[Excerpted from Russia: A Country Study, Glenn E. Curtis, ed. (Washington, DC: Federal Research Division of the Library of Congress, 1996).
EACH OF THE MANY NATIONALITIES of Russia has a separate history and complex origins. The historical origins of the Russian state, however, are chiefly those of the East Slavs, the ethnic group that evolved into the Russian, Ukrainian, and Belorussian peoples. The major pre-Soviet states of the East Slavs were, in chronological order, medieval Kievan Rus', Muscovy, and the Russian Empire. Three other states--Poland, Lithuania, and the Mongol Empire--also played crucial roles in the historical development of Russia.
The first East Slavic state, Kievan Rus', emerged along the Dnepr River valley, where it controlled the trade route between Scandinavia and the Byzantine Empire. Kievan Rus' adopted Christianity from the Byzantine Empire in the tenth century, beginning the synthesis of Byzantine and Slavic cultures that defined Russian culture for the next thousand years. Kievan Rus' ultimately disintegrated as a state because of the armed struggles among members of the princely family that collectively possessed it. Conquest by the Mongols in the thirteenth century was the final blow in this disintegration; subsequently, a number of states claimed to be the heirs to the civilization and dominant position of Kievan Rus'. One of those states, Muscovy, was a predominantly Russian territory located at the far northern edge of the former cultural center. Muscovy gradually came to dominate neighboring territories, forming the basis for the future Russian Empire.
Muscovy had significant impact on the civilizations that followed, and they adopted many of its characteristics, including the subordination of the individual to the state. This idea of the dominant state derived from the Slavic, Mongol, and Byzantine heritage of Muscovy, and it later emerged in the unlimited power of the tsar. Both individuals and institutions, even the Russian Orthodox Church, were subordinate to the state as it was represented in the person of the autocrat.
A second characteristic of Russian history has been continual territorial expansion. Beginning with Muscovy's efforts to consolidate Russian territory as Tatar control waned in the fifteenth century, expansion soon went beyond ethnically Russian areas; by the eighteenth century, the principality of Muscovy had become the huge Russian Empire, stretching from Poland eastward to the Pacific Ocean. Size and military might made Russia a major power, but its acquisition of large territories inhabited by non-Russian peoples began an enduring pattern of nationality problems.
Expansion westward sharpened Russia's awareness of its backwardness and shattered the isolation in which the initial stages of expansion had taken place. Muscovy was able to develop at its own pace, but the Russian Empire was forced to adopt Western technology to compete militarily in Europe. Under this exigency, Peter the Great (r. 1682-1725) and subsequent rulers attempted to modernize the country. Most such efforts struggled with indifferent success to raise Russia to European levels of technology and productivity. The technology that Russia adopted brought with it Western cultural and intellectual currents that changed the direction in which Russian culture developed. As Western influence continued, native and foreign cultural values began a competition that survives in vigorous form in the 1990s. The nature of Russia's relationship with the West became an enduring obsession of Russian intellectuals.
Russia's defeat in the Crimean War (1853-56) triggered another attempt at modernization, including the emancipation of the peasants who had been bound to the land in the system of serfdom. Despite major reforms enacted in the 1860s, however, agriculture remained inefficient, industrialization proceeded slowly, and new social problems emerged. In addition to masses of peasants seeking land to till, a new class of industrial workers--the proletariat--and a small but influential group of middle-class professionals were dissatisfied with their positions. The non-Russian populations resented periodic official Russification campaigns and struggled for autonomy. Successive regimes of the nineteenth century responded to such pressures with a combination of halfhearted reform and repression, but no tsar was willing to cede autocratic rule or share power. Gradually, the monarch and the state system that surrounded him became isolated from the rest of society. In the last decades of the nineteenth century, some intellectuals became more radical, and groups of professional revolutionaries emerged.
In spite of its internal problems, Russia continued to play a major role in international politics. However, unexpected defeat in the Russo-Japanese War of 1904-05 sparked a revolution in 1905. At that stage, professionals, workers, peasants, minority ethnic groups, and soldiers demanded fundamental reforms. Reluctantly, Nicholas II responded to the first of Russia's revolutions by granting a limited constitution, but he increasingly circumvented its democratic clauses, and autocracy again took command in the last decade of the tsarist state. World War I found Russia unready for combat but full of patriotic zeal. However, as the government proved incompetent and conditions worsened, war weariness and revolutionary pressures increased, and the defenders of the autocracy grew fewer.
Many ethnically diverse peoples migrated onto the East European Plain, but the East Slavs remained and gradually became dominant. Kievan Rus', the first East Slavic state, emerged in the ninth century A.D. and developed a complex and frequently unstable political system that flourished until the thirteenth century, when it declined abruptly. Among the lasting achievements of Kievan Rus' are the introduction of a Slavic variant of the Eastern Orthodox religion and a synthesis of Byzantine and Slavic cultures. The disintegration of Kievan Rus' played a crucial role in the evolution of the East Slavs into the Russian, Ukrainian, and Belorussian peoples.
The Inhabitants of the East European Plain
Long before the organization of Kievan Rus', Iranian and other peoples lived in the area of present-day Ukraine. The best known of those groups was the nomadic Scythians, who occupied the region from about 600 B.C. to 200 B.C. and whose skill in warfare and horsemanship is legendary. Between A.D. 100 and A.D. 900, Goths and nomadic Huns, Avars, and Magyars passed through the region in their migrations. Although some of them subjugated the Slavs in the region, those tribes left little of lasting importance. More significant in this period was the expansion of the Slavs, who were agriculturists and beekeepers as well as hunters, fishers, herders, and trappers. By A.D. 600, the Slavs were the dominant ethnic group on the East European Plain.
Little is known of the origin of the Slavs. Philologists and archaeologists theorize that the Slavs settled very early in the Carpathian Mountains or in the area of present-day Belarus. By A.D. 600, they had split linguistically into southern, western, and eastern branches. The East Slavs settled along the Dnepr River in what is now Ukraine; then they spread northward to the northern Volga River valley, east of modern-day Moscow, and westward to the basins of the northern Dnestr and the western Bug rivers, in present-day Moldova and southern Ukraine. In the eighth and ninth centuries, many East Slavic tribes paid tribute to the Khazars, a Turkic-speaking people who adopted Judaism about A.D. 740 and lived in the southern Volga and Caucasus regions.
The East Slavs and the Varangians
By the ninth century, Scandinavian warriors and merchants, called Varangians, had penetrated the East Slavic regions. According to the Primary Chronicle , the earliest chronicle of Kievan Rus', a Varangian named Rurik first established himself in Novgorod, just south of modern-day St. Petersburg, in about 860 before moving south and extending his authority to Kiev. The chronicle cites Rurik as the progenitor of a dynasty that ruled in Eastern Europe until 1598. Another Varangian, Oleg, moved south from Novgorod to expel the Khazars from Kiev and founded Kievan Rus' about A.D. 880. During the next thirty-five years, Oleg subdued the various East Slavic tribes. In A.D. 907, he led a campaign against Constantinople, and in 911 he signed a commercial treaty with the Byzantine Empire as an equal partner. The new Kievan state prospered because it controlled the trade route from the Baltic Sea to the Black Sea and because it had an abundant supply of furs, wax, honey, and slaves for export. Historians have debated the role of the Varangians in the establishment of Kievan Rus'. Most Russian historians--especially in the Soviet era--have stressed the Slavic influence in the development of the state. Although Slavic tribes had formed their own regional jurisdictions by 860, the Varangians accelerated the crystallization of Kievan Rus'.
The Golden Age of Kiev
The region of Kiev dominated the state of Kievan Rus' for the next two centuries. The grand prince of Kiev controlled the lands around the city, and his theoretically subordinate relatives ruled in other cities and paid him tribute. The zenith of the state's power came during the reigns of Prince Vladimir (r. 978-1015) and Prince Yaroslav (the Wise; r. 1019-54). Both rulers continued the steady expansion of Kievan Rus' that had begun under Oleg. To enhance their power, Vladimir married the sister of the Byzantine emperor, and Yaroslav arranged marriages for his sister and three daughters to the kings of Poland, France, Hungary, and Norway. Vladimir's greatest achievement was the Christianization of Kievan Rus', a process that began in 988. He built the first great edifice of Kievan Rus', the Desyatinnaya Church in Kiev. Yaroslav promulgated the first East Slavic law code, Rus'ka pravda (Justice of Rus'); built cathedrals named for St. Sophia in Kiev and Novgorod; patronized local clergy and monasticism; and is said to have founded a school system. Yaroslav's sons developed Kiev's great Peshcherskiy monastyr' (Monastery of the Caves), which functioned in Kievan Rus' as an ecclesiastical academy.
Vladimir's choice of Eastern Orthodoxy reflected his close personal ties with Constantinople, which dominated the Black Sea and hence trade on Kiev's most vital commercial route, the Dnepr River. Adherence to the Eastern Orthodox Church had long-range political, cultural, and religious consequences. The church had a liturgy written in Cyrillic and a corpus of translations from the Greek that had been produced for the South Slavs. The existence of this literature facilitated the East Slavs' conversion to Christianity and introduced them to rudimentary Greek philosophy, science, and historiography without the necessity of learning Greek. In contrast, educated people in medieval Western and Central Europe learned Latin. Because the East Slavs learned neither Greek nor Latin, they were isolated from Byzantine culture as well as from the European cultures of their neighbors to the west.
In the centuries that followed the state's foundation, Rurik's purported descendants shared power over Kievan Rus'. Princely succession moved from elder to younger brother and from uncle to nephew, as well as from father to son. Junior members of the dynasty usually began their official careers as rulers of a minor district, progressed to more lucrative principalities, and then competed for the coveted throne of Kiev.
In the eleventh and twelfth centuries, the princes and their retinues, which were a mixture of Varangian and Slavic elites and small Finno-Ugric and Turkic elements, dominated the society of Kievan Rus'. Leading soldiers and officials received income and land from the princes in return for their political and military services. Kievan society lacked the class institutions and autonomous towns that were typical of West European feudalism. Nevertheless, urban merchants, artisans, and laborers sometimes exercised political influence through a city assembly, the veche, which included all the adult males in the population. In some cases, the veche either made agreements with their rulers or expelled them and invited others to take their place. At the bottom of society was a small stratum of slaves. More important was a class of tribute-paying peasants, who owed labor duty to the princes; the widespread personal serfdom characteristic of Western Europe did not exist in Kievan Rus', however.
The Rise of Regional Centers
Kievan Rus' was not able to maintain its position as a powerful and prosperous state, in part because of the amalgamation of disparate lands under the control of a ruling clan. As the members of that clan became more numerous, they identified themselves with regional interests rather than with the larger patrimony. Thus, the princes fought among themselves, frequently forming alliances with outside groups such as the Polovtsians, Poles, and Hungarians. The Crusades brought a shift in European trade routes that accelerated the decline of Kievan Rus'. In 1204 the forces of the Fourth Crusade sacked Constantinople, making the Dnepr trade route marginal. As it declined, Kievan Rus' splintered into many principalities and several large regional centers. The inhabitants of those regional centers then evolved into three nationalities: Ukrainians in the southeast and southwest, Belorussians in the northwest, and Russians in the north and northeast.
In the north, the Republic of Novgorod prospered as part of Kievan Rus' because it controlled trade routes from the Volga River to the Baltic Sea. As Kievan Rus' declined, Novgorod became more independent. A local oligarchy ruled Novgorod; major government decisions were made by a town assembly, which also elected a prince as the city's military leader. In the twelfth century, Novgorod acquired its own archbishop, a sign of increased importance and political independence. In its political structure and mercantile activities, Novgorod resembled the north European towns of the Hanseatic League, the prosperous alliance that dominated the commercial activity of the Baltic region between the thirteenth and seventeenth centuries, more than the other principalities of Kievan Rus'.
In the northeast, East Slavs colonized the territory that eventually became Muscovy by intermingling with the Finno-Ugric tribes already occupying the area. The city of Rostov was the oldest center of the northeast, but it was supplanted first by Suzdal' and then by the city of Vladimir. By the twelfth century, the combined principality of Vladimir-Suzdal' had become a major power in Kievan Rus'.
In 1169 Prince Andrey Bogolyubskiy of Vladimir-Suzdal' dealt a severe blow to the waning power of Kievan Rus' when his armies sacked the city of Kiev. Prince Andrey then installed his younger brother to rule in Kiev and continued to rule his realm from Suzdal'. Thus, political power shifted to the northeast, away from Kiev, in the second half of the twelfth century. In 1299, in the wake of the Mongol invasion, the metropolitan of the Orthodox Church moved to the city of Vladimir, and Vladimir-Suzdal' replaced Kievan Rus' as the religious center.
To the southwest, the principality of Galicia-Volhynia had highly developed trade relations with its Polish, Hungarian, and Lithuanian neighbors and emerged as another successor to Kievan Rus'. In the early thirteenth century, Prince Roman Mstislavich united the two previously separate principalities, conquered Kiev, and assumed the title of grand duke of Kievan Rus'. His son, Prince Daniil (Danylo; r. 1238-64) was the first ruler of Kievan Rus' to accept a crown from the Roman papacy, apparently doing so without breaking with Orthodoxy. Early in the fourteenth century, the patriarch of the Orthodox Church in Constantinople granted the rulers of Galicia-Volhynia a metropolitan to compensate for the move of the Kievan metropolitan to Vladimir.
However, a long and unsuccessful struggle against the Mongols combined with internal opposition to the prince and foreign intervention to weaken Galicia-Volhynia. With the end of the Mstislavich Dynasty in the mid-fourteenth century, Galicia-Volhynia ceased to exist; Lithuania took Volhynia, and Poland annexed Galicia.
The Mongol Invasion
As it was undergoing fragmentation, Kievan Rus' faced its greatest threat from invading Mongols. In 1223 an army from Kievan Rus', together with a force of Turkic Polovtsians, faced a Mongol raiding party at the Kalka River. The Kievan alliance was defeated soundly. Then, in 1237-38, a much larger Mongol force overran much of Kievan Rus'. In 1240 the Mongols sacked the city of Kiev and then moved west into Poland and Hungary. Of the principalities of Kievan Rus', only the Republic of Novgorod escaped occupation, but it paid tribute to the Mongols. One branch of the Mongol force withdrew to Saray on the lower Volga River, establishing the Golden Horde. From Saray the Golden Horde Mongols ruled Kievan Rus' indirectly through their princes and tax collectors.
The impact of the Mongol invasion on the territories of Kievan Rus' was uneven. Centers such as Kiev never recovered from the devastation of the initial attack. The Republic of Novgorod continued to prosper, however, and a new entity, the city of Moscow, began to flourish under the Mongols. Although a Russian army defeated the Golden Horde at Kulikovo in 1380, Mongol domination of the Russian-inhabited territories, along with demands of tribute from Russian princes, continued until about 1480.
Historians have debated the long-term influence of Mongol rule on Russian society. The Mongols have been blamed for the destruction of Kievan Rus', the breakup of the "Russian" nationality into three components, and the introduction of the concept of "oriental despotism" into Russia. But most historians agree that Kievan Rus' was not a homogeneous political, cultural, or ethnic entity and that the Mongols merely accelerated a fragmentation that had begun before the invasion. Historians also credit the Mongol regime with an important role in the development of Muscovy as a state. Under Mongol occupation, for example, Muscovy developed its postal road network, census, fiscal system, and military organization.
Kievan Rus' also left a powerful legacy. The leader of the Rurik Dynasty united a large territory inhabited by East Slavs into an important, albeit unstable, state. After Vladimir accepted Eastern Orthodoxy, Kievan Rus' came together under a church structure and developed a Byzantine-Slavic synthesis in culture, statecraft, and the arts. On the northeastern periphery of Kievan Rus', those traditions were adapted to form the Russian autocratic state.
The development of the Russian state can be traced from Vladimir-Suzdal' through Muscovy to the Russian Empire. Muscovy drew people and wealth to the northeastern periphery of Kievan Rus'; established trade links to the Baltic Sea, the White Sea, and the Caspian Sea and to Siberia; and created a highly centralized and autocratic political system. Muscovite political traditions, therefore, exerted a powerful influence on Russian society.
The Rise of Muscovy
When the Mongols invaded the lands of Kievan Rus', Moscow was an insignificant trading outpost in the principality of Vladimir-Suzdal'. The outpost's remote, forested location offered some security from Mongol attack and occupation, and a number of rivers provided access to the Baltic and Black seas and to the Caucasus region. More important to Moscow's development in what became the state of Muscovy, however, was its rule by a series of princes who were ambitious, determined, and lucky. The first ruler of the principality of Muscovy, Daniil Aleksandrovich (d. 1303), secured the principality for his branch of the Rurik Dynasty. His son, Ivan I (r. 1325-40), known as Ivan Kalita ("Money Bags"), obtained the title "Grand Prince of Vladimir" from his Mongol overlords. He cooperated closely with the Mongols and collected tribute from other Russian principalities on their behalf. This relationship enabled Ivan to gain regional ascendancy, particularly over Muscovy's chief rival, the northern city of Tver'. In 1327 the Orthodox metropolitan transferred his residency from Vladimir to Moscow, further enhancing the prestige of the new principality.
In the fourteenth century, the grand princes of Muscovy began gathering Russian lands to increase the population and wealth under their rule (see table 2, Appendix). The most successful practitioner of this process was Ivan III (the Great; r. 1462-1505), who conquered Novgorod in 1478 and Tver' in 1485. Muscovy gained full sovereignty over the ethnically Russian lands in 1480 when Mongol overlordship ended officially, and by the beginning of the sixteenth century virtually all those lands were united. Through inheritance, Ivan obtained part of the province of Ryazan', and the princes of Rostov and Yaroslavl' voluntarily subordinated themselves to him. The northwestern city of Pskov remained independent in this period, but Ivan's son, Vasiliy III (r. 1505-33), later conquered it.
Ivan III was the first Muscovite ruler to use the titles of tsar and "Ruler of all Rus'." Ivan competed with his powerful northwestern rival Lithuania for control over some of the semi-independent former principalities of Kievan Rus' in the upper Dnepr and Donets river basins. Through the defections of some princes, border skirmishes, and a long, inconclusive war with Lithuania that ended only in 1503, Ivan III was able to push westward, and Muscovy tripled in size under his rule.
The Evolution of the Russian Aristocracy
Internal consolidation accompanied outward expansion of the state. By the fifteenth century, the rulers of Muscovy considered the entire Russian territory their collective property. Various semi-independent princes still claimed specific territories, but Ivan III forced the lesser princes to acknowledge the grand prince of Muscovy and his descendants as unquestioned rulers with control over military, judicial, and foreign affairs.
Gradually, the Muscovite ruler emerged as a powerful, autocratic ruler, a tsar. By assuming that title, the Muscovite prince underscored that he was a major ruler or emperor on a par with the emperor of the Byzantine Empire or the Mongol khan. Indeed, after Ivan III's marriage to Sophia Paleologue, the niece of the last Byzantine emperor, the Muscovite court adopted Byzantine terms, rituals, titles, and emblems such as the double-headed eagle. At first, the term autocrat connoted only the literal meaning of an independent ruler, but in the reign of Ivan IV (r. 1533-84) it came to mean unlimited rule. Ivan IV was crowned tsar and thus was recognized, at least by the Orthodox Church, as emperor. An Orthodox monk had claimed that, once Constantinople had fallen to the Ottoman Empire in 1453, the Muscovite tsar was the only legitimate Orthodox ruler and that Moscow was the Third Rome because it was the final successor to Rome and Constantinople, the centers of Christianity in earlier periods. That concept was to resonate in the self-image of Russians in future centuries.
The development of the tsar's autocratic powers reached a peak during the reign of Ivan IV, and he became known as the Terrible (his Russian epithet, groznyy , means threatening or dreaded). Ivan strengthened the position of the tsar to an unprecedented degree, demonstrating the risks of unbridled power in the hands of a mentally unstable individual. Although apparently intelligent and energetic, Ivan suffered from bouts of paranoia and depression, and his rule was punctuated by acts of extreme violence.
Ivan IV became grand prince of Muscovy in 1533 at the age of three. Various factions of the boyars (see Glossary) competed for control of the regency until Ivan assumed the throne in 1547. Reflecting Muscovy's new imperial claims, Ivan's coronation as tsar was an elaborate ritual modeled after those of the Byzantine emperors. With the continuing assistance of a group of boyars, Ivan began his reign with a series of useful reforms. In the 1550s, he promulgated a new law code, revamped the military, and reorganized local government. These reforms undoubtedly were intended to strengthen the state in the face of continuous warfare.
During the late 1550s, Ivan developed a hostility toward his advisers, the government, and the boyars. Historians have not determined whether policy differences, personal animosities, or mental imbalance cause his wrath. In 1565 he divided Muscovy into two parts: his private domain and the public realm. For his private domain, Ivan chose some of the most prosperous and important districts of Muscovy. In these areas, Ivan's agents attacked boyars, merchants, and even common people, summarily executing some and confiscating land and possessions. Thus began a decade of terror in Muscovy. As a result of this policy, called the oprichnina , Ivan broke the economic and political power of the leading boyar families, thereby destroying precisely those persons who had built up Muscovy and were the most capable of administering it. Trade diminished, and peasants, faced with mounting taxes and threats of violence, began to leave Muscovy. Efforts to curtail the mobility of the peasants by tying them to their land brought Muscovy closer to legal serfdom. In 1572 Ivan finally abandoned the practices of the oprichnina.
Despite the domestic turmoil of Ivan's late period, Muscovy continued to wage wars and to expand. Ivan defeated and annexed the Kazan' Khanate on the middle Volga in 1552 and later the Astrakhan' Khanate, where the Volga meets the Caspian Sea. These victories gave Muscovy access to the entire Volga River and to Central Asia. Muscovy's eastward expansion encountered relatively little resistance. In 1581 the Stroganov merchant family, interested in fur trade, hired a Cossack (see Glossary) leader, Yermak, to lead an expedition into western Siberia. Yermak defeated the Siberian Khanate and claimed the territories west of the Ob' and Irtysh rivers for Muscovy (see fig. 3).
Expanding to the northwest toward the Baltic Sea proved to be much more difficult. In 1558 Ivan invaded Livonia, eventually embroiling him in a twenty-five-year war against Poland, Lithuania, Sweden, and Denmark. Despite occasional successes, Ivan's army was pushed back, and Muscovy failed to secure a coveted position on the Baltic Sea. The war drained Muscovy. Some historians believe that Ivan initiated the oprichnina to mobilize resources for the war and to quell opposition to it. Regardless of the reason, Ivan's domestic and foreign policies had a devastating effect on Muscovy, and they led to a period of social struggle and civil war, the so-called Time of Troubles (Smutnoye vremya, 1598-1613).
The Time of Troubles
Ivan IV was succeeded by his son Fedor, who was mentally deficient. Actual power went to Fedor's brother-in-law, the boyar Boris Godunov. Perhaps the most important event of Fedor's reign was the proclamation of the patriarchate of Moscow in 1589. The creation of the patriarchate climaxed the evolution of a separate and totally independent Russian Orthodox Church.
In 1598 Fedor died without an heir, ending the Rurik Dynasty. Boris Godunov then convened a zemskiy sobor , a national assembly of boyars, church officials, and commoners, which proclaimed him tsar, although various boyar factions refused to recognize the decision. Widespread crop failures caused a famine between 1601 and 1603, and during the ensuing discontent, a man emerged who claimed to be Dmitriy, Ivan IV's son who had died in 1591. This pretender to the throne, who came to be known as the first False Dmitriy, gained support in Poland and marched to Moscow, gathering followers among the boyars and other elements as he went. Historians speculate that Godunov would have weathered this crisis, but he died in 1605. As a result, the first False Dmitriy entered Moscow and was crowned tsar that year, following the murder of Tsar Fedor II, Godunov's son.
Subsequently, Muscovy entered a period of continuous chaos. The Time of Troubles included a civil war in which a struggle over the throne was complicated by the machinations of rival boyar factions, the intervention of regional powers Poland and Sweden, and intense popular discontent. The first False Dmitriy and his Polish garrison were overthrown, and a boyar, Vasiliy Shuyskiy, was proclaimed tsar in 1606. In his attempt to retain the throne, Shuyskiy allied himself with the Swedes. A second False Dmitriy, allied with the Poles, appeared. In 1610 that heir apparent was proclaimed tsar, and the Poles occupied Moscow. The Polish presence led to a patriotic revival among the Russians, and a new army, financed by northern merchants and blessed by the Orthodox Church, drove the Poles out. In 1613 a new zemskiy sobor proclaimed the boyar Mikhail Romanov as tsar, beginning the 300-year reign of the Romanov family.
Muscovy was in chaos for more than a decade, but the institution of the autocracy remained intact. Despite the tsar's persecution of the boyars, the townspeople's dissatisfaction, and the gradual enserfment of the peasantry, efforts at restricting the power of the tsar were only halfhearted. Finding no institutional alternative to the autocracy, discontented Russians rallied behind various pretenders to the throne. During that period, the goal of political activity was to gain influence over the sitting autocrat or to place one's own candidate on the throne. The boyars fought among themselves, the lower classes revolted blindly, and foreign armies occupied the Kremlin (see Glossary) in Moscow, prompting many to accept tsarist absolutism as a necessary means to restoring order and unity in Muscovy.
The immediate task of the new dynasty was to restore order. Fortunately for Muscovy, its major enemies, Poland and Sweden, were engaged in a bitter conflict with each other, which provided Muscovy the opportunity to make peace with Sweden in 1617 and to sign a truce with Poland in 1619. After an unsuccessful attempt to regain the city of Smolensk from Poland in 1632, Muscovy made peace with Poland in 1634. Polish king Wladyslaw IV, whose father and predecessor Sigismund III had manipulated his nominal selection as tsar of Muscovy during the Time of Troubles, renounced all claims to the title as a condition of the peace treaty.
The early Romanovs were weak rulers. Under Mikhail, state affairs were in the hands of the tsar's father, Filaret, who in 1619 became patriarch of the Orthodox Church. Later, Mikhail's son Aleksey (r. 1645-76) relied on a boyar, Boris Morozov, to run his government. Morozov abused his position by exploiting the populace, and in 1648 Aleksey dismissed him in the wake of a popular uprising in Moscow.
The autocracy survived the Time of Troubles and the rule of weak or corrupt tsars because of the strength of the government's central bureaucracy. Government functionaries continued to serve, regardless of the ruler's legitimacy or the boyar faction controlling the throne. In the seventeenth century, the bureaucracy expanded dramatically. The number of government departments (prikazy ; sing., prikaz ) increased from twenty-two in 1613 to eighty by mid-century. Although the departments often had overlapping and conflicting jurisdictions, the central government, through provincial governors, was able to control and regulate all social groups, as well as trade, manufacturing, and even the Orthodox Church.
The comprehensive legal code introduced in 1649 illustrates the extent of state control over Russian society. By that time, the boyars had largely merged with the elite bureaucracy, who were obligatory servitors of the state, to form a new nobility, the dvoryanstvo . The state required service from both the old and the new nobility, primarily in the military. In return, they received land and peasants. In the preceding century, the state had gradually curtailed peasants' rights to move from one landlord to another; the 1649 code officially attached peasants to their domicile. The state fully sanctioned serfdom, and runaway peasants became state fugitives. Landlords had complete power over their peasants and bought, sold, traded, and mortgaged them. Peasants living on state-owned land, however, were not considered serfs. They were organized into communes, which were responsible for taxes and other obligations. Like serfs, however, state peasants were attached to the land they farmed. Middle-class urban tradesmen and craftsmen were assessed taxes, and, like the serfs, they were forbidden to change residence. All segments of the population were subject to military levy and to special taxes. By chaining much of Muscovite society to specific domiciles, the legal code of 1649 curtailed movement and subordinated the people to the interests of the state.
Under this code, increased state taxes and regulations exacerbated the social discontent that had been simmering since the Time of Troubles. In the 1650s and 1660s, the number of peasant escapes increased dramatically. A favorite refuge was the Don River region, domain of the Don Cossacks. A major uprising occurred in the Volga region in 1670 and 1671. Stenka Razin, a Cossack who was from the Don River region, led a revolt that drew together wealthy Cossacks who were well established in the region and escaped serfs seeking free land. The unexpected uprising swept up the Volga River valley and even threatened Moscow. Tsarist troops finally defeated the rebels after they had occupied major cities along the Volga in an operation whose panache captured the imaginations of later generations of Russians. Razin was publicly tortured and executed.
Expansion and Westernization
Muscovy continued its territorial growth through the seventeenth century. In the southwest, it acquired eastern Ukraine, which had been under Polish rule. The Ukrainian Cossacks, warriors organized in military formations, lived in the frontier areas bordering Poland, the Tatar lands, and Muscovy. Although they had served in the Polish army as mercenaries, the Ukrainian Cossacks remained fiercely independent and staged a number of uprisings against the Poles. In 1648 most of Ukrainian society joined the Cossacks in a revolt because of the political, social, religious, and ethnic oppression suffered under Polish rule. After the Ukrainians had thrown off Polish rule, they needed military help to maintain their position. In 1654 the Ukrainian leader, Bogdan Khmel'nitskiy (Bohdan Khmel'nyts'kyy), offered to place Ukraine under the protection of the Muscovite tsar, Aleksey I, rather than under the Polish king. Aleksey's acceptance of this offer, which was ratified in the Treaty of Pereyaslavl', led to a protracted war between Poland and Muscovy. The Treaty of Andrusovo, which ended the war in 1667, split Ukraine along the Dnepr River, reuniting the western sector with Poland and leaving the eastern sector self-governing under the suzerainty of the tsar.
In the east, Muscovy had obtained western Siberia in the sixteenth century. From this base, merchants, traders, and explorers pushed eastward from the Ob' River to the Yenisey River, then to the Lena River. By the middle of the seventeenth century, Muscovites had reached the Amur River and the outskirts of the Chinese Empire. After a period of conflict with the Manchu Dynasty, Muscovy made peace with China in 1689. By the Treaty of Nerchinsk, Muscovy ceded its claims to the Amur Valley, but it gained access to the region east of Lake Baikal and the trade route to Beijing. Peace with China consolidated the initial breakthrough to the Pacific that had been made in the middle of the century.
Muscovy's southwestern expansion, particularly its incorporation of eastern Ukraine, had unintended consequences. Most Ukrainians were Orthodox, but their close contact with the Roman Catholic Polish Counter-Reformation also brought them Western intellectual currents. Through Kiev, Muscovy gained links to Polish and Central European influences and to the wider Orthodox world. Although the Ukrainian link stimulated creativity in many areas, it also undermined traditional Russian religious practices and culture. The Russian Orthodox Church discovered that its isolation from Constantinople had caused variations to creep into its liturgical books and practices. The Russian Orthodox patriarch, Nikon, was determined to bring the Russian texts back into conformity with the Greek originals. But Nikon encountered fierce opposition among the many Russians who viewed the corrections as improper foreign intrusions, or perhaps the work of the devil. When the Orthodox Church forced Nikon's reforms, a schism resulted in 1667. Those who did not accept the reforms came to be called the Old Believers (starovery ); they were officially pronounced heretics and were persecuted by the church and the state. The chief opposition figure, the archpriest Avvakum, was burned at the stake. The split subsequently became permanent, and many merchants and peasants joined the Old Believers.
The tsar's court also felt the impact of Ukraine and the West. Kiev was a major transmitter of new ideas and insight through the famed scholarly academy that Metropolitan Mogila (Mohyla) founded there in 1631. Among the results of this infusion of ideas into Muscovy were baroque architecture, literature, and icon painting. Other more direct channels to the West opened as international trade increased and more foreigners came to Muscovy. The tsar's court was interested in the West's more advanced technology, particularly when military applications were involved. By the end of the seventeenth century, Ukrainian, Polish, and West European penetration had undermined the Muscovite cultural synthesis--at least among the elite--and had prepared the way for an even more radical transformation.
Early Imperial Russia
In the eighteenth century, Muscovy was transformed from a static, somewhat isolated, traditional state into the more dynamic, partially Westernized, and secularized Russian Empire. This transformation was in no small measure a result of the vision, energy, and determination of Peter the Great. Historians disagree about the extent to which Peter himself transformed Russia, but they generally concur that he laid the foundations for empire building over the next two centuries. The era that Peter initiated signaled the advent of Russia as a major European power. But, although the Russian Empire would play a leading political role in the next century, its retention of serfdom precluded economic progress of any significant degree. As West European economic growth accelerated during the Industrial Revolution, which had begun in the second half of the eighteenth century, Russia began to lag ever farther behind, creating new problems for the empire as a great power.
Peter the Great and the Russian Empire
As a child of the second marriage of Tsar Aleksey, Peter at first was relegated to the background of Russian politics as various court factions struggled to control the throne. Aleksey was succeeded by his son from his first marriage, Fedor III, a sickly boy who died in 1682. Peter then was made co-tsar with his half brother, Ivan V, but Peter's half sister, Sofia, held the real power. She ruled as regent while the young Peter was allowed to play war games with his friends and to roam in Moscow's foreign quarters. These early experiences instilled in him an abiding interest in Western military practice and technology, particularly in military engineering, artillery, navigation, and shipbuilding. In 1689, using troops that he had drilled during childhood games, Peter foiled a plot to have Sofia crowned. When Ivan V died in 1696, Peter became the sole tsar of Muscovy.
War dominated much of Peter's reign. At first Peter attempted to secure the principality's southern borders against the Tatars and the Ottoman Turks. His campaign against a fort on the Sea of Azov failed initially, but after he created Russia's first navy, Peter was able to take the port of Azov in 1696. To continue the war with the Ottoman Empire, Peter traveled to Europe to seek allies. The first tsar to make such a trip, Peter visited Brandenburg, Holland, England, and the Holy Roman Empire during his so-called Grand Embassy. Peter learned a great deal and enlisted into his service hundreds of West European technical specialists. The embassy was cut short by the attempt to place Sofia on the throne instead of Peter, a revolt that was crushed by Peter's followers. As a result, Peter had hundreds of the participants tortured and killed, and he publicly displayed their bodies as a warning to others.
Peter was unsuccessful in forging a European coalition against the Ottoman Empire, but during his travels he found interest in waging war against Sweden, then an important power in northern Europe. Seeing an opportunity to break through to the Baltic Sea, Peter made peace with the Ottoman Empire in 1700 and then attacked the Swedes at their port of Narva on the Gulf of Finland. However, Sweden's young king, Charles XII, proved his military acumen by crushing Peter's army. Fortunately for Peter, Charles did not follow up his victory with a counteroffensive, becoming embroiled instead in a series of wars over the Polish throne. This respite allowed Peter to build a new, Western-style army. When the armies of the two leaders met again at the town of Poltava in 1709, Peter defeated Charles. Charles escaped to Ottoman territory, and Russia subsequently became engaged in another war with the Ottoman Empire. Russia agreed to return the port of Azov to the Ottomans in 1711. The Great Northern War, which in essence was settled at Poltava, continued until 1721, when Sweden agreed to the Treaty of Nystad. The treaty allowed Muscovy to retain the Baltic territories that it had conquered: Livonia, Estonia, and Ingria. Through his victories, Peter acquired a direct link with Western Europe. In celebration, Peter assumed the title of emperor as well as tsar, and Muscovy officially became the Russian Empire in 1721.
Peter achieved Muscovy's expansion into Europe and its transformation into the Russian Empire through several major initiatives. He established Russia's naval forces, reorganized the army according to European models, streamlined the government, and mobilized Russia's financial and human resources. Under Peter, the army drafted soldiers for lifetime terms from the taxpaying population, and it drew officers from the nobility and required them to give lifelong service in either the military or civilian administration. In 1722 Peter introduced the Table of Ranks, which determined a person's position and status according to service to the tsar rather than to birth or seniority. Even commoners who achieved a certain level on the table were ennobled automatically.
Peter's reorganization of the government structure was no less thorough. He replaced the prikazy with colleges or boards and created a senate to coordinate government policy. Peter's reform of local government was less successful, but his changes enabled local governments to collect taxes and maintain order. As part of the government reform, the Orthodox Church was partially incorporated into the country's administrative structure. Peter abolished the patriarchate and replaced it with a collective body, the Holy Synod, led by a lay government official.
Peter tripled the revenues of the state treasury through a variety of taxes. He levied a capitation, or poll tax, on all males except clergy and nobles and imposed a myriad of indirect taxes on alcohol, salt, and even beards. To provide uniforms and weapons for the military, Peter developed metallurgical and textile industries using serf labor.
Peter wanted to equip Russia with modern technology, institutions, and ideas. He required Western-style education for all male nobles, introduced so-called cipher schools to teach the alphabet and basic arithmetic, established a printing house, and funded the Academy of Sciences (see Glossary), which was established just before his death in 1725 and became one of Russia's most important cultural institutions. He demanded that aristocrats acquire the dress, tastes, and social customs of the West. The result was a deepening of the cultural rift between the nobility and the mass of Russian people. The best illustration of Peter's drive for Westernization, his break with traditions, and his coercive methods was his construction in 1703 of a new, architecturally Western capital, St. Petersburg, situated on land newly conquered from Sweden on the Gulf of Finland. Although St. Petersburg faced westward, its Westernization was by coercion, and it could not arouse the individualistic spirit that was an important element in the Western ways Peter so admired.
Peter's reign raised questions about Russia's backwardness, its relationship to the West, the appropriateness of reform from above, and other fundamental problems that have confronted many of Russia's subsequent rulers. In the nineteenth century, Russians debated whether Peter was correct in pointing Russia toward the West or whether his reforms had been a violation of Russia's natural traditions.
The Era of Palace Revolutions
Peter changed the rules of succession to the throne after he killed his own son, Aleksey, who had opposed his father's reforms and served as a rallying figure for antireform groups. A new law provided that the tsar would choose his own successor, but Peter failed to do so before his death in 1725. In the decades that followed, the absence of clear rules of succession left the monarchy open to intrigues, plots, coups, and countercoups. Henceforth, the crucial factor for obtaining the throne was the support of the elite palace guard in St. Petersburg.
After Peter's death, his wife, Catherine I, seized the throne. But when she died in 1727, Peter's grandson, Peter II, was crowned tsar. In 1730 Peter II succumbed to smallpox, and Anna, a daughter of Ivan V, who had been co-ruler with Peter, ascended the throne. The clique of nobles that put Anna on the throne attempted to impose various conditions on her. In her struggle against those restrictions, Anna had the support of other nobles who feared oligarchic rule more than autocracy. Thus the principle of autocracy continued to receive strong support despite chaotic struggles for the throne.
Anna died in 1740, and her infant grandnephew was proclaimed tsar as Ivan VI. After a series of coups, however, he was replaced by Peter the Great's daughter Elizabeth (r. 1741-62). During Elizabeth's reign, which was much more effective than those of her immediate predecessors, a Westernized Russian culture began to emerge. Among notable cultural events were the founding of Moscow University (1755) and the Academy of Fine Arts (1757) and the emergence of Russia's first eminent scientist and scholar, Mikhail Lomonosov.
During the rule of Peter's successors, Russia took a more active role in European statecraft. From 1726 to 1761, Russia was allied with Austria against the Ottoman Empire, which France usually supported. In the War of Polish Succession (1733-35), Russia and Austria blocked the French candidate to the Polish throne. In a costly war with the Ottoman Empire (1734-39), Russia reacquired the port of Azov. Russia's greatest reach into Europe was during the Seven Years' War (1756-63), which was fought on three continents between Britain and France with numerous allies on both sides. In that war, Russia continued its alliance with Austria, but Austria shifted to an alliance with France against Prussia. In 1760 Russian forces were at the gates of Berlin. Fortunately for Prussia, Elizabeth died in 1762, and her successor, Peter III, allied Russia with Prussia because of his devotion to the Prussian emperor, Frederick the Great.
Peter III had a short and unpopular reign. Although he was a grandson of Peter the Great, his father was the duke of Holstein, so Peter III was raised in a German Lutheran environment. Russians therefore considered him a foreigner. Making no secret of his contempt for all things Russian, Peter created deep resentment by forcing Prussian military drills on the Russian military, attacking the Orthodox Church, and depriving Russia of a military victory by establishing his sudden alliance with Prussia. Making use of the discontent and fearing for her own position, Peter III's wife, Catherine, deposed her husband in a coup, and her lover, Aleksey Orlov, subsequently murdered him. Thus, in June 1762 a German princess who had no legitimate claim to the Russian throne became Catherine II, empress of Russia.
Imperial Expansion and Maturation: Catherine II
Catherine II's reign was notable for imperial expansion, which brought the empire huge new territories in the south and west, and for internal consolidation. Following a war that broke out with the Ottoman Empire in 1768, the parties agreed to the Treaty of Kuchuk-Kainarji in 1774. By that treaty, Russia acquired an outlet to the Black Sea, and the Crimean Tatars were made independent of the Ottomans. In 1783 Catherine annexed Crimea, helping to spark the next war with the Ottoman Empire, which began in 1787. By the Treaty of Jassy in 1792, Russia expanded southward to the Dnestr River. The terms of the treaty fell far short of the goals of Catherine's reputed "Greek project"--the expulsion of the Ottomans from Europe and the renewal of a Byzantine Empire under Russian control. The Ottoman Empire no longer was a serious threat to Russia, however, and was forced to tolerate an increasing Russian influence over the Balkans.
Russia's westward expansion under Catherine was the result of the partitioning of Poland. As Poland became increasingly weak in the eighteenth century, each of its neighbors--Russia, Prussia, and Austria--tried to place its own candidate on the Polish throne. In 1772 the three agreed on an initial partition of Polish territory, by which Russia received parts of Belorussia and Livonia. After the partition, Poland initiated an extensive reform program, which included a democratic constitution that alarmed reactionary factions in Poland and in Russia. Using the danger of radicalism as an excuse, the same three powers abrogated the constitution and in 1793 again stripped Poland of territory. This time Russia obtained most of Belorussia and Ukraine west of the Dnepr River. The 1793 partition led to an anti-Russian and anti-Prussian uprising in Poland, which ended with the third partition in 1795. The result was that Poland was wiped off the map.
Although the partitioning of Poland greatly added to Russia's territory and prestige, it also created new difficulties. Having lost Poland as a buffer, Russia now had to share borders with both Prussia and Austria. In addition, the empire became more ethnically heterogeneous as it absorbed large numbers of Poles, Ukrainians, Belorussians, and Jews. The fate of the Ukrainians and Belorussians, who were primarily serfs, changed little at first under Russian rule. Roman Catholic Poles resented their loss of independence, however, and proved to be difficult to integrate. Russia had barred Jews from the empire in 1742 and viewed them as an alien population. A decree of January 3, 1792, formally initiated the Pale of Settlement, which permitted Jews to live only in the western part of the empire, thereby setting the stage for anti-Jewish discrimination in later periods (see Other Religions, ch. 4). At the same time, Russia abolished the autonomy of Ukraine east of the Dnepr, the Baltic republics, and various Cossack areas. With her emphasis on a uniformly administered empire, Catherine presaged the policy of Russification that later tsars and their successors would practice.
Historians have debated Catherine's sincerity as an enlightened monarch, but few have doubted that she believed in government activism aimed at developing the empire's resources and making its administration more effective. Initially, Catherine attempted to rationalize government procedures through law. In 1767 she created the Legislative Commission, drawn from nobles, townsmen, and others, to codify Russia's laws. Although the commission did not formulate a new law code, Catherine's Instruction to the Commission introduced some Russians to Western political and legal thinking.
During the 1768-74 war with the Ottoman Empire, Russia experienced a major social upheaval, the Pugachev Uprising. In 1773 a Don Cossack, Emel'yan Pugachev, announced that he was Peter III. Other Cossacks, various Turkic tribes that felt the impingement of the Russian centralizing state, and industrial workers in the Ural Mountains, as well as peasants hoping to escape serfdom, all joined in the rebellion. Russia's preoccupation with the war enabled Pugachev to take control of a part of the Volga area, but the regular army crushed the rebellion in 1774.
The Pugachev Uprising bolstered Catherine's determination to reorganize Russia's provincial administration. In 1775 she divided Russia into provinces and districts according to population statistics. She then gave each province an expanded administrative, police, and judicial apparatus. Nobles no longer were required to serve the central government, as they had since Peter the Great's time, and many of them received significant roles in administering provincial governments.
Catherine also attempted to organize society into well-defined social groups, or estates. In 1785 she issued charters to nobles and townsmen. The Charter to the Nobility confirmed the liberation of the nobles from compulsory service and gave them rights that not even the autocracy could infringe upon. The Charter to the Towns proved to be complicated and ultimately less successful than the one issued to the nobles. Failure to issue a similar charter to state peasants, or to ameliorate the conditions of serfdom, made Catherine's social reforms incomplete.
The intellectual westernization of the elite continued during Catherine's reign. An increase in the number of books and periodicals also brought forth intellectual debates and social criticism (see Literature and the Arts, ch. 4). In 1790 Aleksandr Radishchev published his Journey from St. Petersburg to Moscow , a fierce attack on serfdom and the autocracy. Catherine, already frightened by the French Revolution, had Radishchev arrested and banished to Siberia. Radishchev was later recognized as the father of Russian radicalism.
Catherine brought many of the policies of Peter the Great to fruition and set the foundation for the nineteenth-century empire. Russia became a power capable of competing with its European neighbors on military, political, and diplomatic grounds. Russia's elite became culturally more like the elites of Central and West European countries. The organization of society and the government system, from Peter the Great's central institutions to Catherine's provincial administration, remained basically unchanged until the emancipation of the serfs in 1861 and, in some respects, until the fall of the monarchy in 1917. Catherine's push to the south, including the establishment of Odessa as a Russian port on the Black Sea, provided the basis for Russia's nineteenth-century grain trade.
Despite such accomplishments, the empire that Peter I and Catherine II had built was beset with fundamental problems. A small Europeanized elite, alienated from the mass of ordinary Russians, raised questions about the very essence of Russia's history, culture, and identity. Russia achieved its military preeminence by reliance on coercion and a primitive command economy based on serfdom. Although Russia's economic development was almost sufficient for its eighteenth-century needs, it was no match for the transformation the Industrial Revolution was causing in Western countries. Catherine's attempt at organizing society into corporate estates was already being challenged by the French Revolution, which emphasized individual citizenship. Russia's territorial expansion and the incorporation of an increasing number of non-Russians into the empire set the stage for the future nationalities problem. Finally, the first questioning of serfdom and autocracy on moral grounds foreshadowed the conflict between the state and the intelligentsia that was to become dominant in the nineteenth century.