterranean,” 79.

38. Toucas, “The Geostrategic Importance of the Black Sea Region.”

39. Altman, “Russian A2/AD in the Eastern Mediterranean,” 76.

40. Henry F. Carey, Romania Since 1989: Politics, Economics, and Society, (Maryland: Lexington Books, 2004), 21.

41. Bugajski and Doran, “Black Sea Rising,” 9.

42. ibid.

43. ibid., 10.

44. Steve Micallef, “The Ambitions and Challenges of Russia’s Naval Modernization Program,” Center for International Maritime Security, December 13, 2016, accessed March 17, 2017, https://cimsec.org/ambitions-challenges-russias-naval-modernization-program/30008

45. Boris Toucas, ” NATO and Russia in the Black Sea: A New Confrontation?” Center for Strategic & International Studies, March 6, 2017, accessed March 15, 2017, https://www.csis.org/analysis/nato-and-russia-black-sea-new-confrontation

Featured Image:Russia’s Black Sea fleet, in the Crimean port of Sevastopol (Stringer/Reuters)

The Asia Pacific and Europe’s Maritime Security Strategy

European Maritime Security Topic Week

By Dave Andre

In the aftermath of the July 2016 ruling by the United Nation’s Permanent Court of Arbitration that broadly found China’s demarcation claims in the South China Sea to be without legal merit, it became apparent that legal decisions alone would do little to influence the status quo. Considering The Hague’s ruling against the strategic backdrop of power politics in the Asia Pacific, the need for a global maritime presence became clear. This presence connotes a significant maritime challenge for the European Union (EU), which remains a peripheral actor in the maritime security of the Asia-Pacific as several major powers oversee the geopolitical reordering of this critical region. The importance of the region for European trade and business, global economic stability, and international maritime security necessitates that the EU maintain more than just an economic and diplomatic presence in the region. Adding a dedicated maritime presence to the region will involve a balancing act between the competing interests of individual EU members while advancing a comprehensive and unified stance—this goes beyond simple matters of naval capability and capacity. As such, it is important that the international maritime community not treat this presence as a fait accompli, merely awaiting an executable maritime framework.

As the European Council on Foreign Relations summed up in 2013 in reference to Asia, the EU “does not have an automatic seat at the table and therefore must work all the harder to secure its own self-interests.”1 Since then little has changed, as China has increasingly expanded its territorial footprint, the EU has executed an uneven approach to maritime security in the Asia-Pacific region. This ineffectual response leaves Europe open to maritime security threats from afar.

The European Union’s Maritime Domain: A Unique Challenge

Given Europe’s long maritime history it is no surprise that the legal principle for freedom of the seas originated with a European—a Dutch lawyer to be specific—by the name of Hugo Grotius, who in the early seventeenth century wrote, ”Navigation was free to all and no one country could lay claim to the seas on the basis that their navigators were the first to sail on it.”2 Today, that principle exists within the United Nations Convention Law of the Sea (UNCLOS), which details provisions for navigation, archipelagic status and transit regimes, EEZs, territorial waters, and settlement of disputes. Today, the European Union faces a dynamic maritime environment with challenges ranging from border security to renewable resources and combating piracy. Of the EUs 28 member states, 22 have a combined coastline that extends 65,993 km encompassing the Mediterranean Sea, the Baltic Sea, the Black Sea, and the Atlantic Ocean.3 The length and breadth of this dynamic maritime environment, when coupled with the competing priorities of member states and coordination with non-member states, makes the EU’s maritime security strategy a unique challenge amongst maritime powers.

The EU addresses this complexity in the European Union’s Maritime Security Strategy (EUMSS), which recognizes the importance of protecting maritime interests worldwide while simultaneously recognizing that success depends on the ability to collaborate across regional and national levels.4 However, since the 2014 adoption of EUMSS, the EU has struggled to balance the myriad regional maritime issues with international maritime issues, showing that a unified maritime strategy for the global maritime domain is still far off. The unfolding situation in the South China Sea is perhaps the best example of the fissures and shortfalls inherent with the EU’s maritime strategy. The EU has so far remained outside the fray, issuing a tepid statement after the UN tribunal ruling in favor of the Philippines in July 2016.5 While many see this strategy as a case of prioritizing domestic issues over international issues, the issue is far more complex. The ever-evolving transatlantic relationship between the United States and Europe, the economic influence of China on Europe via initiatives like the One-Belt-One Road framework, and the declining naval power of European navies, all factor into Europe’s support of the maritime order in the Asia-Pacific.

Europe and Asia: A Complex Relationship

As a region, the Asia-Pacific is as dynamic as they come. Militarily, disputed islands, paramilitary forces, and militarization characterize the operating environment. Politically, Chinese realpolitik clashes with liberalism, pitting international governance against the rise of a regional hegemon. Meanwhile, from an economic standpoint the region is home to three of the world’s biggest economies, while over $5 trillion in global trade passes through the seas each year. This geo-political environment, coupled with the complex maritime geography of straits, archipelagic waters, and overlapping maritime claims means that international law is critical to maintaining an orderly system.6 Within this complex milieu lays the maritime challenge—protecting the Sea Lines of Communication (SLOC) critical to global economic prosperity.

This region holds significant interest for the European Union, but exactly what those interests are differs from member to member. These differences present difficulties for the EU’s development of a unified and actionable strategy in the South China Sea and the Southeast Asia region. China is the EU’s second largest trading partner, as a region ASEAN is the EU’s third largest trading partner, and South Korea, Japan, and India all place within the top ten. Collectively, this trade amounts to almost a trillion euros annually. Furthermore, there are more than 10,000 European companies operating within the Southeast Asia region.

The economic considerations are not solely defined by Europe looking east of the Suez; they are also largely influenced by China’s Eurasian ambitions. China’s One-Belt-One-Road initiative promises significant investment in Europe, especially the struggling economies of the South and East. Likewise, investments by companies such as the state-owned China Ocean Shipping Company (COSCO), which is upgrading the port in Piraeus, Greece, illustrate that this economic influence extends past mere business ventures.7 While the One-Belt-One-Road initiative is unlikely to radically alter the geography of trade routes and investment in port upgrades will not alter Greece’s naval posture, these activities do have the potential of altering and influencing the economic interdependence of EU member states. This creates scenarios where Europe needs to tread lightly as they balance economic and diplomatic interests against security interests, while simultaneously recognizing that the preferred balance will be different depending on the individual country.

European Diplomatic Efforts in the Asia-Pacific Maritime Domain

The divisions are not limited to economics. Politically, the EU has struggled to speak with one voice regarding issues within the Asia-Pacific. The EU’s presence in the Asia-Pacific is a complex web of arrangements, policies, dialogues, and statements that seek to balance the competing interests of individual members while advancing a comprehensive and unified stance. Starting in 2007, there have been a number of policy developments pertaining to the EU’s development of a comprehensive maritime strategy. In 2007, the adoption of the Blue Book, an Integrated Maritime Policy laid the groundwork for operational cooperation among member states. While not specifically addressing security concerns, the focus on trade and fisheries provided a template for future maritime security initiatives.A series of initiatives followed—Marine Strategy Framework Directive (2008) and the Limassol Declaration (2012)—that recognized the significance of dialogue and cooperation within the regional and international maritime realm as well as the importance of the legal framework laid out by UNCLOS. These policy trends expanded and in 2012, the EU’s Foreign and Security Policy in East Asia proffered guidelines for resolving disputes within the framework of UNCLOS and stresses the importance of freedom of navigation.9 The policy also notes the economic interdependence between the EU and East Asia, the potentially negative impact of competitive nationalism represented by the South China Sea issues, and the complexity of trans-Atlantic relations with the United States and extra-regional partners like Russia, Australia, New Zealand, and India.10 Furthermore, the Treaty of Amity and Cooperation in Southeast Asia (TAC), which the EU signed in July 2012, provides the framework for peaceful interactions in the region. Taken together these policies clearly articulate that EU interests are closely tied to those of the Asia-Pacific and the international maritime legal framework.

May 31, 2015 – 14th Asia Security Summit, Singapore– High Representative of the Union for Foreign Affairs and Security Policy and Vice-President of the European Commission Federica Mogherini gives a speech at the Shangri-La Dialogue. ( Frédérick Moulin 2015 – EU2015 – EEAS)

Beyond policies, the EU maintains a public dialogue—albeit uneven—that further emphasizes and recognizes the importance of the Asia-Pacific and an international maritime framework. It was at the 2013 Shangri-La dialogue in Singapore that the EU was represented as a whole for the first time by High Representative Catherine Ashton. During the dialogues, she referred to the EU’s long-term security plans and comprehensive approach in Asia. Missing from the 2014 dialogues, the EU’s message was one that prioritized concerns in Ukraine, the Middle East, and North Africa over those in far off Asia. While this prioritization of time and resources is notable, even wise, it did little to assuage Asian nations that may be looking to the EU as a model of multilateralism and an alternative to the United States. A notably different tone was struck in the 2015 dialogues, as EU High Representative Federica Mogherini discussed the EU’s, “strong interest in global security.”11 Representative Mogherini made specific mention of freedom of navigation, SLOCs, international law and the importance of promoting cooperation of confrontation and the need for “everyone to play by the same rules.”12

In addition to the Shangri-La dialogues, the EU, France, Germany, Italy, and U.K. signed the G-7 Foreign Ministers’ Declaration on Maritime Security which declares their commitment to “freedoms of navigation and over flight” and to an “international maritime order based upon the principles of international law, in particular as reflected in UNCLOS.”13 At the 2016 G7 Summit in Japan, members reiterated concern “about the situation in the East and South China Seas” and emphasized “the fundamental importance of peaceful management and settlement of disputes.”14 Unsurprisingly, the 2016 Shangri-La dialogues a month later discussed “China’s continued land reclamation and military build-up in the strategic maritime area” at length.i Within this context, the French Defense Minister made clear that joint EU patrols were forthcoming.15 However, a month later, the UN tribunal ruling in favor of the Philippines saw the EU struggle to issue a joint statement. And to say the resulting statement was benign is an understatement; among other things it failed to make any mention of sovereignty. Since then, the EU has been notably silent regarding the South China Sea despite growing evidence of China’s continued militarization of a number of islands.

European Presence in the Asia Pacific

Despite the attempts at providing a unified response under a common defense policy, the most active aspects of Europe’s involvement in the Asia Pacific come in bilateral terms. France has made numerous overtures toward supporting FONOPs in the South China Sea. The UK’s Royal Navy has perhaps the largest and most codified presence in the Asia-Pacific, though it is a shadow of the presence that it was until the waning years of the last century. The Five Power Defense Arrangement, the most notable European-Asian arrangement, is a multilateral agreement between the Commonwealth counties of U.K., Australia, New Zealand, Singapore and Malaysia whereby all powers will consult one another in the event of an attack (actual or threatened) against Malaysia or Singapore. This consultation brings no promise of military action or support, but nonetheless is pertinent for its formal acknowledgement of European-Asian mutual interests. Furthermore, four European countries—Denmark, the Netherlands, Norway, and the U.K.—are members of the Regional Cooperation Agreement on Combating Piracy and Armed Robbery against Ships in Asia (ReCAAP).16 ReCAAP, a multilateral counter-piracy operation that stretches from the Gulf of Aden to the East China Sea illustrates the naval capability of some European powers.17 Additionally, in 2016 Denmark, France, Germany, Italy, Netherlands, Norway, and the U.K. participated in the Rim of the Pacific (RIMPAC) maritime warfare exercise, signaling their support for Asian maritime security.18 Additionally, there are multilateral examples of EU maritime involvement: the Indian Ocean earthquake and tsunami in 2004, the Fukushima tsunami that occurred in 2010, and Typhoon Haiyan in the Philippines in 2014 all saw EU involvement.

In Conclusion: It’s Time to Grab a Seat at the Table

Despite policies, dialogues, and statements, the EU lacks a consistent presence in the region, which undermines their ability to influence political and economic events as they unfold. Alongside the 2016 UN tribunal ruling and discussions for a South China Sea Code of Conduct, the EU is losing its seat at the table as the maritime picture takes shape. If the EU expects to maintain influence in the Asia-Pacific it must accept that the geopolitical instability that defines the South China Sea and Asia-Pacific region requires a naval presence to manage risk, promote international order, and decrease the chances of armed conflict.

Setting aside EU institutional politics, there are a number of EU members who have navies capable of global power projection—France, Germany, Italy, the U.K., and Spain. While some members may need to operate in a coalition due to refueling limitations, the capability remains. Overall, the European picture reveals a maritime mindset more focused on the near than the far. This is shortsighted in terms of politics, economics, and military capabilities. Not least because any significant rebalance toward Asia without a corresponding increase in shipbuilding would require a considerable shift in resource allocation. Reversing the current decline in shipbuilding across Europe will take significant and immediate initiative. The EU should take advantage of their long-standing relationship with the U.S. concerning maritime security and their experience working alongside global partners to engender a workable maritime strategy in the South China Sea and the Asia Pacific. With the U.S. increasing its presence in the Europe, there is opportunity for Europe to reinvigorate the Transatlantic Partnership that has defined U.S.-European relations for decades.

Politically, no entity is better poised than the EU to understand the power dynamics and challenges that a regional organization faces when countering the influence of a rising—or in the case of Russia—resurgent hegemonic power. There are relevant lessons to be drawn from the territorial aggression that Russia exhibited in the annexation of the Ukraine. Most notably, that a nation that feels compelled to assume power in a region that they historically view as theirs will not be thwarted by politics alone. Reactionary policies are no substitute for proactive plans. The European Union’s hodgepodge of arrangements, policies, dialogues, and statements regarding the South China Sea, coupled with Chinese economic influence, declining naval power, and an inability to speak and act with one voice are eroding European influence at a time when a new regional order is taking shape in the Asia-Pacific region. To counter this erosion of influence the EU needs a strategy that moves past mere statements that support international norms and the rules laid out in UNCLOS and establish a maritime presence that protects SLOCs throughout the Asia-Pacific.

LT David M. Andre is a former Intelligence Specialist, and has served as an Intelligence Officer and Liaison Officer assigned to AFRICOM. He is currently serving as N2 for COMDESRON SEVEN in Singapore. He can be reached at dma.usn@gmail.com.

The views expressed above are the authors’ alone and do not reflect the official views and are not endorsed by the United States Navy, the Department of the Navy, the Department of Defense, or any other body of the United States Government.

References

1. “What is Europe’s role in Asia-Pacific?” European Council on Foreign Relations, http://www.ecfr.eu/article/commentary_what_is_europes_role_in_asia_pacific

2. Bruce Farthing, Farthing on International Shipping, Business of Shipping Series, LLP, London Hong Kong, 1997, p. 7.

3. In comparison, the United States has 19,924 km of coastline, while Russia has 37,653 km.

4. European Commission, “European Union Maritime Security Strategy: Responding Together to Global Challenges,” https://ec.europa.eu/maritimeaffairs/policy/maritime-security_en

5. “Declaration by the High Representative on behalf of the EU on the Award rendered in the Arbitration between the Republic of the Philippines and the People’s Republic of China,” European Council, http://www.consilium.europa.eu/en/press/press-releases/2016/07/15-south-china-sea-arbitration/

6. S. Rajaratnam School of International Studies Policy paper. Good Order at Sea. https://www.rsis.edu.sg/wp-content/uploads/2014/07/PR090427_Good_Order_at_Sea_in_SEA.pdf

7. Netherlands Institute of International Relations Clingendael Policy Paper. China’s Maritime Silk Roadhttps://www.clingendael.nl/sites/default/files/China_Maritime_Silk_Road.pdf.

8. Internaitonal Maritime Security Law by James Kraska, Raul Pedrozo, p. 62.

9. EU-Asia Centre, “South China Sea: Background Note,” http://www.eu-asiacentre.eu/documents/uploads/pub_112_south_china_sea_background_note.pdf.

10. “Guidelines on the EU’S Foreign and Security Policy in East Asia”, Council of European Unionhttp://eeas.europa.eu/archives/docs/asia/docs/guidelines_eu_foreign_sec_pol_east_asia_en.pdf

11. Speech by High Representative/Vice-President Federica Mogherini at the IISS Shangri-La Dialogue 2015 https://eeas.europa.eu/headquarters/headquarters-homepage/6254_en

12. Ibid.

13. G7 Foreign Ministers’ Declaration on Maritime Security in Lübeck, 15 April 2015, Federal Foreign Office, http://www.auswaertiges-amt.de/EN/Infoservice/Presse/Meldungen/2015/150415_G7_Maritime_Security.html?nn=479796.

14. Whitehouse, “G7 Ise-Shima Leaders’ Declaration,” https://obamawhitehouse.archives.gov/the-press-office/2016/05/27/g7-ise-shima-leaders-declaration.

15. Kelvin Wong: Reflections on the 2016 Shangri-La Dialogue, https://www.iiss.org/en/shangri-la%20voices/blogsections/2016-588c/kelvin-wong—reflections-on-the-2016-shangri-la-dialogue-2789.

16. Regional Cooperation Agreement on Combating Piracy and Armed Robbery against Ships in Asia (ReCAAP), http://www.recaap.org/AboutReCAAPISC.aspx.

17. “Bridging Asia and Europe Through Maritime Connectivity China’s Maritime Silk Road and Indonesia’s Maritime Axis” European Institute for Asian Studies. March 2015. http://www.eias.org/wp-content/uploads/2016/02/Bridging_Asia_Europe_2015.pdf

Featured Image: Members of the welcoming ceremony band play as British Royal Navy destroyer HMS Daring arrives at a port area of Huangpu River in Shanghai December 10, 2013. (Photo by Yang Yi/Asianewsphoto)

A Brief History of the Austro-Hungarian Navy

By Jason Lancaster

Most people would not think of modern land-locked, mountainous Austria as a maritime power, and many of those that have heard of the Austrian Navy wonder why the Nazis wanted an Austrian U-boat captain in the Sound of Music. From 1797 until 1918, the Kaiserlich und Königlich (K.u.K.) Austro-Hungarian Navy fought naval battles against the Danes, French, Italians, and British on European seas, and deployed as far as the South China Sea.

Geographically, Austria was a land power, with little maritime trade and many continental enemies. Following Napoleon’s victories in Italy, the Austrian Empire and France signed the Treaty of Campoformio in 1797. France received Belgium, Lombardy, and territory along the Rhine, while Austria received the Venetian Republic and their navy, a solid base to create a deterrent force.

However, caught in the maelstrom of the Napoleonic Wars, Austria did not have the finances to both fight Napoleon and build a powerful navy. Thus the navy played a minor role in the Napoleonic Wars, and in those early days Austria had little idea of naval strategy. The Austrian Navy’s fortunes ebbed and flowed as Napoleon’s forces marched too and fro across the European continent.

Following Napoleon’s abdication in 1814, Austria inherited the former fleet of the Napoleonic Kingdom of Italy, comprised of several newly built ships of the line and frigates, as well as the officers and crews of the vessels.1 It took Austria a long time to learn the advantages of sea power, and by the time she did, she had already lost Venice and its attendant dockyards to the newly unified Italy.

Austria’s ignorance of sea power’s benefits prevented her from expanding foreign trade, and caused her great diplomatic embarrassment during the early 19th century. In 1817, Austria sent a merchant ship to Canton, China, flying the new red and white ensign (the present Austrian National flag). However, the ship was refused entrance because the flag was not recognized by the Chinese.

“Distribution of Races in Austria-Hungary” from the Historical Atlas by William R. Shepherd, 1911

During the Franco-Austrian War of 1859, the French fleet sailed into the Adriatic and dominated the sea. The Austrian fleet withdrew into their fortified harbors. The Adriatic Sea should have been an Austrian lake, but she lacked the strength to defend it in the face of the larger and more powerful French Navy. A notable incident from this humiliating affair was the return of the Austrian frigate Novarra, from a research-motivated circumnavigation of the globe. Napoleon III declared her a neutral vessel, “Because she was carrying the scientific treasures of value to the whole world.”2

In 1860, the Sardinian Prime Minister, Prince Cavour, sent the Sardinian fleet to blockade Ancona and support Garibaldi’s attacks on the Italian Marches. This caused a terrible fright along the Dalmatian coast, because of irredentist Italian claims to the region. The fears only ceased when Britain declared she would not recognize Italian claims to Dalmatia and Istria.3  This humiliation, in conjunction with Italian naval construction, drove the Austrians to rebuild their navy.

In 1854, a railroad from Vienna to Trieste was completed, which spurred regional commercial activity and rejuvenated foreign trade. Maritime activity fueled the creation of jobs and economic well-being, while naval construction spurred the economies of Istria and Trieste and gave rise to popularity in the Parliament. Advances in technology had rendered the previous generation of Nelsonian ships of the line obsolete; steam, armor, and the screw propeller, among other technologies, gave smaller ships a fighting chance against great ships of the line and allowed lesser powers to catch up and rapidly achieve a sort of parity with great naval powers.

Even without an indigenous shipbuilding industry, Italy had become the third largest naval power in the world. All of her ships came from British and American yards.4 Ferdinand Max, brother of Franz Josef, and Commander in Chief of the Austrian Navy, argued for increased construction and capabilities because, “a well-ordered propeller squadron only a few hours from Corfu or the Italian coast would make Austria a more attractive ally to Britain or France.”  Throughout this period, Ferdinand Max fought for every florin possible in the budget for construction of a capable, modern Austrian Navy. At the end of 1860, he ordered two screw-propeller frigates constructed at Trieste. 5

Archduke Ferdinand’s new navy fought the last fleet action with wooden ships in the Second Schleswig War against Denmark in 1864. Simply getting to the North Sea was a victory in itself. Captain Wilhelm von Tegetthoff sailed his squadron for Lisbon, Brest, and the Downs. The British were not fond of having foreign navies so close to home, and they looked unfavorably on the Austro-German attack on Denmark. “British public opinion was aroused to the point that talk of war with Austria was common. The British Channel Fleet was ordered to the Downs, and a training squadron recalled from Portugal.”6 When Lord John Russell learned of the Austrian deployment, he threatened to send a British squadron to the Adriatic. The government in Vienna called his bluff, but the British attitude to the war would cause Habsburg headaches.

Tegetthoff’s squadron was supposed to break the Danish blockade of Hamburg. On May 4, 1864, Tegetthoff’s squadron encountered a superior Danish squadron off Helgoland. They fought until the Schwarzenburg, Tegetthoff’s flagship, was on fire and compelled to withdraw. Once the flames were extinguished, Tegetthoff returned to find the Danish (who had also suffered heavy damage) gone. Although, tactically a draw, the Danish did not renew their blockade of Hamburg, allowing Austria to claim victory. After the war with Denmark ended, Austrian Foreign Minister Mennsdorf-Pouilly signed an agreement with General von Roon which agreed to let the armaments factory Krupp sell naval artillery to the Austrians, although Prussia declined to purchase any Austrian built ships.7

Danish painer Christian Mølsted’s (1862-1930) imagination of the gunners of the frigate “Niels Juel” celebrating their success against the “Schwarzenberg” called “Ombord på frigatten “Niels Juel” under slaget ved Helgoland 9. maj 1864” (1898)

Despite agreements to purchase Prussian naval artillery, Austro-Prussian military cooperation was short lived; Austria’s next war would pit her against Italy and Prussia, her erstwhile ally. On July 3, 1866, Prussia utterly defeated the Austrians in the north at Königgrätz, but in the south Austria was victorious on land and sea.

One week earlier, the Austrian army had routed the Italian army at Custoza. At sea, the Austrian Navy defeated an Italian invasion fleet at the battle of Lissa on July 20, 1866. Lissa was the first major armored fleet action in history. A superior Italian fleet was beaten and forced to withdrawal from the Dalmatian coast. According to estimates by John Hale, in Famous Sea Fights, “taking into account the number and weight of rifled artillery on ironclads, the Austrians had 1,776 pounds of shell to the Italians 20,392 pounds.” The victory over the Italian fleet was telling; the Italians lost 612 officers and men, along with two ironclads, while the Austrians lost 38 officers and men, two of whom were captains. In his book The Imperial and Royal Austro-Hungarian Navy, Dr. Sokol argues that, “in their excitement, the Italians often failed to load their guns before firing them,” which might account for the slight number of casualties suffered by the Austrians.

Emperor Maximilian of Mexico, formerly Ferdinand Max, Commander in Chief of the Austrian Navy, sent his congratulations to now Admiral Tegetthoff. “The glorious victory which you have gained over a brave enemy, vastly superior in numbers and nurtured in grand old naval traditions, has filled my heart with unmixed joy. With the victory of Lissa your fleet becomes enrolled amongst those whose flag is the symbol of glory, and your name is added to the list of naval heroes of all time.”

Lissa was not only the first major ironclad fleet action, but the sinking of the Re D’Italia by Tegetthoff’s flagship the Erzherzog Ferdinand Max by ramming brought that weapon back into vogue among naval architects and tacticians. It was not until the Spanish-American War almost thirty years later, that the ram would again lose favor. Despite the Austro-Prussian-Italian War having the first ironclad fleet battle, there was a lack of naval warfare through most of the conflict. Theorists studied Lissa, but the rest of the naval war neglected commerce raiding and blockades. Dr. Sokol asserts that is because both navies “thought of naval warfare chiefly as guarding their own coasts.” 8

Admiral Tegetthoff threw a party aboard his flagship for his captains after the battle of Lissa and charged the expenses to the navy budget. Later, the Ministry of Finance “deducted a sum from his salary each month, until he had paid off the cost.” Heroes and celebrities the iron men might have been, but bureaucratic infighting was not going to be easier, simply because they had defeated the Italians in a war that was already lost.9

Over time, the Austrian government learned to wield their increasingly effective navy. By the time of the Great War, Austria managed to hold her own against a combined Franco-Italian fleet. Between August 1914 and February 1917, Austria sank three Italian battleships, two Italian cruisers and a French cruiser, at the cost of one cruiser, an exchange of 85,000 tons for 2,300.10

Austro-Hungarian dreadnought battleships (Tegetthoff class) at the roadstead in Pula, Croatia, which was then a part of the Austro-Hungarian Empire. (Wikimedia Commons)

While the bulk of the Mediterranean submarine patrols were performed by the German Navy (because their submarines were bigger and had more endurance), the Germans had loaned three of their larger submarines to the Austrian Navy.11 The Austrian submarine force was so effective in the Adriatic that the British Royal Navy was forced to support the rest of the Entente powers in their anti-submarine barrier patrols and mine fields across the mouth of the Adriatic Sea called the “Otranto Barrage.” Unlike the Royal Navy that had minimized their planning for submarines during war, Austria had integrated submarines into her naval war plans from the start; these submarines preyed on Entente shipping in the Adriatic and Mediterranean.

Austria was also a pioneer of naval aviation. Austria was the first nation to develop naval aviation in 1913. Early adoption of this capability allowed Austria to control the skies over the Adriatic for the bulk of the war. At the start of the war Austria had 22 seaplanes, and by the time Italy entered the war, Austria had 47 seaplanes. These planes were used for scouting enemy fleet movements as well as attacks on naval bases and vessels at sea.12

Despite the early success of the Austrian Navy, Austria and her allies ultimately lost that war. The Austro-Hungarian Empire was dismembered and new nations based on nationality arose. In Hungary, Admiral Horthy rose to prominent political office during the post-war years, becoming a right wing dictator who was later assassinated by the Nazis. After the fall of the empire, Austria retained the naval ensign as her own national flag, a subtle reminder of a glorious past. Today, the old red and white Austrian ensign flies over Schönbrunn and the Hofburg.

LT Jason Lancaster is a US. Navy Surface Warfare Officer.  He has a Masters degree in History from the University of Tulsa.  His views are his alone and do not represent the stance of any U.S. government department or agency.

References

1. Lawrence Sondhaus, pg 35.

2. Anthony Sokol, pg 27.

3. Sondhaus, 209.

4. Sokol, pg 28.

5. Sondhaus, pg 208-09.

6. Sokol, pg 31.

7. Sondhaus, pg 240-243.

8. Sokol, pg 49-53.

9. Sokol, pg 52.

10. Sokol, pg 128.

11. Koburger, pg 89.

12. Koburger, pg 18.

Bibliography

Bridge, F.R, The Hapsburg Monarchy Among the Great Powers, 1815-1918, St Martins Press, New York, 1990.

Bush, John W. Venetia Redeemed: Franco-Italian Relation 1864 1866, Syracuse University Press, Syracuse, NY, 1967.

Jenks, William Alexander, Francis Joseph and the Italians, 1849-1859, University Press of Virginia, Charlottesville, VA, 1978.

Rauchensteiner, Manfred, Heeresgeschichtliches Museum Vienna, Verlag Styria, 2000.

Koburger, Charles W. The Central Powers in the Adriatic, 1914-1918, War in a Narrow Sea,  Praeger Books, Westport, CT, 2001.

Smith, Dennis Mack, Victorio Emanuel, Cavour, and the Risorgimento, Oxford University Press, London, 1971.

Sokol, Anthony Eugene, The Imperial and Royal Austro-Hungarian Navy, United States Naval Institute Press, Annapolis, MD, 1968.

Sondhaus, Lawrence, The Hapsburg Empire and the Sea: Austrian Naval Policy, 1797-1866, Purdue University Press, West Lafayette, Indianna, 1989.

Wawro, Geoffrey, The Austro-Prussian War: Austria’s War with Prussia and Italy in 1866, Cambridge University Press, Cambridge, 1996.

Wawro, Geoffrey, Warfare and Society in Europe: 1792-1914, Routledge Press, New York, 2000.

Featured Image: Josef Carl Püttner; Seegefecht bei Helgoland 1864 (The Battle of Heligoland)