Lieven, Dominic. Empire: The Russian Empire and Its Rivals.
In
Empire: The Russian Empire and Its Rivals,
Dominic Lieven sets out to examine both the impetus toward the formation of
empire as a methodology of governing territory, factors that all empires hold
in common, and the elements leading to the demise of various modern European
and near Asian empires. His method is
primarily to compare and contrast empires through the ages, and then to relate
them to the development and experiences of the Russian and Soviet Empires that
spanned Eurasia. Although he admits that
his methods and goals may be viewed as politically incorrect or not
academically rigorous when examined according to the biases of current
political science and economics thought, the depth of his comparative analysis
and the force of logic behind his arguments is more than adequate to stand
against criticism.
Lieven
organizes his work according to topic rather than chronology, which greatly
enhances its readability. He devotes
Part One to defining “Empire” as a political concept and the place of empire in
global politics. Part Two examines the
British, Ottoman, and Habsburg empires, particularly contrasting them in terms
of style of empire and the nature of their collective collapse. Part Three is primarily concerned with the
Russian Empire, its fall, and the evolution of the Soviet Union. Finally, in Part Four, Lieven examines the
aftermath of the empires discussed, especially relating the aftermath to the
underlying issues related to the fall of those empires.
Understanding
that a mutually understood definition of what “empire” means is a pre-requisite
to any useful discussion of the role of empires in the world, Lieven begins
there. Lieven uses a multi-part
definition of empire that may not be immediately intuitive to readers. His primary definition of an empire is “a
very great power that has left its mark on the international relations of an era”
and that it further represents a “polity that rules over wide territories and
many peoples.” He also defines “empire” as a form of government that is
inherently not a democracy, or in his words “not a polity ruled with the
explicit consent of the governed.” (pg. xi) Lieven believes that this
represents a simple and unsophisticated definition of empire, and it may be if
taken at face value. However, it is
clear that Lieven does no such thing.
Both in his Preface and in the later discussion of the dilemmas and
nature of empire, he notes that not all empires are repressive, unpopular, or
illegitimate in their governance.
Indeed, Lieven repeatedly links the continued success and existence of
different empires to the existence of some high imperial culture that subject
peoples can admire as being more advanced than their own.
Before
launching into his exposition on the dilemmas facing ancient and modern
empires, Lieven indulges in the almost requisite tracing of the word “empire”
from its historical roots in the Roman concept of “imperium”. He correctly
links the words imperium and imperator with successful
generalship. Lieven believes that the
traditional Roman view of the Emperor as a military figure survived into the
modern era where the 20th century emperors of Japan, Germany, and
Russia rarely appeared in public in anything but a richly decorated
uniform. In the Roman context, Lieven
shows the gradual drift from the authority of a Roman magistrate or general to
that of monarch. He also is careful to
describe the Roman conception of Empire as a carefully defined legal and
political system that was viewed as a universal monarchy for the “civilized”
world. One of the distinctions of the
Roman imperial system is that many of the later emperors were neither Roman nor
Italian in origin. In the Roman Empire
all of the subject peoples could aspire to the status of citizenship and
membership in the senatorial class, which greatly distinguishes it from both
the empires that preceded and followed it.
Lieven
concludes his discussion of the Roman Empire by briefly identifying and
describing the “heirs” to the Roman Empire, which he identifies as Western
Christendom, Islam, and Byzantium. He
almost immediately launches into a discussion of the early European conception
of empire followed by a discussion of the modern debate on the nature of empire
and the ideological basis for the seemingly innate distaste for “empire” in
modern liberal democracies. Although the
heirs to Rome are discussed more fully later in his work, Lieven doesn’t really
provide enough background for his designation for the three groups as Rome’s
heirs, particularly in the case of Islam, which can scarcely have been
considered a unified empire at the time of the fall of the Western portion of
the Roman Empire. In fact, it appears
that Lieven basis his entire inclusion of Islam as an heir to the Roman Empire
almost solely based on the spread of Islam and the resulting linguistic,
governmental, and ethnic similarities that spread with it. However, it is difficult to accept his claim
that the Abbasid and Umayyad caliphates were the heirs based on their
geographical location and monotheistic religion. The caliphates were certainly not Greco-Roman
in character or philosophy.
Lieven
presents the modern debate regarding empire as being divided into two
camps. The first camp sees empire in
terms of the maritime colonial empire that Americans are familiar with, the
thirteen colonies being the first to wage a successful war of independence
against a remote imperial government.
The second camp sees empire as the extended territorial domains of a
absolutist monarch, sometimes intertwined with a “universalist” religion such
as Christianity of Islam, and operating on either the Roman model of devolved
local control or the Han Chinese model of direct control by a rigid
bureaucracy. In either case, the camps
agree with the modern liberal conception of empire as a totally negative,
repressive, anti-democratic, and illegitimate regime. Part of Lieven’s goal is to show that this is
not necessarily the case.
He
begins this task by comparing the Chinese Han and Roman Empires in existence at
the beginning of the 1st century AD.
Starting from the premise that despite their assimilationist nature,
multi-ethnicity, and scope, the Han and Roman Empires were fundamentally
different. Where the Roman Empire
utilized a small, almost informal bureaucracy, the Han used a vast rigid
omnipresent bureaucracy to control their vast holdings. While immediately noting that generalizations
can be dangerous, Lieven draws the obvious conclusion that the different models
are primarily the result of the differing philosophies governing the widely
separated realms. Where the Romans
followed the well-known model of the rule of law and self-governance based on
Greek philosophy, Roman law, and the primacy of the self, the Han Chinese
followed the more communitarian model embodied in Confucianism and the Mandarin
system, where the benefit of the greater community was prized and the
individual was subjugated. Predictably
the two widely different philosophies resulted in incredibly different methods
for the maintenance of Empire.
After
examining the growth of the modern European state, Lieven finally launches into
the meat of his discussion: the dilemmas facing modern empires. Lieven believes that the modern European
empire was born out of the need for Continental powers to acquire the resources
to compete with the perceived threat of American and Russian economic growth. To combat the potential of these two
proto-powers, France, England, Germany, and Belgium set out to divide the
“lesser” areas of the world amongst themselves.
While they were largely successful, Lieven argues that the patriotic
nationalism necessary to create the mass conscript armies of the 19th
century for conflicts in Europe proper, combined with the increasingly
democratic nature worked to ensure that European Empires could not last. This is first evidenced in Europe proper as
the Habsburg Empire felt the strain of ethnic nationalism within its borders,
which were restricted to continental Europe.
Ultimately, ethnic nationalism in the Third World would overcome the
weakened colonial powers after two World Wars.
Most of Lieven’s text is reserved
for his comparisons of the British, Ottoman, Habsburg and Russian Empires. Each empire is placed in historical
perspective including the defining elements involved in its rise and eventual
fall. Lieven further complements his
analysis by contrasting the weaknesses of each empire with similar issues faced
by the others.
The
British Empire stands out from the others discussed as rivals to the Russian
Empire as being in some way fundamentally different. This is demonstrably true on multiple
levels. Of the Empires Lieven discusses,
the British is the only one that can truly be considered a “maritime” empire
with colonies primarily scattered around the globe. The reason for this should be immediately
obvious given Great Britain’s geographical location on a relatively isolated
island. While this difference greatly
differentiates the British Empire from the other three empires that are the
focus of Lieven’s work, the manner in which England governed its empire is a
greater source of difference. Although
it had increasingly liberal and democratic traditions in its home islands (with
the exception of Ireland) and allowed its “White” colonies primarily comprised
of English, Scots, and Irish colonists great leeway in matters of local
governance. The “Non-White” colonies
like India that primarily consisted of indigenous peoples had a variety of
local governments. In India’s case the
colonial government was autocratic in nature.
Although he does not make a direct correlation with the Roman system,
Lieven describes the nature of British imperial government as distributed and
indirect in nature similar to that utilized by the Romans and relying in part
on the cooperation of local elites. To
Lieven, the British Empire was a source of pride and loyalty to the majority of
its subjects, a situation he finds to be the case in the majority of the
Empires he studies.
Another
contrast Lieven finds between the British and other Empires is in the nature of
their formation. While he believes that
there is an economic aspect to the creation of almost all empires, Lieven shows
that with the exception of the territories encompassed in the United Kingdom,
Great Britain’s Empire was acquired for primarily economic means as a source of
power and wealth for the financiers of London.
The various colonies also provided a much-needed place for the British
to dump excess under-employed or dissatisfied elements of society, which
maintained a certain degree of stability at home.
]In
contrast, the Habsburg and Russian Empires were landlocked multi-ethnic empires
created out of both economic and military concerns for the states that
controlled them. The Habsburgs had no
extra-European possessions, which created an internal need for a dynamic
economy and stable political situation.
Given its early location across the trade routes through the Ottoman
Empire into Europe proper and an industrious populace this was possible until
the rising pressures of ethnic nationalism began to cause political rifts in
the Habsburg Empire during the 19th century. The aristocratically oriented,
anti-democratic nature of the Habsburg Empire had no release for the rise in
ethnic radicals during the 19th and early 20th centuries
and growing economic and military weaknesses in the 18th and 19th
centuries made the Habsburgs vulnerable to both Eastern and Western neighbors. The relative weakness of the Ottomans and
Russians reduced the real threat from the East, but Prussia and France were
constant threats. To provide themselves
with an adequate defense, the Habsburg monarchs were forced into a series of
alliances with greater powers to protect themselves even from the likes of
Russia.
According
to Lieven, the main contributor to the fall of the Habsburgs was ethnic
conflict among the Slavic and Germanic populations, each of which were
naturally drawn to other states. This
issue was exacerbated by the partition of the Empire into Austrian and
Hungarian dominated sections, with each catering to its own populations and
traditions to the detriment of their respective minority groups. This eliminated Habsburg imperial cohesion
and greatly contributed to the Empire’s military weakness. Ultimately, lack of a true imperial identity
and the profusion of ethnic groups caused the Habsburgs to become weakened and
vulnerable. Arrogant pride caused them
to launch the First World War.
The
Russian Empire is yet again different from the others discussed. Like the Habsburg Empire, aristocrats,
especially the Romanov dynasty, dominated the Russian Empire. The Russian Empire’s location on Europe’s
periphery gave it access to different markets and resources, particularly in
the mountain regions of the Caucasus Mountains and in Siberia. However, Russia suffered from many of the
weaknesses of its location on the edge of European civilization. Russian economic and military development
were initially slow, gained dominance, and waned again. According to Lieven, Russian expansion was
both military and economic in nature, with economic expansion toward the South
and East and military expansion toward the West and Northwest. The Western expansion into places like the
Baltics and Poland was undertaken in the name of greater security for the
Motherland. Like other multi-ethnic
empires, Russia was beset with ethnic conflicts and regularly had problems. In the Caucasus region, with its tradition of
ethnic cleansing, even the Russians undertook mass deportation of subject
peoples in order to reduce tensions.
Poland, however, presented a different set of problems. Where the Roman, British, and other empires
gained acceptance in part due to perceived economic and cultural supremacy over
their subjects, the Poles had recent experience with their own nation state,
traditions, language, and literature.
Poles felt that their native culture was more developed and advanced
than that of the behemoth to their east, which provided a patriotic center for
their resistance to Russian imperialism.
The
weaknesses of the Russian Empire were many, and Lieven examines them all. Briefly put, the political and economic
situation brought on by World War I allowed the Bolshevik revolution to
progress, changing the nature, but not the fact of the Russian Empire. Lieven seems confused about whether he wishes
to present the two political organizations as separate imperial entities. The Soviet Union is provided its own subsection
in the large discussion of the Russian Empire, denoting its status as different
from the Romanov dynasty. It is
understandable to group the two units together, if only to point out the
differences between them and to illustrate their common roots.
Lieven
finds the problems facing the Soviets to be in some ways an extension of those
facing the Romanovs. Both imperial
states faced wealthier foreign rivals.
For the Romanovs, the Rivals were Prussia, France, and England. For the Soviets, the rivalry was primarily
with the United States, but also with England and other Western states. Both imperial states faced problems with
ethnic tensions, although for the Soviets the severity of these was not obvious
until the fall of Communism as an ideology.
Both imperial states faced issues of economic weakness and an obsession
with security arrangements on their Western frontiers. However, the causes of the fall of the two
imperial states were radically different.
For the Romanovs the fall was caused by economic strains induced by the
protracted war against the Central Powers in World War I, which led to the
Bolshevik revolution. For the Soviets
the collapse of their Marxist ideology brought the ethnic tensions under the
surface of their vast empire to forefront and the federal republics that formed
the Union began to break away. The
similarities and differences between the two empires, combined with their
historical connections, make it difficult to separate them completely.
Lieven
wraps up with a separate discussion of Empire’s aftermath in each of his four
objects of discussion. This approach is
valuable, particularly when wrestling with the moral and ethical implications
of Empire. With the exception of
England’s “White” colonies and the majority of the former Soviet Republics, the
fall of Empire is almost always accompanied by ethnic violence, political
turmoil, and economic desolation, at least for a time. An objective look at an empire’s fall should
serve to quell the instinctive modern disdain for imperial systems, which is
one of Lieven’s goals.
Lieven’s
treatment of the causes of empire formation and the effects of imperial states
is by no means exhaustive, and it is certainly not meant to be. His goal appears to be to rehabilitate the
conception of “empire” as a legitimate form of governance by showing that not
all of the effects are negative.
Certainly, under the Habsburg, Ottoman, and Russian/Soviet Empires most
of the ethnic bloodshed in Europe during the 1990s would not have occurred, whether
through strict controls on weapons and movement, or through shrewd political
maneuvers and the economic advantages of the imperial systems. Given the current claims that the United
States is embarked on a path toward “empire” this discussion of the
possibilities and consequences of imperialism may be particularly apt.
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