9781802061789

SIMON SEBAG MONTEFIORE

‘The great chronicler of Ukraine breaks new ground …

Wonderfully readable and deeply personal’

Cover photograph: REUTERS/Gleb Garanich.

Cover design: Richard Green.

Author photograph © Simon Simard

LUKE HARDING, OBSERVER

‘Powerful … Erudite, objective and immensely readable … an expression of faith in Ukrainian resilience’ BEN HALL, FINANCIAL TIMES

‘Impressive and valuable … A clear, reliable and (in the circumstances) remarkably calm account of how we got here’ JO H N SIMPSO N, GUARDIAN

‘This is one of those wars rooted deep in the past, and it takes an outstanding historian to make sense of it … Fortunately, Serhii Plokhy is such a historian’

SERHII PLOKHY THE RUSSO –UKR AINIAN WAR

‘The essential book for the RussiaUkraine war – superb, accessible and erudite – by the world’s chief expert. The must-read work’

SERHII PLOKHY

‘Utterly compelling, the must-read book for this moment’ philippe sands

THE RUSSOUKRAINIAN WAR

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ALLEN LANE BOOK

PENGUIN

History

06/09/2023 15:45

p e n g u i n b oo k s

THE RUS S O-UKRAI NI AN WAR

‘This magisterial book by a leading historian explains how long-held Russian imperial delusions lay behind the attack on Ukraine. It brilliantly outlines the dangers of perverse history’ David Patrikarakos, The Times ‘The foremost historian of Ukraine turns his attention to contemporary events. He argues that Russia’s invasion is an act of old-fashioned imperialism. Plokhy uses his historical perspective to provide an original, erudite and very readable account of the roots of the war and its course so far’ Gideon Rachman, Financial Times Best Summer Books ‘A feat of scholarship under pressure’ Patrick Hudson, Tablet ‘Plokhy is a fine, crisp writer and does brilliant research . . . There is so much more here to inform this huge and important debate that I can only urge anybody who cares about the matter to buy and read the book’ Peter Hitchens, Mail on Sunday ‘A masterpiece of historical research that will give Western readers a much better understanding of Russia’s motivations and the conflict’s early months’ Independent.ie ‘Plokhy has lost relatives and friends in the conflict, and The RussoUkrainian War details with well-constructed arguments the causes and consequences of Putin’s gamble. It may be current affairs, but it’s difficult not to argue the invasion is historic’ Oliver Webb-Carter, Aspects of History ‘For those trying to understand the roots of the war in Ukraine, there is no better guide than Serhii Plokhy. It’s impossible to make sense of the Russian invasion of 2022 without knowing something of the history – recent and less recent – and the struggle for Ukrainian national identity; this compelling and lucid book illuminates both’ Lindsey Hilsum, author of In Extremis ‘The thread of history is central to understanding Putin’s invasion of Ukraine. Serhii Plokhy outlines this in fascinating detail and reminds us of the constant fragility of peace’ David Lammy ‘One of the world’s foremost experts on Ukraine. He has produced this account of the conflict as it has unfolded so far out of a sense of public duty . . . But the general background of the war is less widely known and Plokhy is well equipped to explain it . . . provides many insights’ Robert Service, Literary Review

A B O U T T HE A U T H OR Serhii Plokhy is the author of Chernobyl: History of a Tragedy, which won the Baillie Gifford Prize and the Pushkin House Book Prize, and the New York Times bestseller The Gates of Europe. His many acclaimed books, including Nuclear Folly, Atoms and Ashes and The Last Empire, have been translated into over a dozen languages. He is Professor of History at Harvard University where he also serves as Director of the Harvard Ukrainian Research Institute.

THE RUSSOUKRAINIAN WAR Serhii Plokhy

P EN GU I N B O O K S

P E N GUIN B O O KS UK | USA | Canada | Ireland | Australia India | New Zealand | South Africa Penguin Books is part of the Penguin Random House group of companies whose addresses can be found at global.penguinrandomhouse.com.

First published by Allen Lane 2023 Published in Penguin Books 2023 001 Copyright © Serhii Plokhy, 2023 The moral right of the author has been asserted Printed and bound in Great Britain by Clays Ltd, Elcograf S.p.A. The authorized representative in the EEA is Penguin Random House Ireland, Morrison Chambers, 32 Nassau Street, Dublin D02 YH68 A CIP catalogue record for this book is available from the British Library ISBN: 978–1–802–06178–9

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In memory In memory of all those of allwho thosedied whodefending died defending freedom, freedom, theirs and theirs ours and ours

C OC NO TN EN TE TN S TS

Maps Maps

viii

viii

Preface: Preface: Making Making Sense of Sense Warof War

xvii

xvii

1.

Imperial 1. Imperial Collapse Collapse

1

1

2.

Democracy 2. Democracy and Autocracy and Autocracy

34

34

3.

Nuclear 3. Nuclear Implosion Implosion

63

63

4.

The 4. New TheEastern New Eastern Europe Europe

81

81

5.

The 5. Crimean The Crimean Gambit Gambit

10 0

10 0

6.

The 6. Rise Theand RiseFall andofFall the of New theRussia New Russia118

118

7.

Putin’s 7. Putin’s War War

135

135

8.

The 8. Gates The Gates of Kyivof Kyiv

155

155

9.

Eastern 9. Eastern Front Front

176

176

10.

The 10. Black The Black Sea Sea

199

199

11.

The 11. Counteroffensive The Counteroffensive

219

219

12.

12.

The Return The Return of the of West the West

243

243

13.

13.

The Pivot The to Pivot Asiato Asia

2 69

2 69

Afterword: Afterword: The New TheWorld New World Order Order

293

293

Acknowledgments Acknowledgments

305

305

Notes Notes

309

309

Index Index

367

367

The Russian Empire and the USSR ARCTIC ARCTIC

GREAT BRITAIN NETH.

NORWAY

DEN.

BEL.

GERMANY

St. Petersburg

Kara Sea

Archangelsk

Dn

er R iep .

Don

Ukraine

ou nt

R.

V

Kazan

a olg R .

Trans -Si b

eri

an R ai

T u rk e s t a n

Ca

Sy

Amu

a R. Dary

ARABIA

Kazakhs

Aral Sea

a R. ary rD

s pi a n S ea

us

Baku

Uzbeks Bukhara

Tomsk

lr oad

. sh R I r ty

s uca Ca

a Se

OTTOMAN EMPIRE

Ob R .

Ekaterinburg

ea kS

ean an err dit Me

Crimea Bl ac

ain s

Moscow

Ur al M

Kyiv

M. RO

R. Ye n isei R. Ye n isei

BUL.

FI

Baltic States

Poland

Murmansk Barents Sea

ND

A NL

B al t i c Sea

AUSTRIAHUNGARY

Novaya Zemlya

SWEDEN

Lake Balkhash

Toshkent

IRAN Persi an

AFGHANISTAN

Gu lf

U.A.E. OMAN 0

250

500 mi

INDIA

TIBET

NE

PA

L

O CEAN

Bering Sea

Laptev Sea Ka mc

at

S iberia

h

Magadan

e e rcl rcl Ci Ci ctic ctic Ar Ar

Okhotsk

ka

Sea of Okhotsk

na

. ei R

R.

Yakutsk

.

.

ra R ra R AngaAnga

Le

C

UNITED STATES

Lake Baikal

Am ur R.

Khabarovsk

Irkutsk

JAPAN

Vladivostok Sea of Japan

MONGOLIA

KOREA

PACIFIC OCEAN

CHINA

Russian territory, 1533 Territory added by 1598 Territory added by 1689

Territory added by 1914 Boundaries as of 1914 1991 territory of USSR

Europe Divided (2022)

Iceland

Sweden

EU member NATO member Candidate member of NATO Member of Collective Security Treaty Organization

Norway

Denmark Ireland

United Kingdom

Neth.

Belgium

France

Poland Poland

Germany

Lux.

Czechia Austria Slovenia

akia akia Slov Slov

Hungary Hungary Croatia

Italy Portugal

Spain

Malta

0

150

300 mi

Finland Finland

Russia Russia Estonia Estonia Kazakhstan Kazakhstan

Latvia Latvia Lithuania Lithuania Belarus Belarus

d Ukraine Ukraine

kaika ia

gary ry

Moldova Moldova Romania Romania

Armenia Armenia

Bulgaria Bulgaria Turkey Turkey

Albania Albania

Greece Greece Cyprus Cyprus

The Russo-Ukrainian War (2022) BELARUS Homiel Homiel

Pinsk

POLAND

Rivne

aR .

Chernobyl Lutsk

tul Vis

Kyiv Res.

Rivne

IvanoFrankivsk

Dn iest e

AE INE U KURKARI N Khmelnytskyi

Ch

Vinnytsya Uman

.

rR

Uzhgorod

R. R

.

Ternopil SLOVAKIA

Kyiv

er Dniep er Dniep

Zhytomyr

Khmelnytskyi

Lviv

Chernivtsi

HUNGARY

S U

MOLDOVA Chișinău

ROMANIA

D anu be R.

Capital City or town Nuclear power plant (active) Nuclear power plant (decommissioned) Russian-controlled location Ukrainian-controlled location Russian-controlled territory gained since 24 February 2022 Russian-controlled territory as of 24 February 2022 Territory regained by Ukrainian forces Line of contact before 24 February 2022 International boundary Annexed formally by Russia as of 30 September 2022

Tiraspol

BULGARIA

Izmail

Odesa

miel Voronezh

Kursk Chernihiv

RUSSIA

Konotop Sumy

Belgorod

r

R

.

Kharkiv Poltava

Kremenchuk Res.

Cherkasy Cherkasy

Izyum

Siverodonetsk

Kremenchuk Kramatorsk

Kropyvnytskyi

Kryvyi Rih South South Ukraine Ukraine

Donbas

Pavlohrad

Dnipro

Luhansk

Horlivka Donetsk

Zaporizhia

Kakhovka Res.

Rostov

Zaporizhia Mykolaiv Kherson

Mariupol

Melitopol

Nova Kakhovka

Simferopol

Berdyansk Sea of Azov

Henichesk

Crimea

Don

NE

Kerch

Krasnodar

Kerch Strait Novorossiysk

Sevastopol

Black Sea 0

50

100 mi

R.

The World Divided (2022)

Cuba

Nicaragua

Venezuela

Condemns Russia West-leaning

Russia

Belarus Ukraine Syria

China

Iran

Eritrea

North Korea

India Myanmar

Neutral No data

Supports Russia Russia-leaning

PrePre face face M AM KA ING K ING SENSE SENSE OF OF WAWA R R

TT

he start heofstart the Russian of the Russian invasion invasion caughtcaught me in Vienna, me in Vienna, the capithe capital of the tal of former the former empireempire whosewhose actionsactions triggered triggered World World War I War I and the and city thewhose city whose takeover takeover

by Nazi byGermany Nazi Germany as partasofpart the of the Anschluss Anschluss of Austria of Austria in 1938inled 1938 theled way the toway the to outbreak the outbreak of World of World War War II. A new II. Awar newwas warinwas the in airthe when air the when citizens the citizens of Vienna of Vienna went to went bedto bed on theon evening the evening of February of February 23, 2022.

23, 2022.

After watching After watching disturbing disturbing news news on CNN, on CNN, I hoped I hoped for a better for a better outcome, outcome, but thebut presentiment the presentiment of trouble of trouble was there. was The there. next Themorning next morning I wokeIup woke earlier up earlier than usual, than usual, aroundaround 6:00 6:00 a.m. I a.m. reached I reached for myfor phone my phone to check to check the news the but news instead but instead somehow somehow got to my got email. to my email.

My heart My sank heartonce sankIonce read Ithe read subject the subject line ofline an email: of an email: “My good“My goodness.” ness.”

The message The message came from cameafrom colleague a colleague at Harvard at Harvard with whom with whom I had I had been discussing been discussing the chances the chances of a new of awar new since warOctober, since October, when he when firsthe first alertedalerted me to me the to possibility the possibility of a major of a major conflict. confl Russian ict. Russian troopstroops were were massing massing close to close the to Ukrainian the Ukrainian borders, borders, and the and American the American mediamedia had had begunbegun reporting reporting on them on almost them almost in realintime. real Itime. hoped I hoped that the that troop the troop movement movement was part wasofpart Russian of Russian blackmail. blackmail.

My colleague My colleague believed believed that that

xviii Pr xviiieface Pr eface

it could it be could for be real. forNow, real.even Now,before even before opening opening the email, the email, I knewI that knewit that it had happened— had happened— the invasion the invasion he warned he warned about. about.

I opened I opened the email. the email.

The The concluding concluding lines read: lines “Nothing read: “Nothing good will goodcome will of come it. Every of it. Every day gives day gives a different a diffmessage. erent message.

Tonight Tonight U.S. intelligence U.S. intelligence predicts predicts a blitz,abut blitz, let’s but let’s see tomorrow. see tomorrow.

I hopeIyou hope areyou OKare in OK Vienna.” in Vienna.”

I was Inot was OK. notSomething OK. Something had begun, had begun, but I did but not I did know not know what itwhat it was. My was. guess My guess was that wasPutin that Putin and the and Russians the Russians had invaded had invaded easterneastern Ukraine, Ukraine, the battleground the battleground of 2014– of 15.

2014– With 15. those With thoughts, those thoughts, I opened I opened another another email.email.

Its subject Its subject line was line empty, was empty, but it came but it from cameafrom colleague a colleague in Dnipro, in Dnipro, which which had been had far been behind far behind the front the lines front of lines the of 2014– the 15 2014–15 war. The war.email The email made made it clearit that clearthere that would there would be no be territory no territory behindbehind the lines thein lines thisinwar. this“I’m war.getting “I’m getting my things my things together together to leave toDnipro; leave Dnipro; maybemaybe I’ll send I’ll‘fragments’ send ‘fragments’ of my books of my books to yourtoe-your maileaddress, mail address, because because I don’tIknow don’twhat knowcomes what comes next, and next, myand computer my computer may bemay lostbe somewhere lost somewhere in these in events,” these events,” wrote wrote my colleague, my colleague, adding: adding: “We are “We well areacquainted well acquainted with the with fatethe of fate manuscripts of manuscripts in wartime.” in wartime.”

I sent aI sent positive a positive response response and and thanked thanked him for him trusting for trusting me with mehis with unfi his nished unfinished work. work.

It wasItonly wasthen only that thenI that checked I checked the news: the news: an all-an outallinvasion out invasion of of Ukraine Ukraine had begun, had begun, with cities withfrom citiesKyiv fromtoKyiv Dnipro to Dnipro to my native to my native Zapor-Zaporizhia attacked izhia attacked

by Russian

by Russian missiles. missiles.

It was Itsurreal. was surreal.

I calledI called my sister my in sister in Zaporizhia.

Zaporizhia.

She was She awake. was awake.

Explosions Explosions were being were being heard in heard partinofpart the of the city, thankfully city, thankfully distantdistant from the from quarter the quarter where where she lived she in lived ourinparour parents’ house. ents’ house.

She was She calm. was The calm. previous The previous night Inight had called I had called and advised and advised her to her buytoenough buy enough gasoline gasoline for herfor car. herShe car.did She notdid follow not follow my advice, my advice, believing, believing, like almost like almost everyone everyone in Ukraine, in Ukraine, that a that large-a scale large-war scalewas war was an impossibility. an impossibility.

Now war Nowhad war begun, had begun, and neither and neither of us was of usprepared was prepared for it. We for it. would We would have tohave taketoone take day one at day a time. at a Itime. would I would be calling be calling her her twice daily, twice morning daily, morning and evening. and evening.

AlwaysAlways the same the questions: same questions: How How was last was night? last night?

How was Howyour wasday? yourThe day?meaning The meaning of “good of “good night”night” and and “good “good day” had day” suddenly had suddenly changed. changed.

Any day Any or day night or with nightsirens with sirens but nobut no missilemissile attacksattacks or bombings or bombings was good. was good.

On that Onfirst thatmorning first morning I put on I put a white on a shirt whiteand shirta and blazer. a blazer.

Since ISince I was going was going to the to archives the archives of the of International the International AtomicAtomic EnergyEnergy Agency, Agency, where where I was Iresearching was researching the international the international historyhistory of the ofChernobyl the Chernobyl

Pr eface Pr eface xix xix nuclear nuclear disaster disaster of 1986, of the 1986, choice the choice of outfioft was outfiunusual, t was unusual, if not downif not downright strange. right strange.

But I overdressed But I overdressed on purpose on purpose to show to by show my by appearance my appearance that I was that collected I was collected and prepared and prepared to carry to out carry myout duties, my duties, whatever whatever they they might might be in be wartime in wartime conditions, conditions, no matter no matter the news the from news the from front the front lines. My lines. inspiration My inspiration was the was diary theof diary George of George F. Kennan, F. Kennan, the renowned the renowned American American diplomat diplomat and international and international relations relations expert.expert.

On waking On waking up to up to the news theof news Hitler’s of Hitler’s attack attack on Czechoslovakia on Czechoslovakia in March in March 1939, he 1939, shaved he shaved meticulously meticulously not to not givetoangive impression an impression of a “harried of a “harried appearance.” appearance.”

He He was determined was determined to perform to perform his functions his functions as a diplomat, as a diplomat, no matter no matter what. what.

At the At archives, the archives, peoplepeople lookedlooked at me at with meevident with evident sympathy. sympathy.

“I am “I am sorry about sorry about what iswhat happening is happening to yourtocountry,” your country,” one ofone the of archivists the archivists told me. told The me. words The words implied implied that the that endthe was end near: wasthe near: country the country would would be be taken over, takenifover, not today, if not then today,tomorrow. then tomorrow.

Had I dressed Had I dressed up for up its funeral? for its funeral?

I hoped I hoped not butnot didbut notdid know not what knowtowhat expect. to expect.

Later that Later day, that a photograday, a photographer from pherthe from Neue theZürcher Neue Zürcher ZeitungZeitung showedshowed up in my up offi in my ce at offi the ceVienna at the Vienna InstitutInstitut für diefür Wissenschaften die Wissenschaften vom Menschen vom Menschen to taketoa photo take a of photo me for of me for an interview an interview conducted conducted a few days a fewearlier. days earlier.

The image The image that appeared that appeared in the in the newspaper newspaper showedshowed me disheveled, me disheveled, my hair myblown hair blown by the by wind the in wind every in every direction, direction, but wearing but wearing my white my shirt whiteand shirt looking and looking sad butsad determined. but determined.

In the In interview the interview that I had thatgiven I had The given New TheYorker New Yorker a few days a fewearlier, days earlier, I pre- I predicted dicted that the that Ukrainians the Ukrainians would would fight. “I fight. don’t“Iknow don’t when know and when how,” and Ihow,” I 1 1 told thetold reporter, the reporter, “but I have “but Ino have doubt no that doubt there thatwill there bewill resistance.” be resistance.”

The events The events of the of subsequent the subsequent days and daysweeks and weeks showed showed that I that had I had guessed guessed right in right predicting in predicting resistance, resistance, but I could but I not could have notimagined have imagined its its scope, scope, or the or scope the of scope the of coming the coming war itself. war The itself.invasion, The invasion, which which Putin Putin called called a “military a “military operation” operation” that was thatsupposed was supposed to last to a few last days, a few or days, a or a few weeks few weeks at most, at turned most, turned into the into greatest the greatest conventional conventional war inwar Europe in Europe since 1945. sinceIt1945. has claimed It has claimed tens oftens thousands of thousands of livesofoflives menofand men women, and women, many of many them of innocent them innocent civilians, civilians, and created and created the largest the largest refugee refugee crisis crisis in Europe, in Europe, once again once since again the since end theofend World of World War II.War In the II. In following the following months, months, the number the number of women, of women, children, children, and elderly and elderly who fled who thefled fightthe fighting in ing Ukraine in Ukraine reached reached a total aoftotal twelve of twelve millionmillion people,people, and those and who those who found found refugerefuge in the in countries the countries of Eastern of Eastern and Central and Central EuropeEurope exceeded exceeded five million. five million.

Nuclear Nuclear sites like sites Chernobyl like Chernobyl and the and nuclear the nuclear power power plants plants

xx Pr xxeface Pr eface

in Zaporizhia, in Zaporizhia, the largest the largest in Europe, in Europe, became became new battlegrounds, new battlegrounds, and and there were thereveiled were veiled threatsthreats of the of usethe of use nuclear of nuclear weapons. weapons.

How did How alldid thisallhappen? this happen?

Neither Neither emotionally emotionally nor professionally nor professionally was I ready was I to ready think to through think through and explain and explain to myself to myself and others and others what was what was going going on as aonresult as a result of Russia’s of Russia’s unprovoked unprovoked aggression. aggression.

Madness Madness and and criminality criminality seemed seemed the only therational only rational explanations. explanations.

But asBut theas media the media kept reaching kept reaching out to out me to forme commentary, for commentary, I felt that I feltI could that I not could refuse, not refuse, as my as words my words might might actually actually have some have impact some impact on theon course the course of events. of events.

I realized I realized that asthat a historian as a historian I couldI off could er something offer something that others that others lackedlacked when it when cameit to came understanding to understanding the largest the largest military military conflict confl in Europe ict in Europe since World since World War II.War Eventually II. Eventually I convinced I convinced myselfmyself that, tothat, rephrase to rephrase Winston Winston Churchill, Churchill, historians historians are theareworst the worst interpreters interpreters of current of current eventsevents exceptexcept everyone everyone else. else.

As a historian, As a historian, I did my I did best mytobest put to theput developments the developments unfolding unfolding in in front of front me of and methe and world the world at large at in large historical in historical and comparative and comparative per- perspective. spective.

What made What made such asuch war aofwar aggression of aggression possible? possible?

What made What made the Ukrainians the Ukrainians resist resist as theyasdid theyand didare and continuing are continuing to do?toFinally, do? Finally, what will what bewill thebe most theimportant most important consequences consequences of the of war the forwar Ukraine, for Ukraine, Russia,Russia, Europe, Europe, and the and world? the world?

These These were the were questions the questions that I asked that I asked myselfmyself as I slowly as I slowly recovered recovered from the fromshock the shock of the offirst thedays first ofdays the of the aggression aggression and began and began relearning relearning to think to think analytically. analytically.

I also Itried also to tried to identify identify signs of signs the coming of the coming Russo-RussoUkrainian Ukrainian war that war wethat hadwe failed had to failed to recognize recognize at the time, at the engaging time, engaging in wishful in wishful thinking thinking instead. instead.

In theIn minds the minds of many of many of us, of history us, history had reached had reached its enditswith endthe with the fall of fall the of Berlin the Berlin Wall, ifWall, not in if not Francis in Francis Fukuyama’s Fukuyama’s understanding understanding of of that fall that as fall the as ultimate the ultimate victoryvictory of liberal of liberal democracy democracy as a form as aof form politiof political order, cal order, then inthen the conviction in the conviction that despite that despite continuing continuing rivalryrivalry between between great powers, great powers, unprovoked unprovoked invasions invasions followed followed by territorial by territorial annexations annexations and largeand scale large-military scale military actionsactions had been had relegated been relegated to the to past. theThere past. There had been had clear been signs clear to signs the to contrary— the contrary— the wars thein wars Chechnya, in Chechnya, the for-the former Yugoslavia, mer Yugoslavia, and then andAfghanistan then Afghanistan and Iraq— and Iraq— but webut preferred we preferred to to ignoreignore them. them.

The rise Theofrise populism of populism and authoritarian and authoritarian regimes, regimes, as wellas well as authoritarian as authoritarian tendencies tendencies in democratic in democratic nations, nations, suggested suggested parallels parallels with the with 1930s, the 1930s, but most butof most us brushed of us brushed them aside. them aside.

Pr eface Pr eface xxi xxi History History is nowisback nowwith backa with vengeance, a vengeance, displaying displaying its worst its features worst features and opening and opening its most its fearsome most fearsome pages,pages, filled with filled scenes with scenes of violence of violence and destruction. and destruction.

We know We what knowhappened what happened as a result as a result of the of rise the ofrise dic- of dictatorships tatorships in Europe in Europe on theon evethe of eve World of World War II,War andII, weand canwe now caneasily now easily imagine imagine where where the rise theofrise authoritarianism of authoritarianism in Europe, in Europe, Eurasia, Eurasia, and and elsewhere elsewhere may lead maytoday. lead today.

It is time It istotime learn to from learn history from history by putting by putting current current eventsevents into context, into context, both historical both historical and geopolitical, and geopolitical, to underto understand their standroots, their predict roots, predict outcomes, outcomes, and tryand to end try to the end violence. the violence.

In thisInbook this Ibook take Ia take longue a longue durée approach durée approach to understanding to understanding the the current current war. I war. decline I decline the temptation the temptation to identify to identify the date theofdate February of February 24, 2022, 24, 2022, as its beginning, as its beginning, no matter no matter the shock the shock and drama and drama of the of all-the allout Russian out Russian assaultassault on Ukraine, on Ukraine, for theforsimple the simple reasonreason that the thatwar the war began began eight years eight earlier, years earlier, on February on February 27, 2014, 27, 2014, when Russian when Russian armedarmed forces forces seizedseized the building the building of theofCrimean the Crimean parliament. parliament.

Two sets Twoofsets of agreements, agreements, called called MinskMinsk I and Minsk I and Minsk II, ended II, ended that stage that of stage the of war the war in diplomatic in diplomatic terms terms a year alater, year in later, February in February 2015. Nevertheless, 2015. Nevertheless, an an undeclared undeclared war involving war involving shelling shelling and shooting and shooting acrossacross the demarcathe demarcation line tion inline Ukraine’s in Ukraine’s Donbas Donbas regionregion continued continued for thefor next theseven next years, seven years, killingkilling more than more14,000 than 14,000 Ukrainians Ukrainians but attracting but attracting little international little international attention. attention.

That phase That phase ended ended with Russia’s with Russia’s formalformal withdrawal withdrawal from the from the MinskMinsk agreements agreements and the and start theofstart its allof its outallinvasion out invasion of Ukraine of Ukraine in in February February 2022. 2022.

In the In pages the that pages follow that follow I discuss I discuss the current the current war, itswar, origins, its origins, course,course, and the and already the already apparent apparent and possible and possible futurefuture consequences. consequences.

As I show As I show here, the here, roots theofroots the current of the current war arewar to be arefound to be found in the in history the history of impeof imperial collapse rial collapse in theinnineteenth the nineteenth and twentieth and twentieth centuries, centuries, which which also also produced produced the keythe ideas key that ideashave thatfueled have fueled the current the current conflict. confl Myict. basic My basic argument argument is that is what thatwe what seewe today see is today not an is not entirely an entirely new phenomenon. new phenomenon.

In many In ways, many the ways, current the current conflictconfl is an ictoldis an fashioned old-fashioned imperial imperial war conwar conductedducted

by Russian

by Russian elites who elitessee who themselves see themselves as heirs as and heirscontinuators and continuators of the greatof thepower great-power expansionist expansionist traditions traditions of the Russian of the Russian EmpireEmpire and theand the Soviet Soviet Union.Union.

On Ukraine’s On Ukraine’s part it part is first it is and first foremost and foremost a war of a war indepenof independence,dence, a desperate a desperate attempt attempt on behalf on behalf of a new of anation new nation that emerged that emerged from from the ruins the of ruins the Soviet of the Soviet collapse collapse to defend to defend its right itstoright existence. to existence.

xxii Pr xxiieface Pr eface

Despite Despite its imperial its imperial roots, the roots, current the current war is war being is waged being waged in a new in a new international international environment environment defined defi byned the by proliferation the proliferation of nuclear of nuclear weap- weapons, the ons, disintegration the disintegration of the of post– the Cold post–War Coldinternational War international order, order, and and an unprecedented an unprecedented resurgence resurgence of populist of populist nationalism, nationalism, last seen lastinseen the in the 1930s,1930s, throughout throughout the world. the world.

The war The clearly war clearly indicates indicates that Europe that Europe and and the world the have worldall have butall spent but the spent peace the dividend peace dividend resulting resulting from the from col-the collapse of lapse the of Berlin the Berlin Wall inWall 1989 inand 1989 areand entering are entering a new,aasnew, yet undeteras yet undetermined,mined, era. A era. newAworld new order, world order, possibly possibly replicating replicating the bipolar the bipolar world of world of the Cold theWar Coldera, Waris era, being is being forgedforged in the in flames the flof ames the of current the current war. Atwar. At the time theoftime writing of writing that war thatis war not is over, notand over,weand do we notdo yetnot know yet what know what its endits will end bring. will bring.

But it is But quite it is clear quiteeven cleartoday even that todaythe that future the future of the of the world world in which in which we andweour and children our children and grandchildren and grandchildren will bewill living be living depends depends greatlygreatly on its outcome. on its outcome.

T HT E HREU SRSUOS -SU OK- U RK AR I NAIIANN I AW NA W RAR

1 I M PER I A L COLL A PSE

I

t was 7:00 p.m. Moscow time on Christmas Day, December 25, 1991. Mikhail Gorbachev, the former general secretary of the Communist Party of the USSR and soon to be the former president of the Soviet Union, sat at the desk in his Kremlin office and read a prepared statement in front of television cameras.

Gorbachev addressed his listeners as “dear compatriots and fellow citizens.” In fact, he was speaking to the entire world: CNN was broadcasting his brief address live. The Soviet leader was stepping down as president of the USSR. At 7:12 p.m., when Gorbachev finished speaking, the Soviet Union officially ceased to exist. The communist regime, which had managed to save the Russian empire of the tsars from collapse, grown into a superpower, and threatened the world with nuclear annihilation, was no more. The red banner over the Kremlin was lowered less than half an hour later, to be replaced with the white, blue, and red banner of the Russian Federation, similar to the tricolor flag of the Russian Empire before its collapse in the Revolution of 1917.1 In his twelve-minute speech, the president of the Union of the Soviet

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Socialist Socialist Republics, Republics, knownknown all overallthe over world the as world the USSR, as the USSR, declared declared that that he washe resigning was resigning for “reasons for “reasons of principle.” of principle.”

He hadHe striven had striven to maintain to maintain “the Union “the Union state and state integrity and integrity of the of country” the country” but was but unable was unable to do so. to do so.

“Events “Events took another took another course.course.

What prevailed What prevailed was the was tendency the tendency to divide to divide the country the country and dismember and dismember the state, thewith state,which with which I cannot I cannot agree.”agree.”

Gor- Gorbachevbachev was resigning was resigning as president as president of a country of a country whosewhose legal existence legal existence was already was already at an end. at anItend. had It been haddissolved been dissolved by the by leaders the leaders of the fi offteen the fifteen 2 2 UnionUnion republics republics constituting constituting the USSR the USSR earlierearlier that month. that month.

While While the disintegration the disintegration of the of Soviet the Soviet UnionUnion had been had underway been underway for some for time, some ittime, became it became irreversible irreversible on December on December 1, 1991, 1, when 1991, the when the citizens citizens of Ukraine, of Ukraine, the Union’s the Union’s secondsecondlargestlargest republic republic after Russia, after Russia, went towent the polls to thetopolls decide to decide whether whether they wanted they wanted their country their country to become to become independent. independent.

The turnout The turnout exceeded exceeded 84 percent 84 percent of eligible of eligible voters,voters, and and more than more92 than percent 92 percent of them of chose them chose independence. independence.

Even residents Even residents of of the Ukrainian the Ukrainian Donbas Donbas (Donets (Donets Basin),Basin), adjoining adjoining Russia’s Russia’s western western bor- border, voted der, for voted independence for independence by a margin by a margin of almost of almost 84 percent.

84 percent.

In theIn the Crimea, Crimea, the only theregion only region of Ukraine of Ukraine with awith majority a majority Russian Russian populapopulation, 54 tion, percent 54 percent supported supported independence. independence.

Sevastopol, Sevastopol, the home the port homeofport of the Black the Sea Black Fleet, Sea did Fleet, even didbetter, even better, registering registering 57 percent 57 percent support support for for 3 3 Ukrainian Ukrainian independence. independence.

The vote Thecame vote as came a shock as a shock to Gorbachev to Gorbachev but notbut to not President to President Boris Boris YeltsinYeltsin of Russia, of Russia, Gorbachev’s Gorbachev’s onetime onetime protégéprotégé and then andhis then challenger his challenger and rival. and Yeltsin rival. Yeltsin had been had briefed been briefed on theon likely the outcome likely outcome a few adays few days earlierearlier by his by adviser his adviser GalinaGalina Starovoitova, Starovoitova, an anthropologist an anthropologist and proand prodemocracy democracy activist. activist.

On hearing On hearing the projections, the projections, YeltsinYeltsin was increduwas incredulous. “It lous. cannot “It cannot be true!” be true!” was his was first hisreaction. first reaction.

“This “This is our is fraternal our fraternal Slavic Slavic republic! republic!

There There are 30are percent 30 percent Russians Russians there. there.

The Crimea The Crimea is is Russian!

Russian!

All theAll people the people living living east ofeast the Dnieper of the Dnieper gravitate gravitate towardtoward Rus- Russia!” Itsia!” tookItclose took to close 40 minutes to 40 minutes for Starovoitova for Starovoitova to convince to convince her boss her boss that the that polling the polling data were datapointing were pointing in onein direction one direction and one and direction one direction only, an only, overwhelming an overwhelming vote for vote independence. for independence.

YeltsinYeltsin made made his decihis decision on sion theonspot: the he spot: would he would recognize recognize Ukrainian Ukrainian independence independence and and meet with meet the with soonthetosoonbe-elected to-be-elected president president of Ukraine, of Ukraine, LeonidLeonid Krav- Krav-

Imperial Imperial Coll apse Coll apse 3 3 chuk, chuk, to forge to an forge alliance an alliance and a new and aunion new union different difffrom erent the from one the ledone led 4 4

by Mikhail

by Mikhail Gorbachev.

Gorbachev.

The meeting The meeting took place tookon place December on December 7 and continued 7 and continued into the into next the next day at day the Belavezha at the Belavezha hunting hunting grounds grounds on theon Belarusianthe BelarusianPolishPolish border.border.

The Belarusian The Belarusian leaders, leaders, including including the head theofhead the republic’s of the republic’s parliament, parliament, Stanislav Stanislav Shushkevich, Shushkevich, hostedhosted the Russian the Russian and Ukrainian and Ukrainian presidents, presidents, who decided who decided the fate the offate the of USSR. the USSR. Once Kravchuk Once Kravchuk refused refused to jointothe join the reformed reformed UnionUnion proposed proposed

by Gorbachev,

by Gorbachev, Yeltsin’s Yeltsin’s aide Gennadii aide Gennadii Bur- Burbulis proposed bulis proposed to dissolve to dissolve the USSR the USSR altogether. altogether.

Frightened Frightened by this,bythe this, the head of head the of Belarusian the Belarusian KGB reported KGB reported the treasonous the treasonous proposal proposal to his to his bossesbosses in Moscow, in Moscow, but there butwas there nowas active no response— active response— by thatby time, thatGortime, Gorbachevbachev had few had remaining few remaining supporters supporters in the in Soviet the Soviet capital.capital.

The Soviet The Soviet UnionUnion was replaced was replaced by theby Commonwealth the Commonwealth of Independent of Independent States,States, a a regional regional international international organization organization rather rather than athan new astate. new Less state.than Less than two weeks two weeks later, the later, leaders the leaders of the of Central the Central Asian Asian republics republics joinedjoined the the Commonwealth Commonwealth as its as founding its founding members. members.

Now Gorbachev Now Gorbachev had nohad no allies in allies the in republics the republics either.either.

Bowing Bowing to the to inevitable, the inevitable, he resigned he resigned on on December December 25, 1991.

25,5 1991.5 Gorbachev’s Gorbachev’s foreignforeignpolicy policy aide, Anatolii aide, Anatolii Cherniaev, Cherniaev, who was whoalso was also the principal the principal drafterdrafter of his of superior’s his superior’s resignation resignation speech, speech, later wrote later wrote in his in assessment his assessment of the of Soviet the Soviet Union’s Union’s last year lastofyear existence: of existence: “What“What actually actually went on went with onthe with USSR the USSR that year thatwas yearwhat was happened what happened ‘at the‘at the appointed appointed time’ to time’ other to empires other empires when the when potential the potential allotted allotted to them to them by history by history expired.” expired.”

The fall The of fall empires of empires was very wasmuch very much on Cherniaev’s on Cherniaev’s mind when mind he when introduced he introduced such phrases such phrases as “What as “What is mostis ruinous most ruinous in in this crisis thisis crisis the disintegration is the disintegration of statehood” of statehood” and “We andare “We heirs aretoheirs a great to a great civilization” civilization” into the into draft the of draft Gorbachev’s of Gorbachev’s speech. speech.

But heBut alsoheadmitalso admitted theted futility the futility of any of attempt any attempt to savetothe save failing the failing empire. empire.

“Gorbachev’s “Gorbachev’s effortseff toorts rescue to rescue the Union the Union are hopeless are hopeless spasms,” spasms,” wrote wrote Cherniaev Cherniaev in in his diary his in diary November in November 1991, going 1991, going on to observe: on to observe: “And yet “And it would yet it would all all have blown have blown over were overitwere not for it not Ukraine, for Ukraine, for thefor Crimea, the Crimea, which which cannotcannot 6 6 be returned.” be returned.”

The Soviet The Soviet UnionUnion fell onfell account on account of the ofUkrainian the Ukrainian referendum, referendum,

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when when after some after hesitation some hesitation the Ukrainians the Ukrainians decided decided to put totheput questhe question oftion their ofindependence their independence to a vote. to aGorbachev vote. Gorbachev arguedargued in favor in of favor an of an all-Union all-Union referendum referendum on theon fate the offate the of USSR, the USSR, but there but was therenowas referno referendumendum in anyin other any republic. other republic.

Most of Most them, of them, including including Russia,Russia, simplysimply accepted accepted the results the results of the of Ukrainian the Ukrainian referendum referendum as a verdict as a verdict not only not only on theon independence the independence of the of Ukrainian the Ukrainian republic republic but also butonalso theon future the future of the USSR. of the USSR. Neither Neither Gorbachev Gorbachev nor Yeltsin nor Yeltsin imagined imagined the Soviet the Soviet UnionUnion without without its secondits secondlargestlargest republic, republic, a key aelement key element of Russian of Russian impe- imperial and rialSoviet and Soviet historyhistory and mythology. and mythology.

Restoring Restoring the imperial the imperial projectproject in anyinform any would form would dependdepend on Russia’s on Russia’s ability ability to bring to bring Ukraine Ukraine back back into the into fold. the“Without fold. “Without Ukraine, Ukraine, RussiaRussia ceasesceases to be an to be empire, an empire, but but with Ukraine with Ukraine suborned suborned and then andsubordinated, then subordinated, RussiaRussia automatically automatically becomes becomes an empire,” an empire,” remarked remarked Zbigniew Zbigniew Brzezinski Brzezinski a few years a few later. years7 later.7

The Myth The Myth of Origins of Origins Most Russians Most Russians believebelieve today, today, as theyashave theybelieved have believed for centuries, for centuries, that that their state theirand state nation and nation originated originated in Kyivin(in Kyiv the(in Russian the Russian version, version, “Kiev”), “Kiev”), the center the center of the of medieval the medieval polity polity that historians that historians call Kyivan call Kyivan Rus’. CenRus’. Centered on tered today’s on today’s Ukrainian Ukrainian capital,capital, it encompassed it encompassed a goodapart goodofpart whatof what is nowisUkraine, now Ukraine, Belarus, Belarus, and European and European Russia.Russia.

KyivanKyivan Rus’, formed Rus’, formed in in the tenth the century, tenth century, fell under fell under the blows the of blows the Mongols of the Mongols in the in thirteenth the thirteenth century, century, but not butbefore not before givinggiving birth to birth numerous to numerous semi-independent semi-independent polities. polities.

The most Thepowerful most powerful of them of were themGaliciawere GaliciaVolhynia Volhynia in presentin presentday Ukraine day Ukraine and southern and southern Belarus; Belarus; Great Novgorod Great Novgorod or the or Novgorodian the Novgorodian republic republic in the in northwestern the northwestern lands of lands the former of the former KyivanKyivan realm;realm; and the and the principality principality of Vladimir— of Vladimir— later Moscow later Moscow in its northeastern in its northeastern part—part— the the 8 8 historical historical core ofcore modern of modern Russia.Russia.

The Russians The Russians can indeed can indeed trace back trace toback Kyivtothe Kyivorigins the origins of their of their religion, religion, writtenwritten language, language, literature, literature, arts, law arts,code, law and— code, and— extremely extremely important important in the in premodern the premodern era—their era—ruling their ruling dynasty. dynasty.

Their attempts Their attempts to claim to Kyiv claimasKyiv the source as the source of theirofethnicity, their ethnicity, language, language, and popular and popular cul- culture turned ture turned out to be outmore to beproblematic. more problematic.

Travelers Travelers from Moscow from Moscow and St.and St. Petersburg Petersburg found found that the that locals the in locals Kyivinand Kyiv environs and environs spoke spoke a language a language

Imperial Imperial Coll apse Coll apse 5 5 different difffrom erenttheirs, from theirs, sang diff sang erent diffsongs, erent songs, and had and a distinct had a distinct culture. culture.

But that Butdid that notdid matter not matter too much, too much, as the as myth the of myth Russia’s of Russia’s KyivanKyivan ori- origins had ginsalready had already embedded embedded itself in itself the in consciousness the consciousness of the of Russian the Russian 9 9 elites by elites the by latethe fifteenth late fifteenth century. century.

The origins The origins of thatofmyth that go myth back gotoback the to midthefifteenth mid-fifteenth century, century, the the earliestearliest years of years the Grand of the Grand Principality Principality of Moscow, of Moscow, later known later known as Musas Muscovy, as covy, an independent as an independent state. Its state. founder Its founder was Ivan wasthe Ivan Great, the Great, the ruler the ruler of Moscow of Moscow and one and of one the many of the descendants many descendants of the Kyivan of the Kyivan princesprinces who who established established Moscow’s Moscow’s rule over rulea over hugea realm huge realm extending extending from Nizhnii from Nizhnii Novgorod Novgorod in the in east thetoeast Great to Great Novgorod, Novgorod, or simply or simply Novgorod, Novgorod, in the in the west. It west. wasItinwas the in midst the midst of Ivan’s of Ivan’s war against war against Novgorod, Novgorod, one ofone the of the heirs of heirs Kyivan of Kyivan Rus’, that Rus’, the that myth the of myth Russia’s of Russia’s KyivanKyivan originsorigins was born, was born, originally originally as a dynastic as a dynastic claim.claim.

Ivan declared Ivan declared himself himself the heir theofheir the of the KyivanKyivan princes, princes, claiming claiming the right the to right ruletoNovgorod rule Novgorod on thatonbasis. that basis.

He He defeated defeated the Novgorodians the Novgorodians at the Battle at the Battle of Shelon of Shelon in 1471inand 1471 absorbed and absorbed the republic the republic into his into realm his realm in 1478. in The 1478.independent The independent Russian Russian state, state, born ofborn the struggle of the struggle between between Moscow Moscow and Novgorod, and Novgorod, resulted resulted from the from the victoryvictory of authoritarianism of authoritarianism over democracy. over democracy.

Ivan’s Ivan’s military military victoryvictory over the over Novgorodians the Novgorodians also made also him madecomhim completelypletely independent independent of the ofTatar the khans, Tatar khans, descendants descendants of the ofMongol the Mongol Empire, Empire, whosewhose rule over ruleMuscovy over Muscovy gradually gradually became became ever more ever nomimore nominal. The nal.Tatars The Tatars tried totried prevent to prevent Ivan from Ivantaking from taking Novgorod— Novgorod— ironically ironically enough, enough, protecting protecting Russian Russian democracy— democracy— but failed but and failed had and tohad retreat. to retreat.

The conquest The conquest of Novgorod of Novgorod also symbolized also symbolized the victory the victory of Ivan’s of dynastic Ivan’s dynastic claim to claim be the to be sole the legitimate sole legitimate heir ofheir the Kyivan of the Kyivan princes. princes.

In the In coming the coming years he years would he would use that usestatus that status again and again again and to again claim to more claim Russian, more Russian, Ukrainian, Ukrainian, and Belarusian and Belarusian lands. lands.

The powerful The powerful historical historical myth of myth the of the Russian Russian dynasty’s dynasty’s KyivanKyivan originsorigins underlay underlay the policy the policy of newly of newly indepenindepen10 10 dent Muscovy— dent Muscovy— a policy a policy of conquest. of conquest.

Ivan III Ivan wasIIIthe was first theruler first of ruler Muscovy of Muscovy who tried who to tried calltohimself call himself “tsar,” “tsar,” a European a European word meaning word meaning “emperor,” “emperor,” or ruler orof ruler rulers, of rulers, derivedderived from the fromname the name of Julius of Julius Caesar.Caesar.

But the Butfirst the ruler first actually ruler actually to be to be crowned crowned tsar was tsar hiswas grandson, his grandson, Ivan the Ivan Terrible. the Terrible.

Ivan III Ivan passed III passed on to on to his heir hisnot heir only notthe only authoritarian the authoritarian institution institution of princely of princely power,power, which which

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the grandson the grandson successfully successfully turnedturned into a into forma of form tyranny, of tyranny, but also butthe also the myth of myth Kyivan of Kyivan origins. origins.

Ivan IV Ivan (theIVTerrible) (the Terrible) claimed claimed to be atodescenbe a descendant ofdant Emperor of Emperor Augustus, Augustus, a genealogical a genealogical link that linkhethat tried he to tried trace to trace back through back through the princes the princes of KyivoftoKyiv the to emperors the emperors of Byzantium of Byzantium and and their Roman their Roman predecessors. predecessors.

He also Hesought also sought to increase to increase the Muscovite the Muscovite realm realm beyondbeyond his grandfather’s his grandfather’s possessions. possessions.

In theIn 1550s the Ivan 1550sIV Ivan conquered IV conquered the khanates the khanates of Kazan of Kazan and Astraand Astrakhan, khan, which,which, like Muscovy like Muscovy itself, itself, were successor were successor states states of theofonce the once mightymighty Mongol Mongol empire. empire.

He would He would count the count years theof years his rule of hisasrule master as master of the khanates of the khanates of Muscovy, of Muscovy, Kazan,Kazan, and Astrakhan and Astrakhan separately, separately, indicating indicating his conquest his conquest of these of Volga these khanates Volga khanates as the as keythe achievement key achievement justifying justifying his claim his to claim the title to the oftitle tsar.ofHaving tsar. Having subdued subdued those khanates, those khanates, he turned he turned west, trying west, trying to reach to the reach Baltic the Baltic Sea and Seafighting and fighting a ground a ground war against war against the Grand the Grand DuchyDuchy of Lithuania of Lithuania on the on territory the territory of today’s of today’s Baltic states Baltic and states and Belarus— Belarus— other parts otherof parts the once of themighty once mighty KyivanKyivan Rus’. But Rus’.

Ivan’s But attempt Ivan’s attempt to extend to extend Muscovy’s Muscovy’s rule westward rule westward failed in failed the in midst the midst of the of Livonian the Livonian War (1558– War 83) (1558– in which 83) in which Muscovy Muscovy was confronted was confronted by the by coalition the coalition of the of the 11 11 states that states included that included PolandPolandLithuania, Lithuania, Sweden, Sweden, and Denmark. and Denmark.

The seventeenth The seventeenth century century began began with the with capture the capture of Moscow of Moscow

by Pol-by Polish troops ish troops and their andallies, their allies, the Ukrainian the Ukrainian Cossacks.

Cossacks.

During During this “Time this “Time of Troubles” of Troubles” and inand its aftermath, in its aftermath, Muscovy Muscovy separated separated itself from itself Kyiv from Kyiv and the and Ukrainian the Ukrainian and Belarusian and Belarusian lands lands not only notpolitically only politically but also but also in religion. in religion.

The Muscovites The Muscovites no longer no longer regarded regarded the Kyivans the Kyivans as fellow as fellow Orthodox Orthodox believers, believers, claiming claiming that they thathad theybeen had corrupted been corrupted by acceptby accepting theing rule theofrule Catholic of Catholic kings and kings becoming and becoming open toopen the West. to the Defeated West. Defeated on theon battlefi the battlefi eld andeldundermined and undermined by internal by internal strife, strife, Muscovy Muscovy pausedpaused in its obsession in its obsession with Kyiv, withits Kyiv, history, its history, and the and justifi the cation justification it provided it provided for further for further conquest. conquest.

But this But was this a relatively was a relatively short intermission short intermission rather rather than the than end the ofend the of imperial the imperial show.12show.12 One ofOne the outcomes of the outcomes of the sixteenthof the sixteenthcentury century Livonian Livonian War, lost War, bylost by Ivan the Ivan Terrible, the Terrible, had been hadthe been union the union of the of Kingdom the Kingdom of Poland of Poland with with the Grand the Grand DuchyDuchy of Lithuania, of Lithuania, comprising comprising the latter’s the latter’s Ukrainian Ukrainian and and Belarusian Belarusian lands, lands, in the face in the offace the Muscovite of the Muscovite threat.threat.

The Union The Union of Lub-of Lublin (1569) lin (1569) established established the Polishthe PolishLithuanian Lithuanian Commonwealth, Commonwealth, an early an early

Imperial Imperial Coll apse Coll apse 7 7 modern modern state with statelimited with limited royal power royal power and strong and strong centralcentral and local andparlocal parliaments liaments or diets. or diets.

As part Asofpart the of Commonwealth the Commonwealth deal, Poland deal, Poland estab- established lished its control its control over Ukraine over Ukraine and Kyiv, and while Kyiv, while the Belarusian the Belarusian lands lands remained remained withinwithin the Grand the Grand DuchyDuchy of Lithuania. of Lithuania.

This division This division would would play a play key role a keyinrole the in development the development of modern of modern Ukrainians Ukrainians and Belaruand Belaru13 13 sians as sians separate as separate nationalities. nationalities.

The leading The leading role inrole the in formation the formation of modern of modern Ukraine Ukraine was played was played by the by Cossacks— the Cossacks— freemen freemen and runaway and runaway serfs who serfsemerged who emerged by the by latethe late sixteenth sixteenth century century as a powerful as a powerful military military force on force theon lower the Dnieper lower Dnieper in in the “nothe man’s “no-man’s land” between land” between the Kingdom the Kingdom of Poland of Poland and the and Crimean the Crimean Khanate, Khanate, one more one distant more distant relativerelative of the of Mongol the Mongol Empire.

Empire.

UnderUnder the the leadership leadership of their of commander, their commander, Hetman Hetman Bohdan Bohdan Khmelnytsky, Khmelnytsky, the the Cossacks Cossacks rebelled rebelled againstagainst PolishPolish rule inrule 1648, in seeking 1648, seeking to establish to establish their their political political freedoms freedoms as a social as a estate social and estate practice and practice their Orthodox their Orthodox religion religion unhindered. unhindered.

This bloody This bloody revolt, revolt, amongamong whosewhose victimsvictims were the were Jews theofJews of Ukraine, Ukraine, culminated culminated in the in establishment the establishment of a Cossack of a Cossack state. state.

The new Thestate newneeded state needed allies if allies it was if ittowas holdtoout hold against out against the overthe overwhelming whelming PolishPolish and Lithuanian and Lithuanian forces forces arrayed arrayed againstagainst it. After it. more After more than fithan ve years five of years warfare, of warfare, Khmelnytsky Khmelnytsky entered entered into aninto alliance an alliance with with Muscovy, Muscovy, recognizing recognizing the sovereignty the sovereignty of the of tsar theintsar exchange in exchange for hisfor his military military protection protection againstagainst Ukraine’s Ukraine’s enemies. enemies.

The deal Thewas dealstruck was struck between between Khmelnytsky Khmelnytsky and the andtsar’s the plenipotentiaries tsar’s plenipotentiaries in theinUkraithe Ukrainian city nianofcity Pereiaslav of Pereiaslav in January in January 1654. Muscovy’s 1654. Muscovy’s immediate immediate goal ingoal in entering entering the war theagainst war against the Polishthe PolishLithuanian Lithuanian Commonwealth Commonwealth was was the recovery the recovery of lands of lost lands tolost Poland to Poland duringduring the Time the of Time Troubles. of Troubles.

But But memories memories of the of Kyivan the Kyivan inheritance inheritance were soon wererevived, soon revived, and the and Ukraithe Ukrainian Orthodox nian Orthodox were once wereagain once considered again considered co-religionists. co-religionists.

The protecThe protection oftion Orthodox of Orthodox brethren brethren againstagainst the Polish the Polish Catholic Catholic kings kings and the and the revivalrevival of the Muscovite of the Muscovite dynasty’s dynasty’s KyivanKyivan roots became roots became the legitimizing the legitimizing watchwords watchwords of the of new thewestward new westward drive.14drive.14 In theIn nineteenth the nineteenth century century the Russian the Russian historians, historians, including including the the most infl most uential influential of them, of them, VasiliiVasilii Kliuchevsky, Kliuchevsky, claimed claimed that the that “gaththe “gathering ering of the ofRussian the Russian lands,”lands,” or theor“reunifi the “reunifi cation cation of Rus’of” Rus’ after” the after the Mongol Mongol invasion invasion by theby Moscow the Moscow princesprinces and then and the then tsars the was tsarsthe was the

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quintessential quintessential featurefeature of the of Russian the Russian historical historical process. process.

That interpreThat interpretation tation of history, of history, rootedrooted in thein myth the of myth Russia’s of Russia’s KyivanKyivan origins, origins, was was supposed supposed to culminate to culminate in theintriumphal the triumphal reunifireunifi cation cation of theofRus’ the Rus’ lands in lands onein Russian one Russian state, or state, “Russia, or “Russia, one and one indivisible.” and indivisible.”

According According to Kliuchevsky, to Kliuchevsky, that process that process had been had largely been largely completed completed by theby midthe mid15 15 nineteenth nineteenth century. century.

No element No element of the of reunifi the reunifi cation cation saga was sagaconsidered was considered more impormore important bytant the by imperial the imperial historians historians than the than establishment the establishment of Muscovy’s of Muscovy’s con- control over troleastern over eastern Ukraine Ukraine in the in midtheseventeenth mid-seventeenth century. century.

Their Soviet Their Soviet successors successors hailedhailed it as the it as “reunifi the “reunifi cation cation of Ukraine of Ukraine with Russia”— with Russia”— in in effect, eff theect, culmination the culmination of Ukrainian of Ukrainian historyhistory with its with complete its complete assimi-assimilation lation

by Russia.

by Russia.

Many Many Ukrainian Ukrainian historians, historians, for their forpart, theirreferred part, referred to to the “reunifi the “reunifi cation”cation” as a military as a military alliance, alliance, personal personal union,union, or evenorouteven outright subjugation. right subjugation.

The Poles The were Poles soon were defeated. soon defeated.

The Muscovites The Muscovites then moved then moved into into Belarus Belarus and established and established their garrisons their garrisons in Cossack in Cossack Ukraine, Ukraine, includ-including theing city theofcity Kyiv. ofThe Kyiv.lengthy The lengthy incorporation incorporation of the of Ukrainian the Ukrainian Cos- Cossack state sackinto statethe into Tsardom the Tsardom of Moscow, of Moscow, and the and encroachment the encroachment on what on what the Cossacks the Cossacks called called their “rights their “rights and freedoms”— and freedoms”— the elements the elements of theirof their democratic democratic political political culture— culture— had begun. had begun.

The Ukrainian The Ukrainian Cossack Cossack elites elites found found the new theconditions new conditions unacceptable, unacceptable, and inand 1708intheir 1708new theirhetman, new hetman, Ivan Mazepa, Ivan Mazepa, led a led revolt a revolt againstagainst the Muscovite the Muscovite tsar, subsequently tsar, subsequently emperor, emperor, Peter I. Peter It was I. ItPeter was who Peterwould who would changechange his country’s his country’s name name from Muscovy from Muscovy to Russia, to Russia, a name a name derivedderived from Byzantine from Byzantine Greek,Greek, and and proclaim proclaim the establishment the establishment of the of Russian the Russian EmpireEmpire in 1721. in 1721.

Mazepa Mazepa joinedjoined the advancing the advancing forces forces of KingofCharles King Charles XII of Sweden, XII of Sweden, only toonly be defeated to be defeated along with alonghis with new hisprotector new protector in the in Battle the Battle of Poltava of Poltava (1709),(1709), foughtfought in the in heart the of heart the of Ukrainian the Ukrainian Cossack Cossack lands. lands.

Moscow’s Moscow’s victoryvictory in thatinbattle that battle led to led triumph to triumph in the in Northern the Northern War (1721), War (1721), cata- catapultingpulting the Russian the Russian EmpireEmpire into the into position the position of a European of a European power power with with holdings holdings in the Baltics in the Baltics and Central and Central Europe, Europe, where where it reduced it reduced the Polishthe PolishLithuanian Lithuanian Commonwealth Commonwealth to its to de its facto de protectorate. facto protectorate.

In Ukraine, In Ukraine, Peter curtailed Peter curtailed Cossack Cossack autonomy autonomy by abolishing by abolishing the offithe ce of offihetman ce of hetman and placing and placing the Cossack the Cossack state, known state, known to historians to historians as the as Hetmanate, the Hetmanate,

Imperial Imperial Coll apse Coll apse 9 9 under under the jurisdiction the jurisdiction of a Russian of a Russian administrative administrative body called body called the Little the Little 16 16 Russian Russian Collegium.

Collegium.

Empress Empress Catherine Catherine II, whoII,ruled who from ruled1762 fromto1762 1796, to completed 1796, completed the the destruction destruction of the of Hetmanate the Hetmanate and the and integration the integration of the of Cossack the Cossack polity polity into theinto Russian the Russian Empire, Empire, which which she inherited she inherited from Peter fromI.Peter ThisI.was This comwas completed pleted in the in midst the of midst the Russoof the RussoTurkish Turkish wars ofwars the late of the eighteenth late eighteenth cen- century, which tury, which brought brought huge swaths huge swaths of territory of territory in what iniswhat today is southern today southern Ukraine Ukraine under under Russian Russian control.control.

The Crimea The Crimea was annexed, was annexed, and with andthe with the threat threat of Crimean of Crimean Tatar incursions Tatar incursions gone, there gone, was therenowas longer no longer any point any point in tolerating in tolerating the Ukrainian the Ukrainian Cossacks Cossacks and their anddemocratic their democratic institutions. institutions.

The Cossack The Cossack regiments regiments were integrated were integrated into the into Russian the Russian imperial imperial army, army, and theand lastthe of last the Cossack of the Cossack institutions institutions were eliminated were eliminated with the with Russian the Russian assaultassault on the on Zaporizhian the Zaporizhian Host (Army) Host (Army) in the lower in theDnipro lower Dnipro regionregion (1775). (1775).

In the In three the partitions three partitions of Poland, of Poland, Catherine Catherine claimed claimed all of Belarus all of Belarus and most andofmost the Ukrainian of the Ukrainian lands. lands.

She struck She struck a medal a medal on theon occasion the occasion of of the second the second partition partition of 1793, of its 1793, inscription its inscription reading reading Ottorzhennaia Ottorzhennaia voz- vozvratikhvratikh (I returned (I returned what was whattorn wasaway). torn away).

The reference The reference was once wasagain once again to the to lands the lands that had thatonce had belonged once belonged to the to Kyivan the Kyivan state. The state.UkraiThe Ukrainian territories, nian territories, whether whether previously previously ruled by ruled the by Cossacks the Cossacks or the or Poles, the Poles, with the with exception the exception of western of western Ukrainian Ukrainian lands that lands fell that to the fell Habsburg to the Habsburg monarchy, monarchy, were now werebrought now brought into the into Russian the Russian EmpireEmpire as mere as provmere provinces with incesno with particular no particular rights rights or privileges. or privileges.

The Cossacks, The Cossacks, with their withstate theirand state institutions, and institutions, were gone. were But gone. notBut not their memory. their memory.

In the In nineteenth the nineteenth century century that memory that memory would would become become a powerful a powerful instrument instrument in the in hands the hands of those of who thosecreated who created the modern the modern Ukrainian Ukrainian nation.nation.

They would They would produce produce a new Ukrainian a new Ukrainian anthem anthem begin-beginning with ningthe with words the words “Ukraine “Ukraine has nothas yetnot perished.” yet perished.”

The reference The reference was was to the to continuing the continuing existence existence of the of nation the nation in spite inofspite the of destruction the destruction of of 17 17 its spiritual its spiritual temple,temple, the Cossack the Cossack state. state.

The Ascent The Ascent of a Nation of a Nation Not until Notthe until nineteenth the nineteenth century century did thedid Russian the Russian EmpireEmpire encounter encounter an an enemyenemy that it could that it not could defeat. not defeat.

The name The of name the enemy of the enemy was nationalism. was nationalism.

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It came It fi came rst infitwo rst inPolish two Polish uprisings uprisings that rocked that rocked the Russian the Russian Empire.

Empire.

In the In long therun, longhowever, run, however, it was itUkrainian was Ukrainian nationalism, nationalism, awakened awakened by by the imperial the imperial campaigns campaigns to suppress to suppress PolishPolish mobilization, mobilization, that posed that posed the the main threat main threat to imperial to imperial Russian Russian statehood. statehood.

If the Poles If the resisted Poles resisted impe- imperial rule, rialthe rule, Ukrainians the Ukrainians threatened threatened the unity the of unity the of “reunifi the “reunifi ed” Cathed” Catherinianerinian empireempire by claiming by claiming an identity an identity distinct distinct from the from Russian. the Russian.

The Russian The Russian EmpireEmpire was confronted was confronted with the withnational the national question question by theby first thePolish first Polish uprising uprising in 1830– in 31.

1830– The31.Poles, The Poles, whosewhose multiethnic multiethnic state ofstate Polandof PolandLithuania Lithuania had been hadpartitioned been partitioned

by Russia,

by Russia, Prussia, Prussia, and and Habsburg Habsburg Austria Austria in the in second the second half ofhalf the of eighteenth the eighteenth century, century, raised raised the flag the offlmodern ag of modern nationalism nationalism againstagainst all theall partitioning the partitioning empires empires in in the early thenineteenth early nineteenth century. century.

They were Theythe were first thetoficome rst to up come with upthe with the idea that ideaa that nation a nation could strive could for strive political for political sovereignty sovereignty even ifeven it lacked if it lacked a statea apparatus. state apparatus.

That idea Thatwas ideaexpressed was expressed in theinopening the opening words words of of the Polish the Polish anthem, anthem, which which servedserved as a model as a model for thefor Ukrainian the Ukrainian hymn:hymn: 18 18 “Poland “Poland has nothas yetnot perished.” yet perished.”

The empire The empire struckstruck back byback forging by forging a model a model of Russian of Russian nationalism nationalism closelyclosely allied with alliedits with empire. its empire.

In 1832, Inin 1832, the in aftermath the aftermath of the of first thePolfirst Polish uprising, ish uprising, the newly the newly appointed appointed deputydeputy minister minister of education, of education, CountCount SergeiSergei Uvarov, Uvarov, proposed proposed a tripartite a tripartite formula formula to Emperor to Emperor Nicholas Nicholas I that I that could serve could as serve the as keystone the keystone of a new of aRussian new Russian identity identity to be forged to be forged by by the educational the educational system. system.

It consisted It consisted of three of concepts three concepts to which to which a loyala loyal subjectsubject of the of tsar the would tsar would have tohave subscribe: to subscribe: Orthodoxy, Orthodoxy, Autocracy, Autocracy, and and Nationality.

Nationality.

In the In past, theRussian past, Russian subjects subjects had been hadobliged been obliged to be loyal to be loyal to God,tothe God, Sovereign, the Sovereign, and the and Fatherland. the Fatherland.

Nationality, Nationality, which which replaced replaced the “fatherland,” the “fatherland,” was aswas much as much a reaction a reaction to rising to rising PolishPolish nationalism nationalism as it was as itanwas attempt an attempt to emulate to emulate German German nation-nationbuilding. building.

UvarovUvarov was was particularly particularly influenced influenced by theby ideas the of ideas the of German the German historian historian and phiand philologistlologist Karl Wilhelm Karl Wilhelm Friedrich Friedrich Schlegel, Schlegel, a follower a follower of Johann of Johann Gottfried Gottfried von Herder, von Herder, who envisioned who envisioned a unifiaedunifi German ed German state tostate be based to be based on theon the 19 19 German German nationnation unitedunited by language by language and customs. and customs.

For Uvarov, For Uvarov, the envisioned the envisioned nationality nationality was towas be indisputably to be indisputably Rus- Russian, but sian, it but would it would includeinclude the other the East otherSlavic East Slavic heirs of heirs Kyivan of Kyivan Rus’, Rus’, the Ukrainians the Ukrainians and Belarusians. and Belarusians.

The population The population of theoftwo thelesser two lesser

Imperial Imperial Coll apse Coll apse 11 11 branches branches was mainly was mainly Orthodox Orthodox in religion, in religion, but a signifi but a signifi cant minority cant minority belonged belonged to the to Uniate the Uniate Church, Church, which which had been hadestablished been established in the in latethe late sixteenth sixteenth century. century.

Its adherents, Its adherents, who lived whoin lived the in eastern the eastern borderlands borderlands of partitioned of partitioned Poland, Poland, followed followed Orthodox Orthodox ritual but ritual acknowledged but acknowledged the the supremacy supremacy of the Roman of the Roman pope. In pope.

Uvarov’s In Uvarov’s eyes they eyeswere theyRussian were Russian but but not Orthodox, not Orthodox, and many and believed many believed them susceptible them susceptible to Polish to Polish insurgent insurgent propaganda. propaganda.

The “problem” The “problem” was solved was solved beforebefore the end theofend the of1830s, the 1830s, when the when Uniates the Uniates were forcibly were forcibly “reunited” “reunited” with the with Russian the Russian Orthodox Orthodox Church.

Church.

The Russian The Russian nation,nation, integrated integrated by loyalty by loyalty to the to tsar, thewas tsar, now was now unitedunited by religion by religion as well.as well.

The history The history textbooks textbooks writtenwritten under under Uvarov’s Uvarov’s supervision supervision legiti- legitimizedmized the creation the creation of oneof Russian one Russian nation,nation, now united now united withinwithin imperial imperial borders borders and subject and subject to the to scepter the scepter of the of tsar. theThe tsar.imperial The imperial narrative narrative envisioned envisioned the origins the origins of the of Russian the Russian nationnation in medieval in medieval Kyiv ofKyiv the of the princely princely era. That era. nation That nation had been had divided been divided by foreign by foreign invaders invaders rang- ranging from ingthe from Mongols the Mongols to the to Poles the but Poles reunited but reunited by the by Russian the Russian tsars totsars to 20 20 become become once again once consolidated again consolidated and invincible. and invincible.

The model The model of a united of a united Russian Russian nationnation did notdid remain not remain unchallenged unchallenged for long. for Taking long. Taking a cue from a cue the from Poles, the Poles, the Ukrainians the Ukrainians soon raised soon raised the the bannerbanner of their of own theirnational own national movement. movement.

The empire The empire encountered encountered a a challenge challenge from the from ranks the ranks of the of Russian the Russian nationnation that it that was ittrying was trying to to build in build opposition in opposition to Poland. to Poland.

In the In 1840s, the 1840s, KyivanKyivan intellectuals intellectuals led by led by a professor a professor of history of history at the local at theuniversity, local university, MykolaMykola Kostomarov, Kostomarov, and a and a drawing drawing instructor instructor at the same at the university, same university, Taras Shevchenko, Taras Shevchenko, formedformed a a clandestine clandestine organization organization that claimed that claimed the existence the existence of a distinct of a distinct Ukrai-Ukrainian nation. nian nation.

Drawing Drawing on traditions on traditions of Cossack of Cossack historyhistory and historical and historical chronicles, chronicles, they were theyfascinated were fascinated with the with Ukrainian the Ukrainian language language and the and the lore and loreculture and culture of the of common the common people.people.

According According to Herder to Herder and his and his followers, followers, that was that the was taproot the taproot of national of national identity. identity.

The modern The modern Ukrainian Ukrainian national national projectproject was born, was and born, it was and much it was much more threatening more threatening to the to Russian the Russian EmpireEmpire than the than Polish the Polish revolt. revolt.

Kos- Kostomarov tomarov envisioned envisioned a Slavic a Slavic federation federation to replace to replace the Romanov the Romanov and and Habsburg Habsburg monarchies monarchies and empires. and empires.

The empire The empire felt compelled felt compelled to adjust to adjust the model the model of the of unifi theedunifi Russian ed Russian nation.nation.

It did so It did in the so in aftermath the aftermath of of

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the second the second PolishPolish uprising uprising (1863–(1863– 64), which 64), which once again once put again theput loyalty the loyalty not only notofonly the of Poles the but Poles also butofalso the of Ukrainians the Ukrainians and Belarusians and Belarusians into into question. question.

The new Themodel new model of the of unifi theedunifi Russian ed Russian nationnation was tripartite, was tripartite, postulating postulating the existence the existence of separate of separate “tribes” “tribes” of Great of Russians, Great Russians, Little Little Russians Russians (Ukrainians), (Ukrainians), and White and White Russians Russians (Belarusians).

(Belarusians).

They spoke They spoke different diff“dialects” erent “dialects” of Russian, of Russian, went the went argument, the argument, put forward put forward by the by the conservative conservative Russian Russian journalist journalist Mikhail Mikhail Katkov,Katkov, amongamong others,others, but that but that 21 21 was nowas reason no reason to doubt to doubt the unity the of unity the of tripartite the tripartite nation.nation.

To ensure To ensure that it that would it would remainremain united,united, the authorities the authorities decided decided to to arrest the arrest development the development of distinct of distinct Ukrainian Ukrainian and Belarusian and Belarusian languages. languages.

The first Theban firstonban theon publication the publication in Ukrainian in Ukrainian of anything of anything other than other than folklore— folklore— including including the Bible, the Bible, religious religious texts, and texts,language and language primers, primers, along with alongschool with school textbooks— textbooks— was introduced was introduced in 1863inand 1863 remained and remained in in effect, eff with ect,some with modifi some modifi cations, cations, until the until first thedecade first decade of the of twentieth the twentieth century. century.

It was It then wasabolished then abolished in the in turmoil the turmoil causedcaused by the by Revolution the Revolution of 1905ofin 1905 the in Russian the Russian Empire.

Empire.

The ban Theonban Ukrainianon Ukrainianlanguage language pub- publications lications delayed delayed the development the development of the of modern the modern Ukrainian Ukrainian national national projectproject but failed but failed to suppress to suppress it. Theit.Ukrainians The Ukrainians of Galicia, of Galicia, a part aofpart of Ukraine Ukraine taken taken over byover Austria

by Austria as a result as a result of the of partitions the partitions of Poland, of Poland, continued continued to publish to publish in Ukrainian in Ukrainian not only nottheir onlyown theirworks own works but also but the also the 22 22 writings writings of theirofcounterparts their counterparts from Russianfrom Russianruled Ukraine. ruled Ukraine.

The Russian The Russian imperial imperial authorities authorities regarded regarded developments developments in thein the Slavic Slavic lands of lands oneofofone its key of its rivals, key rivals, the Habsburg the Habsburg monarchy monarchy (refash(refashioned ioned into a into dualaAustrodual AustroHungarian Hungarian monarchy monarchy after Austria’s after Austria’s defeat defeat

by Germany

by Germany in 1866), in 1866), with utmost with utmost suspicion. suspicion.

Of particular Of particular concern concern were the were Ukrainians the Ukrainians of three of provinces, three provinces, Galicia, Galicia, Bukovyna, Bukovyna, and what and what is known is known today as today Transcarpathia, as Transcarpathia, settledsettled by ethnic by ethnic Ukrainians.

Ukrainians.

They They called called themselves themselves RusynsRusyns and, inand, theincourse the course of the ofnineteenth the nineteenth cen- century, developed tury, developed not one notbut onethree but nationthree nationbuilding building projects. projects.

The one The one that emerged that emerged from the from Revolution the Revolution of 1848ofconceived 1848 conceived them as them a distinct as a distinct RusynRusyn or Ruthenian or Ruthenian nationality, nationality, loyal toloyal the to Habsburgs the Habsburgs and maintainand maintaining fewing ties few with tiesthe with rest the ofrest Ukraine. of Ukraine.

The Habsburgs The Habsburgs supported supported the Ruthenian the Ruthenian movement movement as a counteras a counterweightweight to the to much the much more active more active PolishPolish one, but, one,weakened but, weakened vis-à-vis vis-the à-vis the

Imperial Imperial Coll apse Coll apse 13 13 Hungarians, Hungarians, with whom with whom they now theyhad nowtohad share to power, share power, they made they the made the Poles their Polesfavorites their favorites at the expense at the expense of the Ruthenians. of the Ruthenians.

In response, In response, some some Ruthenian Ruthenian leadersleaders and followers and followers lookedlooked for support for support to St. Petersburg, to St. Petersburg, declaring declaring themselves themselves members members of the of Russian the Russian nation.nation.

The soThe called so-called Russophile Russophile movement movement was born. was But born. theBut new thegeneration new generation of Ruthenian of Ruthenian activists activists renounced renounced both the both Habsburg the Habsburg and the and Russian the Russian projects, projects, defin- defining theing Ruthenians the Ruthenians of Austriaof AustriaHungary Hungary as Ukrainians as Ukrainians and building and building 23 23 bridgesbridges with the with Ukrainian the Ukrainian movement movement in the in Russian the Russian Empire.

Empire.

The imperial The imperial Russian Russian authorities authorities made numerous made numerous attempts attempts to sup-to support the port Russophile the Russophile movement movement in Galicia in Galicia and other and Habsburg other Habsburg prov- provinces. inces.

They even They subsidized even subsidized the leading the leading Russophile Russophile newspaper newspaper and and accepted accepted the leaders the leaders of theofmovement the movement prosecuted prosecuted by thebyAustrian the Austrian authorities authorities as refugees as refugees (the Austrians (the Austrians suspected suspected them of them being of being tsar- tsarist agents). ist agents).

Despite Despite this imperial this imperial support, support, the Russophiles the Russophiles were largely were largely sidelined sidelined politically politically by proponents by proponents of the Ukrainian of the Ukrainian projectproject as the as ninethe nineteenthteenth century century came to came an end. to anThe end.Galician The Galician Ukrainians Ukrainians made it made pos-it possible for sible Ukrainian for Ukrainian authors authors from the from Russian the Russian EmpireEmpire to publish to publish their their UkrainianUkrainianlanguage language works works and welcomed and welcomed key Ukrainian key Ukrainian intellectuintellectuals who alswished who wished to move to to move Galicia. to Galicia.

The most The prominent most prominent of them, of them, the the historian historian Mykhailo Mykhailo Hrushevsky, Hrushevsky, movedmoved to Lvivto(Austrian Lviv (Austrian Lemberg) Lemberg) to to become become a professor a professor at the at local the university. local university.

He created He created a new amaster new master narrative narrative of Ukrainian of Ukrainian historyhistory and after andthe after fallthe of fall the of Russian the Russian EmpireEmpire became became the first thehead firstofhead an independent of an independent Ukrainian Ukrainian state.24state.24

The Fall Theof Fall theofEmpire the Empire While While the Russian the Russian EmpireEmpire failed failed to usetoethno-nationalism use ethno-nationalism to underto undermine the mine rival theHabsburg rival Habsburg monarchy monarchy and protect and protect itself from itself the from rise theofrise of the Ukrainian the Ukrainian movement, movement, St. Petersburg’s St. Petersburg’s effortseff toorts usetonationality use nationality and religion and religion againstagainst its other its rival, other the rival, Ottoman the Ottoman Porte, Porte, provedproved much much more successful. more successful.

The decline The decline of the of Ottoman the Ottoman EmpireEmpire can becan traced be traced back toback the to lastthe last decades decades of the of seventeenth the seventeenth century, century, but it was but itthe was rise theofrise nationalism of nationalism amongamong the subjugated the subjugated peoples peoples in the in nineteenth the nineteenth century century that delivered that delivered

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the death the blow deathtoblow the empire. to the empire.

That century That century witnessed witnessed numerous numerous upris- uprisings ofings Orthodox of Orthodox and Slavic and Slavic subjects subjects in the in Balkan the Balkan peninsula peninsula againstagainst Ottoman Ottoman rule. The rule.Serbs The and SerbsGreeks and Greeks were the were first thetofirebel, rst to establishrebel, establishing independent ing independent states in states the in first the decades first decades of the century. of the century.

The Russians The Russians were there were to there help,tomotivated help, motivated more by more geopolitics by geopolitics and religious and religious affinityaffinity than by than ideas byof ideas nationality. of nationality.

The recognition The recognition of bothofcountries both countries came in came in the aftermath the aftermath of a Russoof a RussoTurkish Turkish war (1828– war (1828– 29) that 29) allthat butall turned but turned the the Ottoman Ottoman EmpireEmpire into a Russian into a Russian dependency. dependency.

The rise The ofrise pan-of Slavism pan-Slavism in Russia in Russia and the and Orthodox the Orthodox religion religion of the of the Ottoman Ottoman subjects subjects in the in Balkans the Balkans became became important important factorsfactors in justifyin justifying Russian ing Russian involvement involvement in Ottoman in Ottoman affairs,aff which airs, which continued continued throughthroughout theout nineteenth the nineteenth century century and the and early thetwentieth. early twentieth.

In 1875Inthe 1875 Slavs the Slavs of Herzegovina of Herzegovina rebelled rebelled againstagainst Ottoman Ottoman rule, as rule, did as thedid Bulgarians. the Bulgarians.

They were They followed were followed by theby Serbs the Serbs in parts in of parts Serbia of Serbia and Montenegro and Montenegro still controlled still controlled by theby Ottomans. the Ottomans.

Although Although the Ottomans the Ottomans crushed crushed the the revolts,revolts, by 1877 bythe 1877 Russians the Russians had moved had moved their troops their troops into the into Ottoman the Ottoman possessions, possessions, defeating defeating the sultan’s the sultan’s army. army.

The peace The settlement peace settlement signedsigned at the Congress at the Congress of Berlin of Berlin in 1878inincluded 1878 included international international recognition recognition of of the independence the independence of Romania, of Romania, Serbia,Serbia, and Montenegro, and Montenegro, as wellasaswell the as the autonomy autonomy of Bulgaria, of Bulgaria, a stateathat stateincluded that included only a only fraction a fraction of Bulgarof Bulgar25 25 ian territory. ian territory.

Russia’s Russia’s support support for Serbia, for Serbia, this time thisnot time against not against the Ottomans the Ottomans but but againstagainst AustriaAustriaHungary, Hungary, became became one of one the immediate of the immediate causescauses of World of World War I, War underlining I, underlining the importance the importance of nationalism of nationalism and the and threat the threat that it that it posed posed to empires. to empires.

In all the In all belligerent the belligerent countries, countries, including including the Russian the Russian Empire, Empire, the world the war world began war began with awith surgea of surge nationalism of nationalism and chauvinand chauvinism onism theon part theofpart the of ruling the ruling nations. nations.

In AustriaIn AustriaHungary Hungary there was therea was a crackdown crackdown on Slavic on Slavic nationalism, nationalism, including including the Russophile the Russophile movement movement amongamong the Ukrainians the Ukrainians in Austrian in Austrian Galicia.

Galicia.

In the In Russian the Russian Empire, Empire, the the authorities authorities shut down shut Ukrainian down Ukrainian institutions institutions and organizations. and organizations.

While While crushing crushing minority minority nationalism nationalism at home, at home, the warring the warring par- parties did ties their did best theirtobest playtothe play nationality the nationality card against card against one another one another to to mobilize mobilize national national movements movements behindbehind the front the lines. front lines.

The Russians The Russians promised promised statehood statehood and autonomy and autonomy to the Poles to thewithin Poles within the German the German and and

Imperial Imperial Coll apse Coll apse 15 15 Austrian Austrian borders; borders; the Austrians the Austrians promised promised a statea tostate the to Ukrainians. the Ukrainians.

As theAs war thedragged war dragged on, theon, belligerent the belligerent empires empires soughtsought to undermine to undermine their enemies their enemies by recognizing by recognizing the claims the claims of national of national minorities minorities on their on their territories territories or even or by even creating by creating nation-nationstates states on such on territories. such territories.

The The Germans Germans led theled charge, the charge, together together with the with Austrians, the Austrians, declaring declaring the the 26 26 creation creation of the of Kingdom the Kingdom of Poland of Poland in 1916. in 1916.

The fall The of the fallRomanov of the Romanov dynasty dynasty in March in March 1917 as1917 a result as a of result the Febof the February Revolution ruary Revolution openedopened the floodgates the floodgates for thefor creation the creation of autonomous of autonomous politiespolities on theon territory the territory of the of Russian the Russian Empire.

Empire.

The Bolshevik The Bolshevik coup in coup in October October of thatof year thatled year to the led further to the further destruction destruction of the imperial of the imperial insti- institutionstutions and formation and formation of independent of independent states on states theon foundations the foundations of newof new autonomies. autonomies.

But theBut Bolsheviks the Bolsheviks managed managed to reinstate to reinstate the unity the of unity the of the formerformer imperial imperial lands by lands combining by combining their military their military strength strength with culwith cultural concessions tural concessions to the nationalities, to the nationalities, recruitment recruitment of supporters of supporters amongamong their intelligentsias, their intelligentsias, and recognition and recognition of theirofright theirofright political of political autonomy autonomy and use and of use theirofnational their national languages languages in the in conduct the conduct of public of public affairs.affairs.

The Bolsheviks’ The Bolsheviks’ main competitors main competitors were White were White Army generals Army generals dedi- dedicated to cated the idea to theofidea Russia, of Russia, one and one indivisible. and indivisible.

Since they Sinceconceived they conceived the the Russian Russian republicrepublicto-be as to-abeRussian as a Russian nation-state, nation-state, they could they could not hope not hope to appeal to appeal to the to nontheRussian non-Russian nationalities, nationalities, and their andprewar their prewar modelmodel of of social relations social relations alienated alienated the peasants the peasants and workers. and workers.

The Bolsheviks, The Bolsheviks, for for their part, theirsought part, sought unsuccessfully unsuccessfully to regain to regain controlcontrol of Finland, of Finland, Poland, Poland, and the and Baltics the Baltics under under the banner the banner of world of world revolution. revolution.

They also Theylost also lost parts of parts Ukraine of Ukraine and Belarus and Belarus to Poland to Poland and the and former the former Russian Russian prov- province ofince Bessarabia of Bessarabia (the future (the future Moldova) Moldova) to Romania. to Romania.

But they Butconquered they conquered 27 27 and kept andmost keptof most the of rest the ofrest the of empire. the empire.

On theOn evethe of eve his of all-his outallinvasion out invasion of Ukraine of Ukraine in February in February 2022, 2022, Vladimir Vladimir Putin would Putin would claim that claim it that was the it was Bolsheviks, the Bolsheviks, Vladimir Vladimir Lenin Lenin in particular, in particular, who had whocreated had created a Ukrainian a Ukrainian state and, stateindeed, and, indeed, modern modern Ukraine Ukraine itself. Even itself.aEven cursory a cursory acquaintance acquaintance with the with history the history of the Rusof the Russian Revolution sian Revolution and the and concomitant the concomitant fall of fall the of Russian the Russian EmpireEmpire indi- indicates that catesthe that modern the modern Ukrainian Ukrainian state came state into cameexistence into existence not thanks not thanks 28 28 to Lenin to Lenin but against but against his wishes. his wishes.

In May In1917, May soon 1917, after soon the afterfalltheof fall monarchy, of monarchy, the Central the Central Rada Rada

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(Council), (Council), the revolutionary the revolutionary Ukrainian Ukrainian parliament, parliament, createdcreated in Kyivinand Kyiv and led byled historian by historian Mykhailo Mykhailo Hrushevsky, Hrushevsky, proclaimed proclaimed Ukraine’s Ukraine’s auton-autonomy within omy within a future a future Russian Russian republic. republic.

But it was But it only wasafter onlythe after Bolshethe Bolshevik coup vikin coup Petrograd in Petrograd in the in fallthe of fall 1917ofthat 1917the that Central the Central Rada declared Rada declared the creation the creation of the of Ukrainian the Ukrainian People’s People’s Republic, Republic, which which encompassed encompassed most of most presentof presentday Ukrainian day Ukrainian territory territory withinwithin the borders the borders of the of Rusthe Russian Empire, sian Empire, including including the mining the mining regionregion of the Donbas. of the Donbas.

The new Thestate new state wantedwanted to maintain to maintain federalfederal ties with tiesRussia, with Russia, but thebut Bolshevik the Bolshevik invasion invasion of January of January 1918 made 1918 that madeimpossible. that impossible.

The Central The Central Rada declared Rada declared the independence the independence of Ukraine of Ukraine and entered and entered in the antiin the Bolshevik anti-Bolshevik alliance alliance with Germany with Germany and Austriaand AustriaHungary.

Hungary.

The The Bolsheviks Bolsheviks wagedwaged war onwar theon Ukrainian the Ukrainian government government under under the banner the banner of theirofown theirUkrainian own Ukrainian People’s People’s Republic— Republic— a fiction a ficreated ction created to provide to provide a degree a degree of legitimacy of legitimacy for thefor Bolshevik the Bolshevik takeover takeover of Ukraine. of Ukraine.

Bolshevik Bolshevik troopstroops massacred massacred the population the population of Kyiv,ofkilling Kyiv, killing hundreds hundreds if not thouif not thousands sands of its citizens, of its citizens, including including Metropolitan Metropolitan Vladimir Vladimir (Bogoiavlensky) (Bogoiavlensky) of the of Orthodox the Orthodox Church.

Church.

The Bolshevik The Bolshevik commander commander in Kyiv, inMikhail Kyiv, Mikhail Muraviev, Muraviev, sent Lenin sent Lenin a telegram: a telegram: “Order“Order has been hasrestored been restored in Kyiv.” in29Kyiv.”29 The Central The Central Rada had Radatohad leave to Kyiv leave but Kyivsoon but returned, soon returned, havinghaving signedsigned an agreement an agreement with Germany with Germany and Austriaand AustriaHungary, Hungary, whosewhose troopstroops movedmoved into Ukraine into Ukraine in the in spring the spring of 1918ofand 1918drove and drove the Bolthe Bolsheviks sheviks out of out its territory, of its territory, including including the Donbas. the Donbas.

The Germans The Germans soon soon replaced replaced the democratic the democratic Central Central Rada with Radathe with authoritarian the authoritarian regimeregime of hetman of hetman Pavlo Skoropadsky, Pavlo Skoropadsky, but thebut democratic the democratic Ukrainian Ukrainian People’s People’s Republic Republic was restored was restored when the when Germans the Germans withdrew withdrew from Ukraine from Ukraine late late in 1918. inThe 1918.Bolsheviks The Bolsheviks movedmoved in onceinagain, once again, this time thisunder time under the banthe banner of ner theirofadversary their adversary Ukrainian Ukrainian People’s People’s Republic, Republic, formally formally indepenindepen30 30 dent ofdent Russia. of Russia.

By theBy time the the time Bolsheviks the Bolsheviks reemerged reemerged in Ukraine in Ukraine and launched and launched their military their military campaign campaign to bring to bring the Ukrainian the Ukrainian provinces provinces of the of for-the former Russian mer Russian EmpireEmpire back under back under centralcentral control, control, Ukrainian Ukrainian national national consciousness consciousness was sowas widespread so widespread that Vladimir that Vladimir Lenin Lenin felt compelled felt compelled to to changechange his strategy. his strategy.

He concluded He concluded that Ukrainian that Ukrainian aspirations aspirations to indeto independence pendence were so were strong, so strong, not only notamong only among Ukrainians Ukrainians in general in general but but