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Capability Analysis, Current Operations, Europe, History

Protraction: A 21st Century Flavor of Deterrence

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This interview originally appeared on the Small Wars Journal website and was republished with permission. You may find the interview in its original form here. 

Interview with Jim Thomas (CSBA) conducted by Octavian Manea

Jim Thomas is Vice President and Director of Studies at the Center for Strategic and Budgetary Assessments (CSBA). He served for thirteen years in a variety of policy, planning and resource analysis posts in the Department of Defense, culminating in his dual appointment as Deputy Assistant Secretary of Defense for Resources and Plans and Acting Deputy Assistant Secretary of Defense for Strategy. In these capacities, he was responsible for the development of defense strategy, conventional force planning, resource assessment, and the oversight of war plans. He spearheaded the 2005-2006 Quadrennial Defense Review (QDR), and was the principal author of the QDR report to Congress.

During the last sequences of the Cold War, the US and NATO emphasized new capabilities and new operational concepts – Assault Breaker, Air Land Battle, Follow-On Forces Attack. What role did these elements have in changing Soviet perceptions about the military balance, including restoring a credible deterrence on the NATO’s Central Front?

Four things stand out as contributing to allied success in influencing the military balance in the early 1980s.

The first and probably the most important was political: allied solidarity. The Alliance successfully deployed highly controversial systems like Pershing 2 to force the Soviet Union back to the negotiating table on intermediate nuclear forces. Showing the alliance solidarity surprised the Soviet leaders and made the situation more difficult for them. Soviet leaders had high hopes that peace movements in Western Europe would scuttle any such deal and they were dead wrong.

The second is financial: beginning in the last year of the Carter Administration and continuing into, and intensifying during the Reagan Administration, decisions were taken to increase military spending. The so-called Reagan rearmament began and continued throughout the 1980s as an effort to outspend the Warsaw Pact forces.

The third is the development of new operational concepts, the American Air Land Battle concept and NATO’s complementary Follow-On Forces Attack, which emphasized being able to hold at risk second echelon forces, to “look deep and shoot deep.”

And that leads to the fourth element: technology. A DARPA initiative called Assault Breaker that was designed to harness advanced technologies that would allow for the implementation of Air Land Battle. It was the R&D centerpiece of a new technological investment strategy and the second offset strategy launched by Harold Brown and Bill Perry during the Carter Administration focusing on three technological areas: precision warfare, low observable aircraft, and the ability to use micro-processors to create the datalinks between sensors, controllers and shooters. Assault Breaker helped to spur development of new airborne sensors, networking, stealthy strike aircraft, and precision guided munitions.

All these trends were observed in Moscow. In 1984, Marshal Ogarkov, the chief of the Soviet General Staff, acknowledged that the so-called reconnaissance strike complex was emerging and that it offered a new revolution in military affairs beyond the nuclear revolution in which conventional weaponry with precision guidance could assume some roles that were previously monopolized by nuclear forces. He was also very pessimistic about the ability of the Soviet military and its defense industry to keep pace with these developments. This military pessimism converged with also changing political currents in Moscow. It wasn’t a decisive factor, but I think it contributed to the decisions made by the Soviet political leadership in the late 1980s to seek a better relationship with the West and try to reduce military competition, which increasingly was seen as a losing proposition.

How do Russia’s contemporary A2/AD capabilities change the security landscape in Europe?

First, Russia has some very capable air and sea denial systems. Russia’s ability not only to protect its own airspace but also to deny the use of airspace over the territory of NATO frontline states in a crisis or conflict has improved dramatically. This poses real problems to the Alliance especially if NATO continues to maintain a defense in depth posture with only lightly defended frontline states.

Second, since the end of the Cold War and especially since the NATO-Russia Founding Act and the adoption of the so called 3 No’s [“no intention, no plan and no reason to deploy nuclear weapons on the territory of new members”], the alliance relied on expeditionary, so-called rapid reaction forces that in a crisis or conflict would be dispatched from the more Western countries of NATO to reinforce the Eastern frontline states. But in the presence of advanced Russian air and sea denial systems this may be very difficult. In a crisis it may be in fact destabilizing to deploy NATO forces eastwards and in conflict it could be even suicidal as transport aircraft and ships, not to mention receiving ports and airbases would be vulnerable to Russian surface-to-air, anti-ship and land-attack missiles.

Third, there is this intermingling of anti-access/area denial capabilities that can essentially check conventional power-projection by other traditional militaries to reinforce frontline allies and at the same time this greater emphasis on non-linear/sub-conventional operations as emphasized by Valery Gerasimov, chief of the Russian general staff. These two types of endeavors really work hand in glove. It is this non-linear warfare area where NATO has been quite slow in terms of both defense (how it addresses these threats) as well as how it too might opportunistically exploit these similar approaches. The same can be said when it comes to A2/AD: how can the frontline states emulate or mimic some of the A2/AD approaches others are adopting to create an effective bear trap. And NATO countries also need to rethink the so called 3 NOs. It may be past time to return to a forward defense posture and permanently station US and other allied forces on the territory of the frontline states. We shouldn’t wait until the next crisis to move in this direction.

Is it accidental that revisionist powers in the Middle East, Far East and Europe are projecting their anti-status-quo interests at a time when they are feeling more confident in their own A2/AD capabilities and their ability to keep at bay traditional power projection?

Definitionally, the intention of a revisionist power is to challenge the status-quo and try to maximize its power and expand its sphere of influence. The character of revisionism is different across the three regions. Many in Europe were surprised by Putin’s annexation of Crimea because they took for granted the borders that were established at the end of the Cold War and that were perceived as indisputable as opposed to the situations in Middle East or maritime Asia.

All these revisionist powers appear less hesitant about employing irregular operations as a surrogate or as a complement to traditional military power projection. Especially when confronting other great powers, the ambiguous nature of irregular actions undertaken not by uniform soldiers, but by fishermen, by civilian protesters or by “little green men” offers a more insidious form of power projection.

Is this an incentivize for a revisionist power that had the intent, and now increasingly the capabilities and the ability, to wage low cost irregular warfare campaigns under an A2/AD umbrella?

Yes, that appears to be the case. Anti-access/area denial at the conventional level buys time and space for revisionist powers to conduct salami-slicing creeping aggression or coercion underneath whether it is in Crimea, in East China Sea, or in the future in the Middle East. Anti-access capabilities can enable conventional or unconventional forms of power projection by providing the umbrella to protect them from conventional counter-attacks especially during movements.

Rather than seeing the irregular gambit as a form of warfare distinct from conventional warfare, the revisionist powers appear to integrate these concepts in ways that combine different approaches. They are able to combine anti-access and area-denial, conventional capabilities with these irregular and sub-conventional capabilities in very effective combinations. These combinations could be differentially applied depending on the circumstances and their specific objectives at any time whether it is in Georgia, Ukraine or perhaps the Baltics or Moldova in the future. The anti-access/area-denial capabilities allow them to hold off conventional military forces and create an umbrella underneath which they can use their sub-conventional capabilities.

Do nuclear weapons have an A2/AD role? Can a nuclear umbrella play the role of an A2/AD umbrella underneath which a revisionist power can employ conventional or sub-conventional forces?

Nuclear weapons are sort of the original A2/AD threat. States that have them tend to be far more effective in dissuading others not to get too close or to think twice before attacking. Coupled with conventional A2/AD capabilities, Russia’s posture poses a vexing problem for allied planners. The range of Russia’s conventional air defense, anti-ship, and land-attack missiles blankets large portions of some frontline allies like the Baltics. Russia has declared that any attack against its territory could invite nuclear retaliation. Thus, its nuclear forces may be perceived as providing some form of sanctuary for its western conventional A2/AD capabilities.

Does NATO need a new updated 21st century Air Land Battle doctrine? How should NATO be re-postured for a security environment where parts of its territories are covered by the competitor’s A2/AD umbrella?

For NATO, the highest priority should be improving local defense of the countries on the frontline. I like Wess Mitchell and Jakub Grygiel’s proposal to establish a preclusive defense posture. Frontline states with assistance from their allies need to develop their own air, sea, land denial capabilities to negate and reduce the risks posed by the Russian conventional force aggression.

At the same time, NATO needs to develop an irregular dimension or irregular characteristics to Alliance deterrence to complement the conventional and nuclear forces. We need to expand the capacity of all NATO frontline states to conduct popular resistance, a defense that is highly irregular in its characteristics and holds out in particular a much greater risk of protracted warfare, denying quick wins for potential adversaries. We want to raise the costs dramatically for any potential aggression against NATO states and hold out the prospect of conflict widening while buying time for allies to respond and avoiding any fait-accompli on the ground. The emphasis should be put on the small highly distributed irregular resistance forces, prepositioned concealed weapons and clandestine support networks and auxiliaries. Modern guerilla forces armed with short-range man and truck portable guided rockets, guided artillery, guided mortars can conduct very rapid and very lethal maneuvers, ambushes and sabotages. We talk a lot about deterrence by denial and deterrence by punishment, but I think increasingly in the 21st century we must talk in terms of deterrence via protraction.

Should NATO have the ability to put in danger the Russian anti-access/area-denial capabilities more along the lines of the Air-Sea battle concept articulated in East Asia?

In Europe, the frontline states should make themselves indigestible and at the same time, NATO should expand its conventional strike capabilities, kinetic and non-kinetic, while preserving its nuclear options for escalation control. We want to demonstrate that there can be no possibility of aggression against NATO frontline states whether that would be classic armed conflict or would be subtle, insidious forms of subversion. We have to demonstrate unquestionable intolerance for the full range of threats that could be posed.

How should emphasis on defense modernization look like for a country like Romania exposed to the Russian A2/AD capabilities and in a time when the Black Sea is rapidly becoming a Russian A2/AD lake?

The sine-qua-non should probably be land, air, sea denial capabilities with greater emphasis on ground based air and coastal defenses, as well as distributed anti-tank weapons and mines. Romania has to return to its history and reintroduce its unique concept of popular resistance. In the long term, it may be an option to build a small fleet of coastal submarines as an asymmetric sea denial force.

This interview was published in the context of the Romania Energy Center project “Black Sea in Access Denial Age”, a project co-financed by the North Atlantic Treaty Organization (NATO). To read more, go to http://www.roec.biz/bsad/

Global Analysis, History

The Sea Power of the State in the 21st Century

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Admiral Sergei S. Gorshkov’s legacy as a naval leader and strategic thinker has not been entirely forgotten. Reports of his death, however, were not greatly exaggerated. Largely ignored by the NATO navies that once studied him so intently as the head of the Soviet Navy for much of the Cold War, Gorshkov remains an inspirational symbol in the two countries that should come as no surprise: Russia and China.

Earlier this year, Admiral Viktor Chirkov, the current commander-in-chief of the Russian Navy, pointedly chose the 105th anniversary celebration of Gorshkov’s birthday in his childhood home of Kolomna to make some bold statements about the navy’s future in the 21st century. After laying flowers at Gorshkov’s monument, Chirkov formally announced that Russia will be back in the aircraft carrier business with plans to build a new-generation one comparable in size to a U.S. supercarrier. Given the current state of Russian shipyards and the tremendous costs involved, defense analysts greeted the announcement with skepticism.  There was good reason to doubt this most recent news: Russia had already announced in 2005, and again in 2008, that it would begin to build carriers by 2010. According to Jane’s Defence Weekly, the new multipurpose, dual-design (two ski-jump ramps and electromagnetic catapults each) carrier is called Project 23000E or Shtorm (Storm).

USNA17th-19th C. Sea Power of the State: Admiral Chirkov getting a tour of USNA Museum in 2013 from CIMSEC member Claude Berube. Was the Russian navy chief trying to get advance info on the #CarrierDebate? (Photo credit: USNA PAO)

 Of course, Admiral Gorshkov once promoted the virulent anti-carrier stance of the Soviet Union. He mocked the platform as too expensive and too vulnerable and echoed Premier Nikita Khrushchev’s view that they were “floating coffins.” Yet, the Soviet Navy’s need to be untethered from the sole support of land-based naval aviation first resulted in helicopter carriers for anti-submarine warfare and amphibious operations in 1967, then eventually in large-deck carriers for fixed wing aircraft toward the end of the Cold War – the Kuzntesov (still in service, although with considerable time in the repair dock, in the Russian fleet) and the Gorshkov (sold to India).

Gorshkov would likely have applauded Chirkov’s ambitious 50 ship building plan for 2015 that included a mixture of surface and subsurface vessels. In particular, the resurgence of nuclear submarine production, especially the Borei-class ballistic missile sub, is a reminder of how Gorshkov once used submarines as the cornerstone of Soviet naval power and prestige for decades.

Chirkov also announced that 30 ships and submarines were currently deployed around the world, which indicated a modest but nonetheless significant return to the pattern of out-of-area patrols and presence missions for the Soviet Navy that Gorshkov introduced to much fanfare in the mid-1960s. This May’s joint Russian-Chinese naval exercises in the Mediterranean also supports the views that the Russian Navy is “rebalancing” to the region while the Chinese Navy may intend to secure its energy supply lines at the western edge of the “New Silk Road.”

Above all, Gorshkov would probably have approved of Chirkov’s vision: the adoption of an “ocean strategy” that will seek to reestablish Russia’s global reach and promote its political and economic interests. Chirkov’s choice of language harkened back to the efforts of his Cold War-era predecessor to justify a blue-water navy. Notably, Chirkov did not directly challenge the supremacy of the U.S. Navy as Gorshov did in the late 1960s. Rather, Admiral Chirkov’s mission, at least for the moment, is to put Russian naval forces back on the path to restoration, not on one toward great power rivalry. 

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Gorshkov was associated with the phrase “’better’ is the enemy of ‘good enough.’” In other words, Chirkov must get the Russian Navy back to Gorshkov-era “good enough.”

There is also nothing revolutionary in Chirkov’s pronouncements. The navy’s primary missions are still, as in the Cold War, strategic deterrence and defense. It will likely not be as rapid as the transformation after the Cuban Missile Crisis, either. The Russian Navy, according to defense analyst Dmitry Gorenburg, will slowly grow through a phased recapitalization scheme that will unfold over 20 years. The pace of naval construction is, of course, subject to change based on evolving political and economic imperatives.

To further underscore that Admiral Gorshkov has not passed entirely into irrelevance, a pair of Russian military writers (one a retired navy captain) paid homage to him in a recent article for Voyennaya Mysl [Military Thought], the elite journal of Russia’s Defense Ministry for nearly a century. In “The Sea Power of the State in the 21st Century,” the authors noted that Gorshkov’s seminal 1976 book, The Sea Power of the State, took an expansive view of sea power that included naval, merchant, fishing, and exploration capabilities. Gorshkov envisioned the World Ocean as one immense domain upon which to assert Russian national power. These authors, however, wished to scope the definition of “the country’s sea power” down to “the navy’s real combat power” in order to illustrate the special place that navies hold in geopolitics.

A central theme of their essay, based on historical examples, was that countries without sea power do not have “a decisive voice in world affairs.” Russia used a strong navy in the past, the authors argued, to maintain its place in the top tier of nations. The blow to Russian prestige was great at the end of the Cold War with the demise of the Soviet Navy:

… the loss of the core of its powerful oceangoing navy during the political and economic reforms in the late 1980s and early 1990s cost the country dearly. It caused other nations, Russia’s neighbors and rivals on the high seas, in the first place, to rethink their attitude to this country. It was deserted by many allies and friends, and its image of a great sea power has faded.

Thus, the article indirectly endorsed Admiral Chirkov’s current strategy of “looking to the ocean” and his plan for a navy that can once more defend Russia’s national interests and secure it against threats. The authors acknowledged, however, the huge lead by the U.S. Navy in air-sea battle concepts and that of American expertise in network-centric naval warfare. Indeed, “it is difficult, even hopeless at times, for Russia to take up this challenge for economic considerations.” Nonetheless, they concluded, it is a price that must be paid for the return to greatness on the world stage.

Writers in Chinese open source literature have also found reasons for optimism in the example set by Admiral Gorshkov during the Cold War. According to Lyle J. Goldstein at the Naval War College’s Chinese Maritime Studies Institute, some naval analysts in China “are extremely interested in Gorshkov, his legacy, and Soviet naval doctrinal development in general” [per his correspondence with this author]. They are impressed by the rapid transformation of Soviet naval power under Gorshkov as well as his ability to check U.S. power with his own oceangoing navy. Moreover, they also appreciated, based on Gorshkov’s lesson, that a “balanced fleet” can also emphasize undersea platforms while never reaching parity with U.S. carriers.

China’s recent strategy white paper elevated the PLA Navy’s status and explicitly tied naval power to China’s geopolitical ambitions and economic development with the navy’s dual missions of “open seas protection” and coastal defense. Indeed, sea power will play a central role for the Chinese state in the 21st century: 

The seas and oceans bear on the enduring peace, lasting stability and sustainable development of China. The traditional mentality that land outweighs sea must be abandoned, and great importance has to be attached to managing the seas and oceans and protecting maritime rights and interests.

On the other hand, Gorshkov’s legacy shows that sea power, once achieved, can be transitory due to geographic, economic, and political factors. His is also a cautionary tale, for Russians and Chinese alike, not to pursue sea power beyond what a nation can support. As Goldstein noted, “… the [Chinese] authors do indeed directly connect the all-out Soviet naval expansion of the later Cold War, and the commensurate enormous investment of Russian national resources, to the demise of the USSR.” Moreover, there is the potential risk involved in Russia’s attempt under Vladimir Putin to return to the past glories of the Soviet superpower era yet fall well short of his goals. This naturally includes naval ambitions for aircraft carriers that never make it beyond the concept stage. Even the modernization of smaller surface ships such as frigates (including the new Admiral Gorshov-class) is now endangered by Russian actions in the Ukraine.

Both Russia’s and China’s navies may also face the same dilemma as that of the Soviet Navy by the mid-1960s if naval construction outpaces professional knowledge and practical experience. As Robert Farley noted, the Soviet Union “built blue water ships long before it built the experience needed to conduct long range, blue water operations.” A more provocative and aggressive stance toward the U.S. Navy, coupled with the deficiencies in Soviet training and this lack of a “blue water look,” resulted in repeated incidents at sea such as collisions that many feared might escalate during the Cold War.

Ultimately, sea power as an expression of great power status is beginning to look in the early 21st century much as it did in the 20th century. The investment in costly blue-water navies still speaks volumes about a country’s geopolitical ambitions and its strategic calculus – where it sees itself in the world and hopes to be in the future. The writings and accomplishments of Admiral Sergei Gorshkov are also a timeless reminder that in order to assess navies, one must still look at what they say, what they build, and what they do. In Gorshkov’s case, what he did remains much more memorable than anything he wrote.

Jessica Huckabey is a researcher with the Institute for Defense Analyses (IDA) and a retired naval reserve officer. She is writing her doctoral dissertation on American perceptions of the Soviet naval threat during the Cold War. The opinions are her own and not those of IDA or the Department of Defense.

Beans Boots Bullets, Europe, Global Analysis

The Gutting of Ukraine

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By Norman Friedman

UkraineChina has consistently supported Ukraine during its agony at the hands of Russian-supported separatists. One of the less-publicized reasons why is that China has relied heavily on Ukrainian firms to help modernize its military.

For example, the active phased-array radar on board Chinese Type 052C destroyers was developed by a Ukrainian company. The current Chinese main battle tank is essentially the current Ukrainian one. The firms involved are all in the heavily-industrialized area in which the Russian-backed forces are operating; it may even be that the Russians are specifically targeting particular Ukrainian towns and companies. From Mr. Putin’s point of view, the Ukrainian companies may be unwanted competitors with the military industrialists on whom he depends for much of his power. At the least, he is trying to put them out of business. The white trucks supposedly carrying humanitarian aid into Ukraine from Russia were actually arriving to plunder Ukrainian factories of their modern machine tools. What the West may not want to sell to Mr. Putin, his forces can steal.

The Ukrainian plants and development companies exist because of policies implemented long before the Soviet Union broke up. The rulers of the Soviet Union were always worried that nationalism would break up their country — as, in the end, it did. One of their insurance policies against breakup was to make it difficult or impossible for those in any one of the republics making up the Soviet Union to build key items independently. For example, gas turbine ships built in Leningrad (St. Petersburg) in Russia were powered by gas turbines made in Ukraine. Their torpedoes came from Kazakhstan. Sonobuoys came from Ukraine, as did helicopter dipping sonars. Some ballistic missiles came from Ukraine. The only shipyard in the old Soviet Union capable of building carriers was in Nikolaev, in Ukraine. However, any carrier built there was armed with weapons and sensors from elsewhere in the Soviet Union, mainly from Russia.

In Soviet times, none of this really mattered. The Ukrainian factory making gas turbines responded to commands from Moscow to deliver engines to St. Petersburg, just as any factory in Russia did. There was little or no distinction between what happened in Moscow and what happened in, say, Nikolaev — no border, no transfer of cash. To a considerable extent design organizations were set up in Ukraine in the early 1960s or the late 1950s because Nikita Khrushchev, who ran the Soviet Union, was Ukrainian. For example, Khrushchev decided to reward his homeland by transferring the Crimea to it. Unsurprisingly, Russians applauded its seizure, since they had never considered the transfer legitimate. Ukrainian independence is a much more substantial issue, although most Russians apparently consider it a spurious notion, its separation a penalty imposed by the West at the end of the Cold War.

Once the Soviet Union broke up, the Soviet -era distribution of facilities suddenly mattered a great deal. All of the constituent republics of the old Soviet Union were suddenly plunged from a world of command by Moscow to a world of cash purchases. The Ukrainian plant could still make gas turbines, but if Moscow wanted a set for installation in St. Petersburg it suddenly had to pay up with real money. That was not easy. In time the Russians built their own gas turbine factory, but while that was happening they had to power ships with steam plants, because the steam plants were being made in Russia.

Conversely, key components of the carrier Varyag, afloat at Nikolaev, could not be delivered because they could not be paid for. The yard had no way to complete the carrier. Parts of her weapon system were visible for some years on the pier alongside, incomplete and hence impossible to install. In much the same way the Ukrainians had no way of completing a Slava class cruiser left nearly completed when the Soviet Union broke up. The carrier proved saleable — its transfer may have been the beginning of Ukrainian arms exports to China — but the cruiser did not. Even Ukrainian governments clearly favoring the Russians could not conjure up the resources to give the Russians weapon systems or platforms they wanted, because it took cash to move equipment over the border.

With their Russian (ex-Soviet) customers no longer paying, Ukrainian firms looked elsewhere, and they seem to have found their main customer in China — which certainly did have lots of cash. Exports were not so much finished equipment (which would probably have required components from elsewhere in the former Soviet empire) as innovative designs, such as the active phased-array radar. From time to time the Russians have tried to police the export of military data and know-how from their country, but once the Soviet Union broke up Ukraine must have made such controls a mockery in many cases. That might not have mattered had Russian military R&D kept advancing at its pre-collapse pace, but the cash shortage stopped most of that, too. Ukrainians who knew what the Soviet Union had developed by the time of its collapse could sell just about anything Russians could.

For a time, the Russians recovered to the point that they did have cash, but Russian military producers faced much higher costs at home, not least to feed an extremely corrupt political system. Now that a plunging oil price has cut Russian cash resources, it is even more difficult for them to buy from Ukrainian firms. It must be doubly difficult if they have to compete with much wealthier Chinese buyers. Theft is a much easier way to obtain the necessary products. Since it includes the theft of production tooling, the plants in question can be re-established in Russia, where their products will be far more affordable. Hence the systematic looting of plants in Ukraine. Looting also circumvents the effect of a falling price of oil, which drastically reduces hard-cash resources in Russia.

If the Ukrainian agony were all about money and access to technology, it would be unhappy enough. However, a major the driving force is nationalism. Vladimir Putin’s only important attraction for Russians is nationalistic: he is seen as a strong man who will restore the strength of the motherland, and he will also expunge all of those unhappy guilty memories of the Soviet past. In this narrative, the West is the enemy who broke up the Russian Empire and thus sought to crush Holy Russia. Anyone familiar with Russian history before the Revolution can recognize the sort of policy Mr. Putin is following. It takes a very committed Russian nationalist to say, as some have in recent days, that the falling price of oil is part of a deliberate plot on the part of ‘certain organizations’ in the West intended specifically to weaken Russia. Ukraine was the oldest part of the Empire, and its recovery excites Russian nationalists. Before he annexed Crimea, Mr. Putin was extremely unpopular. People in Russia saw him for what he was: a thief working with larger thieves to plunder their country. Afterwards his popularity soared, and old-style raw Russian nationalism became a ruling force.

Russian nationalism is opposed by Ukrainian nationalism. It may not be particularly powerful in the Eastern Ukrainian regions in which the Russians and their friends are operating, but in much of the country it is alive and well. Ukraine has a distinctive culture and language. The language and the alphabet are similar to Russian, but by no means identical. Ukraine enjoyed brief independence after the Russian Revolution. During the late 1920s and early 1930s the government in Moscow created a famine in Ukraine that killed 6 to 10 million people in the name of collectivizing farming. Ukraine had been the breadbasket of Europe, its wheat exports the major source of foreign currency to Czarist Russia. After collectivization, the Ukraine was badly enough ravaged that in the 1950s the Soviet Union found itself buying wheat abroad.

The horrors of the 1920s and 1930s remained fresh in Ukrainian minds when the Germans invaded the Soviet Union in June 1941. Initially Ukrainians understandably welcomed the Germans as liberators, only to discover that the racist Germans lumped them with the Russians as sub-human. Even so, they hated the Russians even more, and a low-level insurgency continued well into the 1950s. The Ukrainian view of the man-made famine is somewhat analogous to the Polish view of the Soviet massacre of Polish military officers in 1941 at Katyn. Each was a horrific crime committed by the Soviet Union and then buried. Under Soviet domination, denial that the Soviets had committed such crimes became a test of political loyalty. Once Ukraine and Poland were free of Soviet control, memory of such crimes helped generate nationalist hatred for the Soviets. When Mr. Putin glorifies the Soviet Union which produced him, he enrages those it tortured. Victims inside the Soviet Union are less than popular in the current nationalist climate, but victims outside are in a very different position.

To further complicate matters, another Soviet-era strategy for binding together the Soviet Union was to encourage ethnic Russians to settle in the various republics forming the Soviet Union. That produced large ethnic Russian minorities in countries like Latvia and Ukraine. Mr. Putin is encouraging the ethnic Russian minority in Eastern Ukraine to revolt against the government in Kiev. Although he is enjoying a short-term advantage, surely what he has done has made other post-Soviet governments uncomfortably aware that they may be harboring hostile minorities. They may decide to do something about them before they can revolt.

If that seems an extreme extrapolation, remember that before World War II Hitler exploited the manufactured resentments felt by a large ethnic German minority in Czechoslovakia (in the Sudetenland) to dismember that country (he did not have to resort to invasion or even to proxy invasion, as in Ukraine). Governments who remembered what minority Germans had done in the 1930s expelled them after Germany collapsed in 1945. Many Germans found themselves walking all the way across Poland from what had been East Prussia, and for years the cry to recover that territory resonated through German politics. What is likely to happen now in places like the Baltic states? Their governments lived through decades of repression in the name of the Soviet Union, but up to now they have been relatively restrained about the Russians in their midst.

Norman Friedman is author of The U.S. Naval Institute Guide to World Naval Weapon Systems. This article can be found in its original form at the Australian Naval Institute here and was republished by permission.

Global Analysis

The Paradox of Admiral Gorshkov

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This article is part of CIMSEC’s “Forgotten Naval Strategists Week.”

It’s time to discuss the Soviet Navy, so dust off your Norman Polmar guides and your early Tom Clancy novels. Or just ask an old salt and Cold War vet if the Red Fleet used to be a big deal. You might even check with Vladimir Putin, who is well aware of this recent yet quickly forgotten chapter in Russian history. Putin would no doubt fondly recall the man responsible for the rise of the Soviet Navy and for its operational and intellectual direction in its heyday: Admiral Sergei Gorshkov.

Gorshkov took command of the Soviet Navy in 1956 at age 45 and oversaw the Soviet Union’s expansion into a global sea power until his retirement in 1985. By comparison, the U.S. Navy had eight Chiefs of Naval Operations (CNOs) during the same period (and potentially more if not for Arleigh Burke’s own unprecedented longevity). Gorshkov’s career demonstrated that he was both a survivor and an extremely patient man. He made it through five Soviet leaders in the post-Stalin period, so he knew how to play his political cards right with the Kremlin. He also survived a defense structure dominated by WWII-era communist party officials fixated on land power and Red Army marshals who were contemptuous and ignorant of naval matters in equal measure. Thus, Gorshkov clearly understood the limits of inter-service rivalry and intellectual rigor within the Soviet system.

Admiral Gorshkov waited patiently for his opportunity to transform the Soviet Navy from a submarine-dominated, sea denial force with a coastal and defensive orientation into a blue water fleet – though still a sub-centric one – that had strategic strike, power projection, and global presence missions. Above all, the Soviet Navy under Gorshkov had ambitions to challenge U.S. sea supremacy, even if his words did not always match his service’s deeds or capabilities. “The flag of the Soviet navy now proudly flies over the oceans of the world,” the navy chief warned Americans from the cover of Time magazine in 1968, and “[s]ooner or later, the U.S. will have to understand that it no longer has mastery of the seas.” But first, Gorshkov had to achieve mastery over his own navy in the post-Khrushchev era.

An inveterate hater of navies in general, Soviet premier Nikita Khrushchev was nonetheless enamored of submarines and presided over the construction of the largest peacetime submarine fleet the world has ever seen (well over 400). After submarines on their own proved to be of limited utility, to put it mildly, during the Cuban Missile Crisis in 1962, Gorshkov capitalized on the humiliation of Khrushchev and of his own navy to press for a more balanced fleet. Gorshkov specifically wanted large surface combatants as well as a greater naval role in Soviet strategy and policy.

It was during the naval expansion period from the mid-1960s through the 1970s under Brezhnev that Gorshkov authored the works that put forth his vision of sea power, Russia’s maritime heritage and destiny, and the naval component of that particular Soviet fixation, operational art. Gorshkov’s writings fueled vigorous debate amongst Soviet naval experts in the West and established a strategic discourse for the superpower naval rivalry that, in hindsight, was truly remarkable.

Contemporary naval leaders and analysts widely acknowledged Gorshkov’s contributions to Cold War naval thought. Gorshkov’s American counterpart in the early 1970s, CNO Admiral Elmo Zumwalt, Jr., encouraged the U.S. Naval Institute to publish Red Star Rising at Sea in 1974. The volume was a collection of 11 articles by Gorshkov published as the series, “Navies in War and Peace,” in Morskoi sbornik (Naval Digest). The article topics spanned from Tsarist times to the Cold War and offered insights on the direction of Soviet naval thinking. Notably, the volume was itself a compilation of earlier Proceedings articles that featured commentary by preeminent American admirals (including four former CNOs) on each of the original Gorshkov articles. As such, Red Star Rising is a time capsule of not only Gorshkov’s ideas but also U.S. perspectives on his philosophy on sea power – as strategist Rear Admiral J. C. Wylie wrote in his commentary, “a rare glimpse into the mind [of the opponent]” – and American reactions to the Soviet naval threat during a crucial period of Cold War naval history.

As the series title implied, Gorshkov presented the case for a strong, balanced fleet with substantial peacetime and wartime missions. The Soviet Navy, in his view, had an especially important role in supporting the Soviet Union’s political objectives and exerting its influence abroad. To not undertake this mission, Gorshkov argued, would cede the ideological battleground to the U.S. Navy as an instrument of “peacetime imperialism.” However, Gorshkov’s real motive, as speculated by experts at the Center for Naval Analyses at the time, was to defend the Soviet Navy’ position internally and to keep its growth trajectory heading upward in the era of SALT and détente.

Gorshkov followed up the articles with a book-length treatment of his views, The Sea Power of the State. The book appeared at the height of the post-Vietnam debates over perceived U.S. weaknesses in the face of a growing Soviet naval threat. It also solidified Gorshkov’s reputation as a dominant figure in Cold War naval thought, which was also notable for a Russian’s entry into the maritime strategy realm that was usually dominated by Anglosphere thinkers.

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In the book, Gorshkov offered a non-controversial view that sea power provided “the capacity of a particular country to use the military-economic possibilities of the ocean for its own purposes.” He also took the most expansive view possible for what sea power encompasses. His definition not only included the obvious military, merchant, and fishing components, but also the scientific-technical field. Gorshkov emphasized that sea power is also about a link to the ocean environment in an “inseparable union.” To that end, Gorshkov cast himself as an advocate for oceanography and mapping. A visually stunning and expensive series of ocean atlases bore his name as editor during the same period (it was an “opus” that had “all the grandeur and majesty of a Bolshoi production of Boris Gudonov,” according to one American reviewer).

Gorshkov followed three broad principles when marketing his strategic ideas. First, ideas on sea power must be grounded in history. Gorshkov had slim pickings, admittedly, upon which to build a case for Russia as a great maritime nation – unlike Alfred Thayer Mahan’s embarrassment of riches with British history and the Royal Navy – beyond what Peter the Great briefly attempted several centuries ago. Gorshkov also burdened his readers with the usual clichéd Marxist-Leninist dialectic contortions of historical truth. Not surprisingly, his abuses of the historical record were mainly intended for domestic consumption and to overcome the strong land power dogma within Soviet society. Gorshkov vigorously promoted the idea that great powers needed great navies, and so he used history as an appeal to a national identity and a purpose far away from Russian littorals.

Second, Gorshov’s writings indicate that he understood that naval power aspirations must be firmly grounded in theory. Whether it was his earlier use of the term “naval science” in the 1960s, or his later discussions of “naval art,” Gorshkov focused on putting Soviet naval developments and the USSR’s growth as a maritime nation into a larger intellectual framework. This practice was particularly important when Soviet leaders imposed force structure decisions on the Soviet Navy that did not make for sound strategy or even operational sense. To that end, it is possible that Gorshkov likely needed ghost writing help from some brilliant theoreticians and fellow naval officers like Vice Admiral K. Stalbo to reverse engineer theory to fit a desired reality. Gorshkov, helped by allies in the Soviet leadership and by the course of world events, succeeded in carving out a strategic role for the Soviet Navy. Gorshkov made his case most strongly for the wartime missions of long-range naval operations against the enemy’s shore, such as strategic strike and amphibious landings, an area chronically neglected Soviet army strategists.

Finally, Gorshkov grasped what could be called the “optics” of sea power. He believed that ideas are best illustrated with powerful images. He knew, in the best Mahanian tradition, that navies were symbols of great power status and should be used as an instrument of policy. Gorshkov pushed the Soviet Navy’s peacetime role in promoting the interests of the Soviet state and spreading communist influence through presence missions around the globe. An impressive Soviet warship in a foreign port did not raise the same alarms as Soviet tanks or missiles showing up in distant lands. Moreover, navies with a transoceanic reach were an excellent, albeit tremendously expensive, way to coerce allies and confound adversaries. Gorshkov proved to be a master of both outcomes.

In the final analysis, Admiral Gorshkov as a naval strategist is a paradox: his impact on naval thought is at once considerable and negligible. To be sure, Gorshkov ranks among the great naval leaders of the 20th century. He was a consummate planner and innovator in addition to his political skills. He was also a proponent of salami-slicing to achieve his goals long before it became fashionable in the South China Sea. Analysts and historians asked if Gorshkov was a Russian Mahan or a Red Tirpitz to better fit him into the Western canon of naval strategy. There is also no denying that Gorshkov profoundly influenced not only the Soviet thinking on sea power, but also impacted the course of the U.S. Navy during the Cold War. So, as befits the mark of an important naval strategist, Gorshkov’s ideas mattered and were carefully weighed by allies and adversaries alike.

Yet, Gorshkov’s writings lacked the longevity of Mahan’s or Sir Julian Corbett’s works. His appeals to Russia’s sea power potential and its tenuous claims to naval greatness proved ephemeral – and likely helped to push the Soviet state to collapse. Gorshkov’s ideas, in retrospect, reflected a particular aspect of the Cold War and fulfilled their strategic purpose. As a result, Gorshkov is not a source today for timeless lessons on naval strategy, nor are his works still widely read or even discussed in the maritime nations that once followed him so closely. He has been “forgotten” in that sense. Perhaps in the case of Admiral Gorshkov, it is not his writings but his overall approach to the dilemma of a weaker navy challenging a stronger naval power, while at the same time building a maritime foundation and pursuing regional and global ambitions, that is truly instructive.

Chinese naval watchers in the U.S. naturally looked for a Chinese Mahan in Admiral Liu with the rise of China as a naval power. Another potential issue is a Gorshkov-style naval leader and thinker in Asia who understands the limits of his authoritarian state’s naval power, knows how to finesse its lack of maritime heritage, is politically adroit, and can successfully craft the words and images to at least appear to challenge U.S. naval supremacy. Gorshkov’s specific ideas may be of limited use today, but the legacy of his persistence in pounding the square peg of sea power into a land power-centered round hole lives on. His brand of strategic leadership and intellectual engagement could once again tie the U.S. in analytical and operational knots for years to come.

Jessica Huckabey is a researcher with the Institute for Defense Analyses (IDA) and a retired naval reserve officer. She is writing her doctoral dissertation on American perceptions of the Soviet naval threat during the Cold War. The opinions are her own and not those of IDA or the Department of Defense.