How Much Polish in Esperanto

This week's newsletter from Culture.pl contains several articles on language, one of which, by Mikołaj Gliński, answers How much Polish is there in Esperanto? Here are some excerpts:

The Slavic Esperanto lexicon is generally considered to derive from two Slavic languages, both of which Zamenhof knew very well – Russian and Polish. While Russian, as he later recalled, was his favourite during his early days, as well as the language of the larger part of his linguistic output, Polish was the language spoken in Warsaw, where Zamenhof would eventually spend most of his life. And it’s actually these two languages that make up the 1% of Slavic in Esperanto vocabulary. The problem is that sometimes identifying the original language is very hard if not simply impossible.

While Esperanto words like barakti (to flounder, from барахтаться barahtat’sja), gladi (to iron, from гладить gladit’), krom (except, from кроме krome), or vosto (a tail, from хвост) are easy to identify as of Russian origin (they simply don’t appear in Polish), and others like kolbaso can be considered as coming from Russian based on their phonetic build-up (Rus. kolbasa, compare Pol. kiełbasa), there are also some that can be really problematic. This goes for words like celo (aim), bulko (bun), klopodo (effort), kaĉo (porridge, from kasza / каша kaša), prava (right [in opinion], from prawy / правый pravyj), or svati (to matchmake, from swat / сват svat). Due to their almost identical forms in both languages, it seems hardly possible to tell from which language Zamenhof took the original root.

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And yet the group of Esperanto words which are usually identified as Polish loan words is significant. It includes such words as:

• barĉo – borscht (from barszcz),
• ĉu – whether (from czy),
• krado – a grating (from krata),
• luti – to solder (from lutować)
• pilko – a ball (Polish piłka)
• ŝelko – suspenders (from szelki)
• [via] moŝto – [your] highness (from Polish mość),

While this is a rather diverse bunch, comprising elements of clothing, sport items, local food, and a grammatical particle, some of these words can be more interesting than others, and actually instructive in telling us something about how Zamenhof saw the component languages of Esperanto, in this case Polish.

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One of these words is moŝto. It certainly isn’t a word of particular prominence or frequency in contemporary Esperanto. In fact, it’s a word you’re not likely to use at all, unless you’re addressing high authority, or... a king. The latter was Zamenhof’s case – he used the word (precisely: Lia reĝa moŝto) when addressing the king of Spain Alfonso XIII speaking at the Esperanto Congress in Barcelona in 1909. Yet it is this word that also happens to offer interesting insights into the role of Polish in the Esperanto system.

The word goes back to the Polish word mość, one of many honorific lexemes used (historically) in Polish. In early modern Poland, the phrase was required as an obligatory form of address between and to members of the Polish nobility (szlachta). Used and abused, this linguistic habit was part of the more widespread social and cultural phenomenon known as szlachtomania (nobility-mania), a real scourge of early-modern Polish society.

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While Zamenhof on the one hand made sure that addressing people in Esperanto would be as democratic as possible (Esperantists address each other by a simple vi (you), much like in contemporary English, and unlike in Polish), he also reserved a mode of speaking when addressing the highest royal authority. In finding the right word he somewhat naturally turned to Polish. A choice well justified, as Polish is perhaps the only Slavic language (along with Czech) to have developed an elaborate honorific system that distinguishes between who you’re talking to, based on your age and social status (historically, class of society).

That Polish is at the core of Esperanto honorific usage is best exemplified in the phrase via reĝa moŝto, which translates as Your Majesty, and can be seen as quite a direct calque from the Polish: wasza królewska mość...

Is Ĉu Polish?

But perhaps the most interesting and telling case of a Polish Slavic influence on Esperanto is the particle ĉu (whether, if). This little but important word goes most likely back to the Polish czy, otherwise it comes up only in Belarusian (ці/tsi) and is not used in other Slavic languages. Interestingly the same particle (צי, tsi) surfaces also in Yiddish, a language Zamenhof was surely familiar with.

Much the same as in Polish, ĉu in Esperanto is used primarily to introduce a question. Like in this example:

Imagine you find yourself somewhere in Eastern Europe. But is it Russia or Belarus, Poland or Croatia, Slovenia or Slovakia? Find out how much you know about Slavic languages and we’ll see if you’re able to make your way through Slavic Europe.

Ĉu li aŭ ŝi amas min? [Does he or she love me?]

Whereas in French or English, asking a question involves inverting the word order and/or inserting an auxiliary particle, which as many struggling language learners surely know, can be quite complicated, Esperanto simply puts ĉu in front of the phrase or subordinate clause, the sentence basically stays the same. This is exactly how ‘czy’ operates in Polish and Yiddish.

But ĉu is also interesting because it opens us on the issues of syntax – as most structuralists would tell you, language is not really about vocabulary. This helps to pinpoint the more thorough impact of Slavic, and Polish in particular, on the fundamental grammatical structures in Esperanto. Like say, the accusative...

Is Esperanto’s accusative Slavic?

Esperanto is somewhat notorious for its rather free word order. This goes for noun + adjective order (adjective noun) but also, and more importantly, the structural order of subject, object and verb in a sentence. The latter in Esperanto is very flexible, even if the word order which is usually recommended is SVO. This flexibility, which allows for great liberty in constructing Esperanto sentence, is actually facilitated through the presence of the accusative. Compare these examples:

The boy bit the dog

La knabo mordis la hundon

La knabo la hundon mordis

La hundon la knabo mordis

La hundon mordis la knabo

Mordis la hundon la knabo

Mordis la knabo la hundon

The presence of the accusative case (marked by the -n ending) was a bone of contention in early discussions among Esperantists (and partially led to a schism in the early Esperanto movement, see Ido). But Zamenhof always remained a strong advocate of the accusative. As Professor Żelazny explains, he thought it was a key tool in allowing bigger flexibility for Esperanto sentences, which was particularly important in poetry, which Zamenhof admired so much. The accusative affix allowed for greater flexibility in the Esperanto word order and thus multiplied the rhyming potential of it, which otherwise would be very limited.

As a result, Esperanto’s word order is very fluid (although naturally some positions are preferred by users) just like it is in Slavic languages. And while it’s obviously impossible to trace back the invention to Polish or Russian (German also has the accusative,) the Esperanto sentence shares a general similarity with the rather free syntax of Slavic sentence.

This is showcased in the early translation of The Pharaoh by Bolesław Prus. As Walter Żelazny notes, it was La Faraono, translated by Kazimierz Bein, that became a kind of model for much of the literature later written in Esperanto.

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Semantic calques

A more subtle influence of Slavic languages on the structure of Esperanto, and more precisely its morphology, can be traced in the semantic build-up of Esperanto word formations, like senanima, senforta, or senfunda. While all these words are built from Esperanto (sen-) and Romance elements, they are actually semantic calques from Slavic languages, but again telling whether it’s Polish or Russian may be next to impossible.

• senanima – heartless, callous [calque of Rus. бeздyшный or Pol. bezduszny]
• senfunda– bottomless [calque of Rus. бeздoнный, Pol. bezdenny]
• senforta – powerless [calque of Rus. бессильный / Pol. bezsilny]

A similar ‘subliminal’ influence of Slavic semantics can be seen in the meaning and functioning of some words. One oft-cited example is the Esperanto word plena ‘full, complete’, which looks Latinate in form (French plein(e), Latin plen- ‘full’), but has the semantic range of Russian полный polnyi ‘full, complete’, as can be seen in the phrase plena vortaro ‘a complete dictionary’, a usage not possible with the French or Latin words. And one could add that it’s also how the word pełny is also used in Polish.

Phonetics

Another area of a possible Slavic influence is phonology. As Walter Żelazny explains: “The Esperanto phonological system is almost entirely Polish.” That’s why, as Żelazny claims, the majority of Poles, as the majority of Slavs, should not have to learn any vowels. In fact, all the sounds which you can find in Esperanto are also in Polish, including diacriticical signs: ĉ (Polish cz), ĝ (dż), Ĵ (ż), Ŝ (sz), ŭ (ł).

Alphabet

A bit surprisingly, Polish influence is also traceable in the Esperanto alphabet and orthography. The Esperanto alphabet consists of 28 letters, with each letter standing for one sound. Apart from diacritical letters, its peculiarities include the letters C and J. Pronounced as ‘ts’ and ‘y’, respectively, they may at first seem a bit counter-intuitive for many Esperanto learners, but they are best explained on the grounds of the Polish alphabet. It is a common experience of many Polish learners that these letters to the English eye are false friends. (As to further Slavic influence in the Esperanto alphabet, compare the letter ŭ in Esperanto and Belarusian).

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Accent

But perhaps the best and most convincing example of the overall influence of Polish – and not Slavic languages – on the shape of Esperanto is its accent. The accent rule was included already in the first edition of Unua Libro, the first Esperanto handbook, published by Zamenhof in Warsaw in 1887. Among the 16 cardinal principles of Esperanto the one No. 10 reads:

The accent falls on the last syllable but one (penultimate).

The penultimate accent just happens to be one of the characteristic features of Polish, differentiating it sharply from other local Slavic languages, like Russian (which has unpredictable stress) or Czech (initial accent) as well as from French, which accents the last syllable pronounced. That’s why some practitioners of Esperanto claim that Polish pronunciation of Esperanto is the most natural and closest to the Esperanto standard. But this is of course rather a matter of individual taste.

Ukraine Invasion Begins, Feb. 2022

From The Russo-Ukraine War: The Return of History, by Serhii Plokhy (W. W. Norton, 2023), Kindle pp. 152-154:

Putin’s address was aired on Russian television in the early hours of February 24, on the eighth anniversary of Putin’s decision to start the Crimean annexation in 2014. He expected the results to be as quick, decisive, and positive as they had been then.

Putin concluded the speech with an appeal to Russian citizens: “I believe in your support and the invincible force rooted in love for our Fatherland.” The key motifs of his address, including the denazification of Ukraine, would be picked up and popularized by the Russian media in the days and weeks to come, although it was difficult to change the propaganda line right away. Leonid Slutsky, the head of the Russian State Duma Committee on Foreign Affairs, denied the invasion even on the very day it began. “We do not intend to unleash any war. We are not going to invade Ukraine as we are being accused of in Ukraine itself, and not only there,” he told journalists. As he spoke those words, Russian columns were moving toward the Ukrainian capital.

The Russian assault on Ukraine began shortly before 4:00 a.m. Kyiv time on February 24, 2022, on multiple fronts. The citizens of Kyiv, Kharkiv, Odesa, Zaporizhia, Zhytomyr, Mykolaiv, and Kherson, to list only the main regional centers, woke up to the sound of explosions—Russian aviation and missiles were attacking airfields and military installations all over the country. Radio and television covered the news on the basis of posts in social media from around Ukraine. There were also reports of Russian amphibious landings in Odesa on the Black Sea and Mariupol on the Sea of Azov. Those later turned out to be false.

The Russian armed forces bombarded Ukrainian command and control centers, air defenses, and critical infrastructure with more than 100 short-range ballistic missiles launched from the air and from the sea. Columns of Russian tanks and personnel carriers began to cross the Ukrainian borders from Belarus toward Kyiv, from Russia toward Kharkiv, and from the occupied Crimea toward Kherson and Nova Kakhovka in the south. Tens of thousands of troops were suddenly on the move. Ukraine, where neither the government nor the general population believed in the possibility of large-scale Russian aggression, was in for a rude awakening.

The entire military operation, underpinned by Putin’s belief in the nonexistence of the Ukrainian nation and the desire of Ukrainians to live under Russian rule, was modeled on the Russian takeover of the Crimea. In the first echelon of ground troops advancing on Kyiv immediately after the paratroopers were units of riot police, and in burned-out tanks and vehicles Ukrainians would find parade uniforms of Russian soldiers prepared for a victory march down Kyiv’s main avenue, Khreshchatyk. The soldiers had rations for only two or three days, as they were promised that the operation in Ukraine would take no longer. Since the invasion was billed as a mission of liberation, the officers and soldiers were ordered not to show any hostility whatever to the local population. They were told that the military operation was ordered to prevent the installation of NATO bases in Ukraine.

“Orders have been given to the Russian army not to assault cities or their inhabitants. The leadership of the Russian Defense Ministry emphasizes that the population of a fraternal country has nothing to fear from the Russian army,” confided the political consultant Sergei Markov to a reporter on the second day of the invasion, February 25, 2022. Regarding the further plan of the action, Markov suggested: “All groupings of the Ukrainian Armed Forces will be surrounded (mainly from the air) and given an ultimatum. They will have to surrender their arms. If everything proceeds normally, a process of disarmament will begin. Wherever normality does not prevail, those groupings will be destroyed. I think that most subunits of the Ukrainian Armed Forces will surrender their weapons. Part of them will continue to offer resistance. Those are the neo-Nazi military subunits.”

That was not just Markov’s plan but Putin’s as well. In his address at the start of the war, Putin had appealed to the Ukrainian military to lay down their arms. But the Ukrainian army continued to fight. Not a single unit would surrender, to say nothing of switching sides. Putin and his propagandists like Markov were in for a rude awakening.

Russia Boosts Ukrainian Nationalism

From The Russo-Ukraine War: The Return of History, by Serhii Plokhy (W. W. Norton, 2023), Kindle pp. 131-134:

The eight years of hybrid warfare that Russia had waged against Ukraine in the Donbas, divided by the Minsk agreements, turned Ukraine into a different country and society from those of 2014. A country divided by issues of history, culture, and identity when the Crimea was annexed was now united by the desire to defend its sovereignty, democratic order, and way of life at almost any price.

The war had changed the electoral map of Ukraine. The first wartime presidential elections, held in May 2014, yielded unprecedented results: Petro Poroshenko won in the first round with 55 percent of the vote—the first time this had happened since 1991. Even more important, Poroshenko carried 187 precincts out of 188 remaining under Ukrainian control. The dividing line of the previous presidential elections, which had split Ukraine in half between pro-European and pro-Russian candidates, was now gone. The war had produced a much more homogenous country.

Russia’s annexation of the Crimea and takeover of significant portions of Ukraine’s Donbas removed the traditionally most pro-Russian areas, with the greatest number of ethnic Russians and Russian speakers in Ukraine, from Ukrainian political and cultural space. Those areas had also served as bases for Russia-friendly political parties. Russia did its utmost to support former allies of the ousted president, Viktor Yanukovych, but they were divided and weak after losing a significant part of their electoral base. The forces led by the Ukrainian businessman and politician Viktor Medvedchuk, who was close to Putin, also remained weak despite the support of television channels and newspapers funded with Russian assistance.

The growth of Ukrainian political identity began with the rejection of symbols of the Soviet past. The Maidan protests of 2014 unleashed a wave of demolition of monuments to Vladimir Lenin, the main symbol of communist and, in the eyes of many, Russian domination of Ukraine. More than 500 such monuments were toppled by anti-communist activists in the first half of 2014, mostly in the center of the country. The rest, more than 1,500 that remained in the regions of southeastern Ukraine controlled by Kyiv, were removed in the course of the next few years by decision of parliament, which adopted the so-called “decommunization laws” prohibiting the public display of communist symbols.

Ukrainians survived the Russian onslaught during the first stage of the war, in 2014–15, by uniting across ethnic, linguistic, religious, and cultural lines. The war itself also promoted popular identification with the Ukrainian language and culture. Since Putin’s official rationale for invading Ukraine was the defense of Russian speakers, many Ukrainians and Russians who knew Ukrainian but used Russian as their language of preference began to switch to Ukrainian as an act of defiance. The number of those self-reporting their use of Ukrainian at home and at work spiked in 2014–15. That number returned to the previous norm once the immediate danger of all-out invasion passed, but readiness to adopt Ukrainian as the dominant language of government and education remained. In 2019, parliament adopted a new law making the Ukrainian language mandatory for government officials and public-sector employees. The Russian Foreign Ministry protested, claiming that the law would deepen divisions in Ukrainian society. That did not prove to be the case.

City and village bookstores were flooded with Ukrainian-language books, reducing Russian-language publications to secondary status. Works on Ukrainian history and culture began to top bestseller lists. Before the war, the government had spent little or no money on the promotion of Ukrainian culture abroad; now it created a special Ukrainian Institute under the auspices of the Ministry of Foreign Affairs. Its task was to emulate Germany’s Goethe Institute and similar agencies in other countries, familiarizing foreign countries with the Ukrainian language and culture. At home, the Ukrainian Cultural Fund and the Ukrainian Book Institute were charged with supporting cultural events and promoting Ukrainian publications.

In 2018 the government provided strong support for the unification of the two branches of the Ukrainian Orthodox Church that were independent of the Moscow Patriarchate, which still dominated Orthodoxy in Ukraine, while striving to restrain competition between them. President Poroshenko attended the unification council of the two churches, which were placed under the jurisdiction of the Patriarch of Constantinople—a major blow to the prospect of continuing Russian Orthodox hegemony. Moscow protested and severed ties with the Patriarch of Constantinople but could do little more to maintain its position. The newly united Orthodox Church of Ukraine (OCU) had mass popular support, and, given the ongoing if undeclared war with Russia, many Orthodox Ukrainians preferred a church independent of Moscow. The transfer of parishes from the Moscow Patriarchate to the OCU began in the first months of 2019.

Active government involvement in matters of language, memory politics, and religion met with substantial criticism not only from traditionally pro-Russian political forces but also from part of the country’s liberal establishment. Nevertheless, it was either supported or accepted by the population at large. After Russia’s aggressive weaponization of issues of culture and history in 2014–15, much of the population agreed that the new laws and policies were necessary elements of nation-building, designed to prevent further Russian aggression.

The new Ukrainian government fulfilled the promise of the Revolution of Dignity by moving closer to the European Union and Euro-Atlantic institutions, including NATO. The association agreement that had triggered the Maidan protests in 2017 was signed in June 2014. In March 2017 the European Union Council granted Ukrainians visa-free travel to the EU. The EU member nations provided badly needed financial assistance, altogether up to $14 billion, to help Ukraine deal with its losses of territory, population, and economic assets. An additional $2.2 billion came from the United States. Washington became the main sponsor of reform in the Ukrainian security sector, providing $1.6 billion for that purpose alone. Ukraine was rapidly acquiring a new professional army, and the government placed NATO membership back on its agenda by including it in the Ukrainian constitution.

Russia Annexes Crimea, 2014

From The Russo-Ukraine War: The Return of History, by Serhii Plokhy (W. W. Norton, 2023), Kindle pp. 118-119:

On March 18, 2014, Vladimir Putin delivered one of the most consequential speeches of his career. Addressing a joint session of the lower and upper houses of the Russian parliament—the deputies of the State Duma and the members of the Federation Council, joined by regional leaders and representatives of Kremlin-controlled civic organizations—Putin asked the deputies to approve a law annexing the Ukrainian Crimea and the city of Sevastopol to the Russian Federation. Two days after the referendum, Putin was ending the Crimea’s short-lived independence by annexing the peninsula—the first annexation of a sovereign nation’s territory in Europe by a foreign state since World War II.

In his speech, Putin declared that the Crimean self-defense units had taken the initiative to bring about reunification, and the people of the Crimea had decided their fate, preventing Sevastopol from being turned into a NATO military base. He took advantage of the opportunity to remind NATO and the West of all the injustices allegedly committed against international law and Russia, from the bombing of Serbia to the recognition of Kosovo’s independence, as putative justification for Russia’s actions in the Crimea, and denounced the “color revolutions” as coups engineered by the West.

Putin made an unprecedented appeal to Russian nationalism. This was a marked departure from his earlier statements and pronouncements, in which his main addressee and point of reference was the multiethnic Russian political nation embodied by the citizens of the Russian Federation, referred to as rossiiane rather than ethnic russkie. Now he claimed that Russia and the Russians were the greatest divided nation in the world. After the fall of the USSR, said Putin, when “Crimea ended up as part of a different country . . . Russia realized that it was not simply robbed, it was plundered.” “All these years,” he declared, “citizens and many public figures have come back to this issue, saying that Crimea is historically Russian land and Sevastopol is a Russian city.”

There were also elements of the speech that appealed to Russo-Ukrainian unity, despite Putin’s attack on Ukraine and annexation of part of its territory. “Orthodoxy,” claimed Putin, “predetermined the overall basis of the culture, civilization, and human values that unite the peoples of Russia, Ukraine, and Belarus.” He even declared that Russia was taking the Crimea on behalf of both Russians and Ukrainians to prevent its loss to a third party. “Crimea is our common historical legacy and a very important factor in regional stability,” Putin went on. “And this strategic territory should be part of a strong and stable sovereignty, which today can only be Russian. Otherwise, dear friends (I am addressing both Ukraine and Russia), you and we—Russians and Ukrainians—could lose Crimea completely, and that could happen in the near historical perspective.”

Putin made a hybrid argument for the annexation: appealing to Russian history, territory, and identity, he invoked the legacy of empire to claim the Crimea under the banner of Russian ethnic nationalism, while also maintaining that Russians and Ukrainians were Slavic brethren. The latter was meant to exploit the sense of Russo-Ukrainian unity to which many citizens of Russia and Ukraine subscribed. Putin assured Ukrainians that Crimea was a unique case—a part of Ukraine historically, culturally, and ethnically belonging to Russia. The rest of Ukraine was safe. “Do not believe those who want you to fear Russia, shouting that other regions will follow Crimea,” declared Putin. “We do not want to divide Ukraine; we do not need that.” In fact, the division of Ukraine was exactly what Putin undertook in the weeks and months following his Crimean speech.

In conclusion, Putin asked the Russian parliamentarians to ratify the treaty and create two new constituent entities within the Russian Federation, one for the Crimea, another for the city of Sevastopol. The parliament complied, and on March 21 Putin signed the law integrating the Crimea and the city of Sevastopol into the Russian Federation. The annexation of the Crimea was now a fait accompli, carried out in accordance with the Russian constitution but in blatant violation of international law and treaties signed by Russia, including the Budapest Memorandum of 1994 and the Russo-Ukrainian Friendship Agreement of 1997.

Reviving Russian Slavic Eurasianism

From The Russo-Ukraine War: The Return of History, by Serhii Plokhy (W. W. Norton, 2023), Kindle pp. 102-104:

Putin adopted many elements of traditional and revived Eurasianism as parts of his world view. In his official pronouncements he spoke repeatedly of Russia as a unique multiethnic civilization not only different from the West but opposed to it in history, culture, and values. But he also embraced with equal if not greater enthusiasm the ideas of a different group of Russian thinkers who juxtaposed Russia to the West predominantly as a Eurasian Slavic or Russian civilization. That trend of thought, represented by such figures as Aleksei Khomiakov, Ivan Kirievsky, and Konstantin Aksakov, predated Eurasianism, going back to the first decades of the nineteenth century, which produced one of the most consequential schisms in Russian intellectual history, that between Westernizers and Slavophiles. The former insisted that Russia’s destiny lay with the West, while the latter emphasized Russian uniqueness, rooted in history, language, culture, and nationality.

The nationality that the Slavophiles called Russian was in fact East Slavic. In imperial Russian terminology, it consisted of Great Russians, or Russians per se, Little Russians or Ukrainians, and White Russians or Belarusians. The model of a tripartite Russian nation, which the Russian historian Alexei Miller calls a “big Russian nation,” was adopted by the imperial elites in the second half of the nineteenth century and became part of the ideological credo and personal belief, as well as identity, of many of the country’s political, religious, and military leaders. The Russian Revolution put an end to the dominance of the tripartite nation in Russian political and ethnonational thought. In 1922, Lenin resisted Joseph Stalin’s attempts to incorporate non-Russian republics into the Russian Federation and insisted on the creation of a Union state in which those republics would be distinct polities with rights equal to those of Russia.

The idea of a big Russian nation went into the Russian emigration along with the White Guard generals defeated by the Bolshevik Red Army and the intellectuals who supported their vision of Russia, one and indivisible. Among the émigrés was General Anton Denikin, whose memoirs would make a strong impression on Vladimir Putin, and the philosopher Ivan Ilyin, an admirer of fascism, whose article, “What the Dismemberment of Russia Promises the World,” would become a frequently quoted source in the speeches and pronouncements of Putin and other Russian officials. Ilyin argued that one day Russia would gather its lands back under its tutelage.

The key figure who linked the imperial thinking of the past with a plan for dealing with post-Soviet Russian challenges and realities was Aleksandr Solzhenitsyn. In his essay of 1990, Rebuilding Russia: Reflections and Tentative Proposals, Solzhenitsyn called for the separation of the eastern Slavs from the non-Slavic republics of the Soviet Union and the formation of a “Russian Union” consisting of Russia, Ukraine, Belarus, and northern Kazakhstan. If one followed Ernest Gellner’s definition of nationalism as the establishment of congruence between political and ethnonational borders, then Solzhenitsyn’s “reconstructed” Russia was to become quadripartite. But his plan never materialized, and several years later Solzhenitsyn went on to question the legitimacy of the Ukrainian borders. In his essay Russia in Collapse (1998), Solzhenitsyn argued for the annexation of eastern and southern Ukraine, denouncing its “inordinate expansion onto territory that was never Ukraine until Lenin: the two Donets provinces, and the whole southern belt of New Russia (Melitopol–Kherson–Odesa) and the Crimea.”

Putin was an admirer of all these writers and shared many of their ideas. In May 2009, less than a year after the invasion of Georgia, he made a public show of his admiration for imperial Russian thinkers. Despite rainy weather, he showed up in the company of numerous reporters at the cemetery of the Donskoi Monastery in Moscow to lay flowers on the graves of General Denikin and his wife, along with the grave of Ivan Ilyin and that of Ivan Shmelev, another Russian émigré writer whose remains had been returned to Russia. Putin also laid flowers on the grave of Aleksandr Solzhenitsyn, who had died in Moscow the previous year.

Referring to General Denikin, whose grave he honored first, Putin encouraged one of the reporters accompanying him at the ceremony to read Denikin’s memoirs. “Denikin discusses Great and Little Russia, Ukraine,” said Putin. “He writes that no one may meddle in relations between us; that has always been the business of Russia itself.” Denikin was in fact following Aleksandr Pushkin, who had attacked the West for criticizing Russia’s assault on Poland after it rebelled against the empire in 1830. If Pushkin referred to Russo-Polish relations, Denikin referred to those between Russia and Ukraine. In Putin’s view, it was up to Russia to decide how to conduct its relations with a weaker neighbor. The Slavic roots of the two peoples became his excuse to condemn any Western support for Ukraine.

NATO's Bucharest Summit, 2008

From The Russo-Ukraine War: The Return of History, by Serhii Plokhy (W. W. Norton, 2023), Kindle pp. 87-89:

As NATO leaders arrived for the Bucharest summit on April 2, 2008, Russia’s vocal protests against membership for Ukraine and Georgia were on their minds. Putin came to the Romanian capital in person to take part in the meeting of the Russia-NATO summit and warn the members of the alliance against extending invitations to the two post-Soviet republics. “The emergence of a powerful military bloc at our borders will be seen as a direct threat to Russian security,” Putin told President Bush. Bush was not particularly impressed. Before going to Bucharest he made a stopover in Kyiv, where he told the Ukrainians: “Your nation has made a bold decision, and the United States strongly supports your request.”

But key European members of NATO, France and Germany in particular, blocked the decision advocated by the United States and supported by the new East European members of the alliance to grant Ukraine and Georgia a Membership Action Plan. “We agreed today that these countries will become members of NATO,” read the declaration before making it clear that no accession would take place any time soon. The MAP was promised but not given on the basis that the two potential applicants still had to meet some specific criteria in order to qualify. “[W]e will now begin a period of intensive engagement with both at a high political level to address the questions still outstanding pertaining to their MAP applications.”

The matter was postponed and would not return to the NATO agenda at the next summit or the one after that. Everyone knew that the decision to deny MAP to the two post-Soviet republics was a concession to their former master, Russia. Otherwise it was impossible to explain why the Bucharest summit invited Croatia and Albania to join NATO. For the two countries now perceived as threats by Russia, NATO’s non-decision on their membership was the worst possible outcome of the summit: their applications had been postponed indefinitely, leaving them with no protection from the alliance that they had publicly stated they wanted to join. While Russia would not dare to attack NATO, it could easily attack its aspirants, and it did so.

On August 8, 2008, a few months after the Bucharest summit, Russia launched a war on Georgia, ostensibly in defense of the Georgian enclave of South Ossetia, which had seceded from Georgia in the early 1990s. The Russian attack allegedly came as a response to the actions of the Georgian army, which had been ordered into South Ossetia, but there was no doubt that the war was directly linked to the outcome of the Bucharest summit. Russia had established official relations with South Ossetia and Abkhazia, the two Georgian provinces that it was now “defending,” almost immediately after Putin’s return from the Bucharest summit. The Georgians fought back under the leadership of President Mikheil Saakashvili, who had been educated in Ukraine and the United States, but the Russian army, larger and superior to Georgia’s, moved deep into the country and threatened to occupy its capital, Tbilisi.

On August 12, Yushchenko, together with the leaders of Poland and the three Baltic states, flew to Tbilisi to show support for Saakashvili and his country. That day the Russian advance was stopped by means of a ceasefire negotiated by President Nicolas Sarkozy of France. Russian troops eventually left a good part of the occupied territory but stayed in Abkhazia and South Ossetia, ostensibly protecting the independence of the two provinces from Georgia and perpetuating its territorial division. That undermined Georgia’s chances of ever joining NATO, as the alliance was reluctant to accept any state with unresolved territorial issues. The Russian war on Georgia became the first instance of its initiating a major war beyond its borders. It sent a clear signal to the West that Russia was prepared to use military force to stop any expansion of the alliance. It also demonstrated to other post-Soviet republics that NATO would not come to their rescue in case of Russian attack.

The decision of the Bucharest NATO summit, coupled with the outcome of the Russo-Georgian War, dealt a devastating blow to Ukrainian aspirations to join the alliance. The changing of the guard in Washington and the inauguration of Barack Obama as president in January 2009 led to a thorough revision of all elements of US foreign policy and an attempted “reset” of US-Russia relations. In January 2010 Viktor Yushchenko, defeated in the first round of that year’s presidential elections, left office to make way for Putin’s old favorite, Viktor Yanukovych. The new president promptly dropped NATO membership from the Ukrainian foreign-policy agenda and signed a deal that was devastating for Ukrainian security because it extended the presence of the Russian Black Sea Fleet in Sevastopol until 2042.

The Bucharest summit put Ukraine in the most vulnerable position that it had experienced since declaring independence. Without nuclear weapons and NATO membership, Ukraine found itself at the mercy of Russia, which saw the ambiguous offer of membership extended to Ukraine by the Bucharest summit as a threat to its own security. Ukraine was a lone warrior on open ground pursued by hostile forces, running to take shelter in a secure fortress, only to find its gates closing because of disagreements among its defenders.

Post-Soviet Nations and NATO

From The Russo-Ukraine War: The Return of History, by Serhii Plokhy (W. W. Norton, 2023), Kindle pp. 82-84:

As far as Russia was concerned, the victory of the 2004 Orange Revolution in Ukraine was a major blow to the Kremlin’s interests at home and abroad. “It was our 9/11,” declared the Russian political adviser Gleb Pavlovsky, who was close to the Kremlin. A native of Ukraine, he went to Kyiv to advise Prime Minister Yanukovych and his campaign. The Orange Revolution was also a personal defeat for Putin because it was supported by Boris Berezovsky, his onetime sponsor, later nemesis, and ultimately refugee from his regime. The Kremlin was concerned that under the Western-leaning President Yushchenko, Ukraine might leave the Russian orbit forever and join the Western camp.

With the fall of communism, democratic rule became a prerequisite for post-communist and post-Soviet states aspiring to join Western institutions, both political, like the European Union, and military, NATO in particular. Ukraine, with its chaotic but viable democracy, could be a candidate for both, while Russia, failing one democracy test after another and eventually setting on the path of authoritarian rule, could not. The success and durability of Ukrainian democracy was a threat to the Putin regime, since it encouraged whatever remained of the pro-democratic forces in Russia and, in geopolitical terms, brought democratic institutions closer to Russia’s borders. In Putin’s eyes, this was not just undesirable but unacceptable.

By 2004, Putin was well on the way to laying the foundations for a future autocratic regime. He took control of the Russian Duma in the December 2003 elections, which saw his party, United Russia, obtain three times as many votes as the communists to become the largest party in parliament. He then exploited a hostage crisis produced by Chechen radicals who attacked a school in Beslan in September 2004. It was mishandled by the Russian security services, whose personnel stormed the school, contributing to the death of 314 hostages, including 186 schoolchildren. This gave Putin an opportunity to intervene and curtail whatever remained of Russian democracy: elections of regional governors were abolished, and new laws were introduced curtailing the activities of political parties and NGOs.

Putin was eager to see a similar political system installed in Ukraine, openly campaigning for Yanukovych and secretly pushing Kuchma toward the use of force. He failed on both counts. In early 2005, mass protests also shook a number of other post-Soviet countries, including Uzbekistan and Kyrgyzstan, where the “Tulip Revolution” unseated the local ruler, Askar Akayev, who had been in power since the late Soviet period. A year before the Orange Revolution, the “Revolution of Roses” in Georgia had brought to power a young, charismatic, pro-Western reformer named Mikheil Saakashvili. In Russia, all these protest movements were labeled “Orange.” Finding itself on the defensive, Moscow began to mimic the tactics used by the opposition during the Orange Revolution, creating and funding numerous pro-government youth organizations, the most notorious of which was “Nashi,” or “Ours.” “Ours” were there to defend the president against revolutionary upheaval, allegedly promoted by foreign powers. Ukraine was singled out in that regard, but behind Ukraine Moscow ideologues saw the threatening shadow of the West.

Indeed, as expected in Moscow, the Orange Revolution produced a major geopolitical shift in Kyiv. President Yushchenko returned to the pro-European policies launched by Kuchma before the Melnychenko tapes scandal of 2001. Those included gradual integration into European structures, from the European Union to NATO. Yushchenko wanted an invitation to join the alliance in the form of a Membership Action Plan, or MAP. His requests did not fall on deaf ears in Brussels, as NATO officials invited Ukraine to begin an Intensified Dialogue on possible membership. The Czech Republic, Slovakia, Hungary, and Poland, Ukraine’s western neighbors who had not wanted their efforts to join NATO to be compromised by association with Ukraine in the 1990s, now all supported Ukraine’s aspirations to membership. They were only too happy to yield their position on NATO’s eastern flank, vulnerable to possible Russian attack, to Ukraine.

In February 2022, a few weeks after his inauguration, Yushchenko attended a meeting of heads of state of NATO member nations in Brussels, where he publicly declared that he wanted his colleagues to regard Ukraine as a future member of the alliance. He did so in the name of the Orange Revolution that he had led and the people who had elected him to the presidency. “I’m pretty much sure, dear friends,” began Yushchenko, “that the people who went onto Kyiv’s squares and streets were motivated because they wanted to see Ukraine in Europe, not as a neighbor of Europe, because we are a country located in the center of Europe. And we would like to see Ukraine integrated into the European Union and into the North Atlantic Alliance.” Before leaving the podium, Yushchenko went out of his way to reassure Russia that his NATO aspirations and those of his country were not directed against Russia. “Russia is our strategic partner,” declared Yushchenko, “and Ukraine’s policy toward NATO will by no means be against the interests of other countries, including Russia.”

Ukraine was trying to solve its security dilemma as best it could. Since NATO had established a strategic partnership with Russia, the idea of Ukraine’s acceding to NATO without antagonizing Russia was theoretically feasible in the 1990s. But in the wake of the Orange Revolution, Kyiv faced a difficult choice: either to accommodate Moscow, which had long-standing territorial claims on Ukraine and had intervened directly in that country’s presidential elections, or to seek protection in a military alliance that could guarantee its territorial integrity and sovereignty. The threat from Russia was real and immediate, while membership in NATO was hypothetical and removed in time. After long vacillation, Kyiv opted decisively for NATO.