Rus' Elites Lose to Poland-Lithuania

From The Gates of Europe: A History of Ukraine, by Serhii Plokhy (Basic Books, 2017), Kindle pp. 105-107:

FROM THE VIEWPOINT of the Rus’ elites of the Grand Duchy of Lithuania, the unions with the Kingdom of Poland had caused nothing but trouble. The immediate outcome of the Union of Kreva was the loss of Rus’ influence on the grand prince, who not only moved out of the duchy but also became a Catholic, setting a precedent for his brothers, some of whom were Orthodox. The Orthodox hierarchs’ hope of establishing Byzantine rather than Latin Christianity in the last pagan realm in Europe were dashed.

But the real challenge to Rus’ political status came in 1413, when the Union of Horodło, which historiography treats as a dynastic union, enhanced the Union of Kreva, a personal union between the Kingdom of Poland and the Grand Duchy of Lithuania. Concluded between Jogaila, now king of Poland, and his cousin Vytautas, the grand duke of Lithuania, the new agreement extended many of the rights and privileges of the Polish nobility, including the right to unconditional ownership of land, to the Lithuanian nobility. Close to fifty Polish noble families offered to share their coats of arms with the same number of families from the grand duchy. But there was a catch: only Lithuanian Catholic families were invited to the party. The new rights and privileges were not accorded to the Orthodox elite. This was the first instance of discrimination against the Rus’ elites at the state level. Denied the new privileges, the Orthodox aristocrats were thus barred from holding high office in the central administration of the grand duchy. To add insult to injury, the Union of Horodło came on the heels of the curbing of Rus’ autonomy by one of the authors of the new union, Grand Duke Vytautas, who replaced the prince of Volhynia and rulers of some other lands with his own appointees.

An opportunity for the Rus’ elites to express their unhappiness with this encroachment on their status came soon after Vytautas’s death in 1430. In the succession struggle for the Lithuanian throne, which deteriorated into a civil war, the Rus’ nobles, led by the Volhynian boyars, supported their own candidate, Prince Švitrigaila. His rival, Prince Žygimantas, responded in 1434 by extending the rights and privileges guaranteed by the Union of Horodło to the Orthodox elites of the grand duchy, turning the tide of war in his favor. Although the Rus’ princes and nobles of Volhynia and the Kyiv Land remained suspicious of the intentions of Žygimantas, their support for Švitrigaila declined, allowing the grand duchy to return to a state of relative peace. With religion eliminated as a source of grievance among the Rus’ elites, the Lithuanian court had more room to maneuver in its continuing efforts to restrict the autonomy of the Rus’ lands and principalities.

In 1470, the grand duke and king of Poland, Casimir IV, abolished the last vestige of the princely era: the principality of Kyiv itself. Ten years later, the Kyivan princes conspired to kill Casimir and install one of their candidates, but their plot failed, leading to the arrest of the ringleaders and forcing the other conspirators to flee the grand duchy. With their departure came an end to the last hopes of restoring the way of life associated with the princely traditions of Kyivan Rus’. By the turn of the sixteenth century, not only Ukraine’s political map but also its institutional, social, and cultural landscape showed few traces of the period two centuries earlier when Galicia-Volhynia had striven to throw off Mongol suzerainty and become a fully independent actor in the region. While Rus’ law and language remained well established, they began to lose their previous dominance. These essentials of Rus’ culture could no longer compete with latinizing influences and the Polish language, which took pride of place in the grand duchy after the Union of Kreva.

Three Polities of Kyivan Rus'

From The Gates of Europe: A History of Ukraine, by Serhii Plokhy (Basic Books, 2017), Kindle pp. 83-86:

THE AUTHORS OF the Primary Chronicle (the laborious task of recording events and commenting on them passed from one generation of monks to another) had to reconcile three different historical identities in their narrative: the Rus’ identity of the Scandinavian rulers of Kyiv, the Slavic identity of the educated elites, and local tribal identity. While the Kyivan rulers and their subjects adopted the name Rus’, the Slavic identity associated with that name, not the Scandinavian one, became the basis of their self-identification. Most subjects of the Rurikids, who ruled their realm from the Slavic heartland, were Slavs. More importantly, the dissemination of Slavic identity beyond the Kyiv region was closely associated with the acceptance of Christianity from Byzantium and the introduction of Church Slavonic as the language of the liturgy, sermons, and intellectual discourse of Rus’. Christianity appeared in both the Slavic and non-Slavic parts of the Kyivan realm in the garb of Slavic languages and Slavic culture. The more Rus’ became Christian, the more it turned Slavic as well. The Kyivan chroniclers incorporated local history into the broader context of the development of the Balkan Slavs and, more broadly still, into the history of Byzantium and world Christendom.

On the local level, tribal identity gave way slowly but surely to identification with local principalities—the centers of military, political, and economic power associated with Kyiv. Chronicle references to the lands surrounding princely towns replaced references to indigenous tribes. Thus, the chronicler refers to the army that sacked Kyiv in 1169 as consisting of people from Smolensk instead of Radimichians, residents of Suzdal instead of Viatichians or Meria, and natives of Chernihiv instead of Siverians. There was a sense of the unity of all the lands under the rule of the Kyivan rulers, and despite conflicts and wars between Rurikid princes, the inhabitants of those lands were considered “ours,” as opposed to foreigners and pagans. The key issue was recognition of the authority of the Rus’ princes, and when some of the Turkic steppe nomads accepted that authority, they became referred to as “our pagans.”

The political and administrative unification of the diverse tribal territories entailed the standardization of their social structure. At its very top were the princes of the Rurikid dynasty, more specifically the descendants of Yaroslav the Wise. Under them were members of the princely retinue—originally Vikings but also increasing numbers of Slavs who merged with local tribal elites to form the aristocratic stratum called the boyars. They were warriors, but in times of peace they administered the realm. The boyars were the main landholding class, and depending on the principality, they had greater or lesser influence on the actions of the prince. Church hierarchs and their servants were also among the privileged.

The rest of the population paid taxes to the princes. The townspeople, who included merchants and artisans, had some political power that they exercised at town meetings, where they decided matters of local governance. Occasionally, as in Kyiv, or quite regularly, as in Novgorod, such meetings influenced the succession of local princes. The peasants, who accounted for most of the population, had no political power. They were divided into free peasants and semifree serfs. The latter could lose their freedom, usually because of debts, and reclaim it once they had paid their debts off or after a certain period. Then there were the slaves—warriors or peasants captured in the course of military campaigns. The enslavement of warriors could be temporary, but that of peasants was permanent.

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The change in the geopolitical aims of the Kyivan princes, from Yaroslav the Wise to Andrei Bogoliubsky, reflects the reduction of their political loyalties from the entire realm of Kyivan Rus’ to a number of principalities defined by the term “Rus’ Land” and eventually to peripheral principalities that grew strong enough to rival Kyiv in the twelfth and early thirteenth centuries. Historians look to those principality-based identities for the origins of the modern East Slavic nations. The Vladimir-Suzdal principality served as a forerunner of early modern Muscovy and, eventually, of modern Russia. Belarusian historians look to the Polatsk principality for their roots. And Ukrainian historians study the principality of Galicia-Volhynia to uncover the foundations of Ukrainian nation-building projects. But all those identities ultimately lead back to Kyiv, which gives Ukrainians a singular advantage: they can search for their origins without ever leaving their capital.

Volodymyr Goes Full Byzantine

From The Gates of Europe: A History of Ukraine, by Serhii Plokhy (Basic Books, 2017), Kindle pp. 67-70:

VOLODYMYR TOOK THE throne in 980. He spent the first decade of his rule on warfare, ensuring that the realm created by his predecessor stayed together. Following in Sviatoslav’s footsteps, he again defeated the Khazars and the Volga Bulgars, reasserted his power over the Viatichians in the Oka basin, and pushed westward to the Carpathians, taking a number of fortresses from the Poles, including the town of Premyshl (Przemyśl) on today’s Polish-Ukrainian border. His main concern, however, was the southern frontier, where the Rus’ settlements were under continual attack by the Pechenegs and other nomadic tribes. Volodymyr strengthened border defenses by building fortifications along the local rivers, including the Sula and the Trubizh. He settled those areas with prisoners of war and subjects from other parts of the realm. Rus’, born of conquest, now sought stability by defending its borders instead of attacking the frontiers of other states.

Under Volodymyr’s rule, Kyiv’s relations with Byzantium were also changing. Whereas his predecessor on the Kyivan throne, Helgi, allegedly had sent troops against Byzantium to obtain trade preferences, and Sviatoslav did the same to acquire new territory in the Balkans, Volodymyr invaded the Crimea in the spring of 989 in pursuit of marriage, if not love. He besieged the Byzantine town of Chersonesus, demanding the hand of the sister of Emperor Basil II. A few years earlier, the emperor had asked Volodymyr for military assistance, promising the hand of his sister Anna in return. Volodymyr sent his troops to help up the emperor. But Basil was in no hurry to fulfill his promise. After receiving this slap in the face, Volodymyr refused to turn the other cheek and instead attacked the empire. His tactic worked. Alarmed by news of the fall of Chersonesus, Basil dispatched his sister Anna to the Crimea. She arrived with a retinue that included numerous Christian clerics.

Volodymyr’s request for marriage was granted in return for an assurance that the barbarian chieftain (as the ruler of Kyiv was regarded in Constantinople) would accept Christianity. Volodymyr went along. His baptism would start the process of the Christianization of Kyivan Rus’ and open a new chapter in the region’s history. Once the wedding party had moved back to Kyiv, Volodymyr removed the pantheon of pagan gods, including the most powerful of them—Perun, the god of thunder—from a hill above the Dnieper and put the Christian clergymen to work baptizing the population of Kyiv. The Christianization of Rus’ had begun—a long and difficult process that would take centuries to complete.

Our main source on the baptism of Rus’, the Kyivan chronicler, writes that Muslim Bulgars, Jewish Khazars, Christian Germans representing the pope, and a Greek scholar who spoke on behalf of Byzantine Christianity, the religion that Volodymyr chose, had all importuned Volodymyr. The story of the choice of faith as told in the Primary Chronicle is of course naïve in many ways. But it reflects certain real alternatives facing the Kyivan ruler, for he indeed did the picking and choosing. Volodymyr chose the religion of the strongest country in the region, in which the emperor was no less important an ecclesiastical figure—more important, in fact—than the patriarch. By choosing Christianity, he gained the prestige of marrying into an imperial family, which promptly elevated the status of his house and realm. Volodymyr’s choice of Christian name sheds additional light on his reasons for accepting Christianity. He took the same name as the emperor, Basil, indicating that in Byzantium he had found a political and religious model to emulate at home. A generation later, Kyivan intellectuals such as Metropolitan Ilarion would compare him and his baptism of Rus’ to Emperor Constantine and his role in establishing Christianity as the official religion of the Roman Empire.

To be sure, the Byzantine political and ecclesiastical elite helped Volodymyr make the “right choice.” They were unhappy with the marriage but not with the conversion. The Byzantines had begun sending missionaries to the region soon after the Rus’ Vikings attacked Constantinople in 860. Back then, Patriarch Photius of Constantinople, the same clergyman who left us the description of the Viking attack, had sent one of his best students, Cyril of Thessalonica, to the Crimea and then to the Khazar kaganate. Along with his brother Methodius, Cyril devised the Glagolitic alphabet to transcribe Christian texts into the Slavic languages. The two men subsequently became known as the apostles to the Slavs and gained sainthood. Attempts to convert Kyivan rulers were undertaken long before Volodymyr’s conversion, as attested by the story of his grandmother, Olha, who became the first known Christian ruler and the first Christian woman in Kyiv named Helen. Apart from propagating Christianity, the Byzantine elites began to gain influence over the “barbaric” rulers and peoples, who had no fancy genealogies and little in the way of sophisticated culture but a great deal of destructive power.

After Volodymyr’s conversion, the patriarch of Constantinople created the Metropolitanate of Rus’, one of few ecclesiastical provinces named after its population and not the city where the bishop or metropolitan would reside. The patriarch reserved for himself the right to appoint metropolitans to head the Rus’ church—most of them would be Greeks. The metropolitan in turn controlled the appointment of bishops, most of whom would come from the ranks of the local elite. The first monasteries were established, using a Byzantine statute. Church Slavonic, the first literary language of Kyivan Rus’, initially functioned predominantly as a translation tool, making Greek texts understandable to local elites. Volodymyr issued regulations defining the rights and privileges of the clergy and gave one-tenth of his income to the church. Christianity in Kyivan Rus’ began at the top and moved slowly down the social ladder, spreading from center to periphery along rivers and trade routes. In some remote areas, especially northeastern Rus’, pagan priests resisted the new religion for centuries, and Kyivan missionaries who ventured there would end up dead as late as the twelfth century.

Volodymyr’s choice would have a profound impact on his realm and on the history of eastern Europe as a whole. Instead of continuing warfare with Byzantium, the new Rus’ polity was entering into an alliance with the only surviving part and continuator of the Roman Empire and thereby opening itself to the political and cultural influences of the Mediterranean world. It would prove fateful that Volodymyr not only brought Rus’ into the Christian world but also made it part of Eastern Christianity. Many of the consequences are as important today as they were at the turn of the second millennium.

Kyiv as Byzantium North

From The Gates of Europe: A History of Ukraine, by Serhii Plokhy (Basic Books, 2017), Kindle pp. 65-66:

FROM THE VERY first reports about the Rus’ princes on the Dnieper River, we hear of their attraction to the Byzantine Empire. The same thing that had attracted the Huns and Goths to Rome drew the Viking merchant warriors to the Byzantine capital, Constantinople: earthly riches, along with power and prestige. The Vikings never set out to topple Byzantium, but they tried to get as close to the empire and its capital as possible, launching a number of expeditions to capture Constantinople.

Sviatoslav’s death in 972 closed an important period in the history of Rus’ and its relations with its powerful southern neighbor. To the next two generations of Kyivan rulers, association with Constantinople was no less desirable than it had been for Sviatoslav. But Sviatoslav’s successors were concerned not only with money and commerce but also with the power, prestige, and high culture emanating from Byzantium. Instead of conquering Constantinople on the Bosphorus, as their predecessors had attempted to do, they decided to reproduce it on the Dnieper. This turn in Rus’ relations with the Byzantine Greeks and the new expectations of the Kyivan princes came to the fore during the rule of Sviatoslav’s son Volodymyr and the latter’s son Yaroslav. The two ran the Kyivan realm for more than half a century and are often credited with turning it into a true medieval state—one with a more or less clearly defined territory, system of government, and, last but not least, ideology. Much of the latter came from Byzantium.

As a prince of Kyiv, Sviatoslav’s son, Volodymyr, was less bellicose and ambitious than his father but turned out to be more successful in achieving his goals. Fifteen years old when his father died near the Dnieper rapids, Volodymyr had brothers who wanted the throne for themselves, and a new wave of Scandinavian arrivals eased his path to power. Before wresting the Kyivan throne from one of his brothers, Volodymyr spent more than five years as a refugee in Scandinavia, the ancestral homeland of his clan. He returned to Rus’ with a new Viking army. The Kyivan chronicler tells us that after Volodymyr took Kyiv, his soldiers asked for payment. Volodymyr promised to give them tribute from the local tribes but was unable to deliver. Instead, he recruited the Viking commanders as his local administrators in forts that he built on the steppe frontier, allowing the rest of the army to engage in an expedition against Byzantium. He also ordered his people not to let that army into their towns and to prevent them from returning.

Slavs Meet Byzantium

From The Gates of Europe: A History of Ukraine, by Serhii Plokhy (Basic Books, 2017), Kindle pp. 43-45:

THE SLAVS FIRST came to general attention in the early sixth century AD, when they showed up en masse on the borders of the Byzantine Empire, which had been weakened by the Goths and Huns, and moved into the Balkans. Jordanes, a sixth-century Byzantine author of Gothic descent, distinguished two major groups among the Slavs of his day. “Though their names are now dispersed amid various clans and places,” he wrote, “yet they are chiefly called Sclaveni and Antes.” He placed the Sclaveni between the Danube and the Dniester, reserving for the Antes the lands between the Dniester and the Dnieper, “in the curve of the sea of Pontus.” Linguistic data suggests that the ancestral homeland of the Slavs lay in the forests and forest-steppe zone between the Dnieper and the Vistula, mainly in Volhynia and the Prypiat marshes of today’s Ukraine. By the time Jordanes wrote, the Slavs must have moved from their forest recesses into the steppes, creating a serious problem for Emperor Justinian the Great.

Justinian ruled the Byzantine Empire between 527 and 567 and was ambitious enough to attempt a restoration of the Roman Empire in its entirety, both east and west. On the Danube frontier, where the empire faced unceasing attacks from local tribes, Justinian decided to take the offensive. Procopius, a sixth-century Byzantine author who left a detailed account of Justinian’s wars, writes that in the early 530s Chilbudius, a commander personally close to the emperor, was sent to wage war north of the Danube. He scored a number of victories over the Antes, which allowed Justinian to add “Anticus” (conqueror of the Antes) to his imperial title. But the success was short-lived. Three years later Chilbudius was killed in battle, and Justinian returned to the old policy of defending the border along the Danube instead of trying to extend it.

Justinian brought back the old Roman tactic of “divide and rule.” By the end of the 530s, not without Byzantine encouragement and incentives, the Antes were already fighting the Sclaveni, while Byzantine generals recruited both groups into the imperial army. Even so, the Slavic raids continued. While at war with the Sclaveni, the Antes managed to invade the Byzantine province of Thrace in the eastern Balkans. They pillaged the land and took numerous slaves, whom they brought back to the left bank of the Danube. Having manifested their destructive potential, the Antes offered their services to the empire. Justinian took them under his wing and designated the abandoned Greek city of Turris, north of the Danube, as their headquarters.

Like many other enemies of the empire, the Antes became its defenders in exchange for regular payments from the imperial treasury. They tried to enhance their status by claiming to have captured the emperor’s best general, Chilbudius, whom they wanted to recognize as their leader. Since Justinian had granted Chilbudius the title of magister militum, or commander of all the imperial troops in the region, such recognition would have made them legitimate citizens of the empire, not merely its gatekeepers. The plot did not succeed. The true Chilbudius was, of course, long dead, his impostor was captured and sent to Justinian, and the Antes had to accept the status of foederati—allies rather than citizens of the great empire.

Classical Pontic Steppe Divisions

From The Gates of Europe: A History of Ukraine, by Serhii Plokhy (Basic Books, 2017), Kindle pp. 39-41:

Ovid’s contemporary Strabo, author of the acclaimed Geographies, knew more about the Pontic steppe than did the famous Roman exile. From Strabo we learn the names of the Sarmatian tribes and the areas under their control. According to him, the Iazyges and Roxolani were “wagon dwellers,” or nomads, but the famous geographer gives us literally nothing about the sedentary population of the forest-steppe areas around the Dnieper, not to mention the wooded areas farther to the north. Unlike Ovid, however, he did not live among the peoples of the region; nor were his sources as good as those of Herodotus. They knew nothing about the “northerners,” and Strabo complained about the ignorance that prevailed “in regard to the rest of the peoples that come next in order in the north; for I know neither the Bastarnae, nor the Sauromatae, nor, in a word, any of the peoples who dwell above the Pontus, nor how far distant they are from the Atlantic Sea, nor whether their countries border upon it.”

Strabo’s informants came from one of the colonies, but if Herodotus made numerous references to the Dnieper, Strabo seemed more familiar with the Don. His sources likely came from Tanais, a Greek colony at the mouth of the Don that belonged to the Bosporan Kingdom, the most powerful union of Greek colonies revived with the arrival of the Romans. For Strabo, the Don had a special meaning. It served as the easternmost boundary of Europe, the term used in the Aegean homeland to describe the expanse of the Greek presence in the outer world. Europe lay to the west of the Don, while Asia began to the east of it.

Thus, at the beginning of the first millennium AD, when the Romans came to the Pontic colonies, the Ukrainian territories found themselves once again at the very edge of what would become Western civilization. The northern frontier of the Hellenic world had now become the eastern boundary of Europe. There it would remain for almost two thousand years, until the rise of the Russian Empire in the eighteenth century redrew the map of Europe, moving its eastern boundary all the way to the Urals.

The division of the Pontic steppes into European and Asian parts did not mean much in the time of the Romans. Strabo wrote about the Sarmatians on both the left and right banks of the Don, and Ptolemy, one of his successors, wrote in the second century AD about two Sarmatias, one European, the other Asian—a division that would remain constant in the works of European geographers for another millennium and a half. More important than the imagined eastern boundary of Europe was the real civilizational frontier between the Mediterranean colonies on the northern shore of the Black Sea and the nomads of the Pontic steppes. Unlike the Greek colonies with their surrounding fortifications, that frontier was never set in stone, creating instead a broad zone of interaction between colonists and locals in which languages, religions, and cultures intermixed, producing new cultural and social realities.

The all-important boundary between the steppe nomads and the agriculturalists of the forest-steppe areas that was known to Herodotus became invisible for Strabo. Whether it disappeared altogether or Mediterranean writers simply did not know about it is hard to say. Geography and ecology stayed the same, while the population probably did not. It certainly refused to stay put in the middle of the first millennium AD, when we next encounter references to the region in the writings of learned Greeks.

Herodotus on Ukraine

From The Gates of Europe: A History of Ukraine, by Serhii Plokhy (Basic Books, 2017), Kindle pp. 29-30:

THE FIRST HISTORIAN of Ukraine was Herodotus, the father of history himself. This honor is usually reserved for the histories of countries and peoples belonging to the Mediterranean world. Ukraine—a stretch of steppes, mountains, and forests north of the Black Sea, which was known to the Greeks as the Pontos euxeinos (Hospitable Sea, latinized by the Romans as Pontus euxinus)—was an important part of that world. Its importance was of a particular nature. The world of Herodotus was centered on the city-states of ancient Greece, extending to Egypt in the south and the Crimea and the Pontic steppes in the north. If Egypt was a land of ancient culture and philosophy to study and emulate, the territory of today’s Ukraine was a quintessential frontier where Greek civilization encountered its barbaric alter ego. It was the first frontier of a political and cultural sphere that would come to be known as the Western world. That is where the West began to define itself and its other.

Herodotus, known in Greek as Herodotos, came from Halicarnassus, a Greek city in what is now Turkey. In the fifth century BC, when he lived, wrote, and recited his Histories, his birthplace was part of the Persian Empire. Herodotus spent a good part of his life in Athens, lived in southern Italy, and crisscrossed the Mediterranean and Middle Eastern worlds, traveling to Egypt and Babylon among other places. An admirer of Athenian democracy, he wrote in Ionic Greek, but his interests were as global as they could be at the time. His Histories, later divided into nine books, dealt with the origins of the Greco-Persian wars that began in 499 and continued until the mid-fifth century BC. Herodotus lived through a good part of that period and researched the subject for thirty years after the end of the wars in 449. He depicted the conflict as an epic struggle between freedom and slavery—the former represented by the Greeks, the latter by the Persians. Although his own political and ideological sympathies were engaged, he wanted to tell both sides of the story. In his own words, he set out “to preserve the memory of the past by putting on record the astonishing achievements of both the Greeks and the Barbarians.”

Herodotus’s interest in the “barbarian” part of the story turned his attention to the Pontic steppes. In 512 BC, thirteen years before the start of the wars, Darius the Great, by far the most powerful ruler of the Persian Empire, invaded the region to avenge himself on the Scythians, who had played a trick on him. The Scythian kings, nomadic rulers of a vast realm north of the Black Sea, had made Darius march all the way from the Danube to the Don in pursuit of their highly mobile army without giving him a chance to engage it in battle. This was a humiliating defeat for a ruler who would pose a major threat to the Greek world a decade and a half later. In his Histories, Herodotus spared no effort in relating whatever he knew or had ever heard about the mysterious Scythians and their land, customs, and society. It would appear that despite his extensive travels, he never visited the region himself and had to rely on stories told by others. But his detailed description of the Scythians and the lands and peoples they ruled made him not only the first historian but also the first geographer and ethnographer of Ukraine.