67 - 12,294 SCHLESINGER, Thomas Otto, 1925- AUSTRIAN NEUTRALITY IN POSTWAR EUROPE. The American University, Ph.D„ 1967 Political Science, international law and relations University Microfilms, Inc., Ann Arbor, Michigan © Copyright by Thomas Otto Schlesinger 1967 AUSTRIAN NEUTRALITY IN POSTWAR EUROPE BY THOMAS OTTO SCHLESINGER Submitted to the Faculty of the School of International Service of The American University In Partial Fulfillment of The Requirements for the Degree of DOCTOR OF PHILOSOPHY in INTERNATIONAL RELATIONS Signatures of Committee: RttAU Chairma Acting Dean: yilember Member auu. 2 rt£ 7 Datete Approved 2 , 7 June 1967 The American University AMERICAN UNIVERSITY LIRPAOY Washington, D. C. MAY 2 a mi A crMn PREFACE In thought, this dissertation began during the candi­ date's military service as interpreter to the United States military commanders in Austria, 1954-1955, and northern Italy, 1955-1957. Such assignments, during an army career concluded by retirement in 1964, were in part brought about by the author's European background— birth in Berlin, Ger­ many, and some secondary schooling in Italy and Switzerland. These circumstances should justify the author's own trans­ lation— and responsibility therefor— of the German, French, and Italian sources so widely used, and of the quotations taken from these. As will become obvious to any reader who continues for even a few pages, the theoretical conception for this study derives in large part from the teachings of the late Charles O. Lerche, Jr., who was Dean of the School of Inter­ national Service when the dissertation was proposed. While Dean Lerche's name could not appear in the customary place for approval, the lasting inspiration he provided makes it proper that this student's deepest respect and admiration for him be recorded here. Professor William Y. Elliott offered testing ground for the basic theme of the study in his seminar during spring 1965. Thanks are due to him for this opportunity and for the invaluable guidance which came with it. Dr. William tv L. 3tearman, an nold Austria-hand,” was kind enough to read the entire paper produced in that seminar, while preparing for transfer to a State Department post in Vietnam. His per­ ceptive and helpful comments, and the encouragement he pro­ vided, therefore, deserve double thanks. Dr. Ingo Mussi and Dr. Otto Zundritsch of the Austrian Embassy in Washington, Dr. Wilhelm Schlag of the Austrian In­ stitute in New York City, as well as Professor Felix Ermacora and Dr. Viktoria Stadlmayr of Innsbruck, all gave their time and their most courteous assistance, and contributed many helpful documents. Dr, William L. Bader, author of Austria Between East and West. 1945-1955. and Professor William T. Bluhm of the University of Rochester, were most generous with their time and documentary sources when approached as total strangers by a searching— if not sometimes floundering— scholar. The members of the dissertation committee, Dr. F. Gunther Eyck, Dr. F. Jackson Piotrow, and Dr. Eric C. Willenz, contributed much beyond the duly required reading, and earned the author's infinite gratitude. The truly immense debt which is owed to Dr. Bela C. Maday, the dissertation chairman, defies adequate description* It ranges from fundamental conceptual guidance, through de­ tailed factual and editorial correction, to the warmth and encouragement generated by the friendship of a truly great teacher. The one who managed to be a mother and homemaker, while doubling as typist of innumerable sets of manuscripts, and sustaining the author with encouragement, patience, and love, can be mentioned, but not thanked here* If despite all this help the author persisted in in­ numerable faults, the reader will doubtless recall that while a horse may be led to water, it cannot be made to drink. TABLE OF CONTENTS CHAPTER PAGE X. INTRODUCTION . .................................. 1 The P r o b l e m ................ 1 Requirements of Method ................ 3 Available Methods • •...•••••••••• 6 The Value-Oriented Case Study • •••....• 8 Sources .•••••••••••• ........ •• 10 II. PERTINENT HIGHLIGHTS OF H I S T O R Y ................. 12 Relations with Germany ••••••••........ 12 The Holy Roman Empire ................ 12 Mettemich and Bismarck 13 Dilemmas of German Unification...•••.• 15 The First World War .............. 16 German Resurgence ••••••.••••••• 18 Nationalism ..... ......................... 25 Economic Danubia to 1955 •••••••••••• 30 Interwar Years ••••••••••. 30 Grossdeutschland Period •.••••••••• 38 Economic Effects of Allied Occupation .... 39 Philosophy of Law •••••••• 42 Highlights of Politics .......... ••••••• 49 Trends in Value Structure ••••••••••• 53 111. OCCUPATION, NEGOTIATION, AND STATE TREATY .... 56 Effects of the Occupation on Domestic Politics • 56 vii CHAPTER PAGE Effects of the Occupation on Austrian Diplomacy 67 The Austrian State Treaty of May 15, 1955 . 74 The Neutrality Declaration .......... • • • . 82 Legal Aspects 104 Conclusions .............. 107 IV. AUSTRIAN REACTION TO THE HUNGARIAN REVOLUTION OF 1956 ............................................. 110 Government Policy ..••••••••••••• 110 First and Direct Government Actions •••••• 115 Popular Attitudes .. .......... ••••••• 119 Reaction of the Parties and M e d i a .......... • 122 Government Reaction to Potential Infringements on Neutrality ••...•.••••••••• 131 The "Diplomatic Propaganda" Aftermath • • • • • 141 The Cause and Effect Relationship of Austrian Freedom and the Hungarian Uprising ...... 146 Summarized Effects •••..•••••••••. 148 V. MINORITY AND BORDER PROBLEMS ............... 152 South Tyrol and Relations with Italy •••••• 152 Origin of the South Tyrol Problem •••••• 153 South Tyrol and the Austro-German Relationship 157 South Tyrol in World War II •••••...• 161 Austria Assumes Responsibility •••.•••• 163 Italy and South T y r o l ••••••• 170 viii CHAPTER PAGE Tyrolean-Austrian Hard Line ••••••••• 173 Italian Attempts at Solution ............ 178 German Involvement and A s s i s t a n c e ............. 182 South Tyrol in Austrian Domestic Politics • . 184 Reappraisal of Foreign P o l i c y .............. 189 Revision of Domestic South Tyrol Policy . 195 Carinthian Minorities and Relations with Yugoslavia .••••••• ................. 198 T r i e s t e ........................... 203 Minority Protection within Austria •••••• 205 Minority Problems and Value Structure - Conclusions • •••••••••••••••• 211 VI. AUSTRIA IN INTERNATIONAL ORGANIZATION. ...... 213 Austria and the United Nations ••••••••• 213 Emergence from Diplomatic Isolation •••.•• 217 Defense of Austrian Neutrality ••...••.• 218 Promotion of the General Legitimacy of Neu­ trality 222 Austrian United Nations Policy in Domestic Politics....................................... 226 Austria and European Economic Integration . 227 Inner Six and Outer Seven in Austrian Politics . 235 Socialists and Integration ............. 242 The People's Party and Integration............... 253 ix CHAPTER PAGE Major Party Positions Summarized ........ 261 The Council for Mutual Economic Assistance . 263 Austria and Trade with COMECON Countries • • . • 265 COMECON and Austrian Neutrality •••••••• 269 International Organization and Austrian Value Themes.................. ••••••• 272 VII. NEUTRALITY VERSUS NEUTRALISM....................... 273 The Difference ..................... 273 Austria and America • ••••••••••••• 278 The Issue of MArmedH Neutrality •••••••• 285 More Problems with the W e s t .............. 288 Austria and the East ............... 293 Austria and the Gaullist Position ••••••• 303 To **DrawN a Balance or to NB a l a n c e " .......... 305 Value-Oriented Comments .......... 309 VIII. REVIEW— AND POLICY IM PLICATIONS................... 311 Nonentanglement and Moderation ............. 313 Independence from Germany and the Cold War . • . 315 Positive Values of Neutrality ........... 318 Implications - Central European Settlement, American Policy ...•••••••••••• 321 BIBLIOGRAPHY.............................................. 326 CHAPTER I - INTRODUCTION A generation before the end of World War 11, Vienna had been the hub of a world empire, a multi-nation state, and above all, a Great Power. Decisions of its statesmen at the Ballhausplatz, its foreign ministry, had influence on men the world over. Yet, twelve years ago Austrians grate­ fully celebrated receipt of their complete formal independ­ ence and the freedom of their country from occupation. In 1955, Austria was set free as a state which was to practice neutrality. The Great Power had become a small neutral buf­ fer. 1. THE PROBLEM What has come to be called Central European settle­ ment in post-World War II parlance, still seems far out of sight today. The determination of the future of seventy- two million Germans, and that of their eastern border, are subjects of much speculation, but of little negotiation. In a direct and active sense, Austria is not involved in these questions. However, in an indirect, passive, and perhaps negative sense, Austria must be a factor in whatever formula is devised for such an agreement. Long-term settlement of Central European problems re­ quires among many other things, that Austria may be safely assumed to have found political expression for the legitimate aspiration* of its social and economic forces within a con­ text acceptable for all parties to the settlement. That con­ text has been declared to be the policy of neutrality. To S’' restate the matter concretely, when and if the Soviet Union and France,