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As the third year of Ukraine’s resistance to Russia’s war of aggression is now well underway, military victories and defeats in Ukraine’s counter-offensives have served as a primary lens through which Western audiences have understood Russia’s will to continue prosecuting its illegal war. As the Kremlin’s blatant power grab offended the consciences of millions the world over, a means for the West to compel an end to Putin’s war besides military intervention proved necessary. Within short order, various NATO-aligned states led largely by the United States and European Union unveiled one of the most comprehensive and draconian sanctions packages in history.

Much less visible than the progress of Ukrainian soldiers on the battlefield has been the impact of halted trade on Russia’s fiscal-military state and military-industrial capabilities. Moreover, it remains to be seen if financial disincentives can persuade Putin and his inner circle to change course, or if the Russian Federation’s strongman leader is persuaded by sheer military force alone.

This Stanford-US-Russia Forum (SURF) memorandum seeks to investigate the efficacy of Western-led sanctions regimes against the Russian Federation. We begin our inquiry with an overview of sanctions implemented after the start of the full-scale invasion and how these complemented existing sanctions responding to Russia’s 2014 annexation of Crimea. We next consider the impacts of economic sanctions on various interests of Russian industries and citizens in and outside of Russia. This paper next turns to various tactical and strategic shortcomings of historic Western sanctions strategies. Lastly, we seek to provide policy recommendations outside of those already recommended by the McFaul-Yermak sanctions working group.

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CDDRL Honors Student, 2024-25
elizabeth_jerstad.jpeg

Major: International Relations
Minor: Slavic Languages & Literature
Hometown: Sioux Falls, South Dakota
Thesis Advisor: Kathryn Stoner

Tentative Thesis Title: Wartime Emigration from Russia Since February 24, 2022: Political Engagement of Émigrés Abroad

Future aspirations post-Stanford: After completing my undergraduate studies, I hope to apply to law school. I am also interested in continuing my current research projects after graduation, and am looking into avenues through which to do so.

A fun fact about yourself: I have recently gotten into rock climbing, and I'm hoping to do some outdoor bouldering while in Tbilisi this summer!

RA, 2023 Fisher Family Summer Fellows Program
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Rachel Owens
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How have pre-communist social structures persisted in Russia, and why does this persistence matter for understanding post-communist political regime trajectories? In a CDDRL seminar series talk, Tomila Lankina, Professor of International Relations at the London School of Economics and Political Science, discussed her award-winning book, The Estate Origins of Democracy in Russia: From Imperial Bourgeoisie to Post-Communist Middle Class (Cambridge University Press, 2022)The book challenges the assumption that the 1917 revolution succeeded in leveling old estate hierarchies, arguing that these social structures persist today. 

While analyses of the bourgeoisie factor heavily into the understanding of many societies, the relevance of this group is frequently left out when discussing countries like Russia and China, on the assumption that they had been completely leveled by revolutionary ruptures. Lankina’s book critically assesses this assumption. It adopts a uniquely interdisciplinary approach, utilizing archives, subnational comparisons, statistical analysis, social network analysis, and interviews with descendants. 

In characterizing the social structure of pre-communist Russia, Lankina noted that peasants comprised 77 percent of the population on the eve of the revolution. Other social groups, which she refers to as “educated estates” because of their higher literacy rates compared to those of peasants, included the urban meshchane, the merchants, nobility, and clergy. Out of the educated estates, meshchane constituted the majority, or 10 percent of the population. While their homes appeared rather modest, members of the meshchane exhibited characteristics of the urban bourgeoisie, and even their dress differed from that of the rural estate. They enjoyed much higher literacy rates than peasants.

Lankina explained that the comparatively high status of these “educated estates” — the meshchane, merchants, nobility, and clergy — persisted even after the Bolshevik revolution. To illustrate this, she highlighted partially intact social circles of the highly networked merchants, nobles, and tsarist-inspired soviet schools. Letters from the Samara province indicate that while many high-status citizens emigrated, there were matriarchs who stayed, spreading the tsarist-era values to their children and grandchildren after the revolution. Regardless of whether this middle class was endowed with democratic values, Lankina maintained that they passed human and entrepreneurial capital onto their offspring.

How did these estates endure? While the literature clearly articulates what happened to the ruling classes following the revolution, less time has been spent understanding what happened to the educated, middle-class segments of society. How did they adapt? 

Lankina proposed three different routes. First is the “pop-up brigade,” wherein young, educated individuals traveled around promoting education to peasant workers, instantly employable and absorbable into a new society. Then there is the “museum society,” where prominent nobles and merchants joined insular cultural institutions like archives, provincial libraries, and museums. Finally, “the organization man” denotes professionally skilled individuals, such as medics, who retained their positions following the revolution as the social hierarchy got absorbed into newer organizations. 

To illustrate the significance of this persistence in social structures and values, Lankina, drawing on her co-authored paper with Alexander Libman (APSR 2021), indicated that meshchane concentration (as opposed to more recent educational indices) is a better predictor of a post-communist region’s openness, at least in the 1990s.

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Maria Popova presents in a REDS Seminar co-hosted by CDDRL and The Europe Center
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Corruption in Ukraine and EU Accession

While some observers have claimed that Ukraine’s corruption renders it unprepared for EU accession, Maria Popova’s research suggests otherwise.
Corruption in Ukraine and EU Accession
Will Dobson, book cover of "Defending Democracy in an Age of Sharp Power," and Chris Walker
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How Can Democracies Defend Against the Sharp Power of Autocrats?

Christopher Walker, Vice President for Studies and Analysis at the National Endowment for Democracy, and Will Dobson, co-editor of the Journal of Democracy, discussed their new book, “Defending Democracy in an Age of Sharp Power” (Johns Hopkins University Press 2023).
How Can Democracies Defend Against the Sharp Power of Autocrats?
Eugene Finkel presents during a REDS Seminar co-hosted by The Europe Center and CDDRL on April 18, 2024.
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The Historical Roots of Russia’s Quest to Dominate Ukraine

According to Eugene Finkel, the Kenneth H. Keller Associate Professor of International Affairs at Johns Hopkins University, Russia’s recurrent attacks against Ukraine can be traced to issues of identity and security.
The Historical Roots of Russia’s Quest to Dominate Ukraine
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Tomila Lankina presented her research in a CDDRL seminar on May 9, 2024.
Tomila Lankina presented her research in a CDDRL seminar on May 9, 2024.
Rachel Cody Owens
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Tomila Lankina’s award-winning book, “The Estate Origins of Democracy in Russia: From Imperial Bourgeoisie to Post-Communist Middle Class” (Cambridge University Press, 2022), challenges the assumption that the 1917 revolution succeeded in leveling old estate hierarchies, arguing that these social structures persist today.

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What has driven Russia’s violence in and against Ukraine from the 19th century to the contemporary era? In a recent Rethinking European Development and Security (REDS) Seminar talk co-hosted by The Europe Center and CDDRL, Eugene Finkel, the Kenneth H. Keller Associate Professor of International Affairs at Johns Hopkins University, argued that Russia’s recurrent attacks against Ukraine can be traced to issues of identity and security. Finkel draws on what he described as a two-hundred-year-long quest by Russia to dominate Ukraine, as detailed in his upcoming book Intent to Destroy (due for release in November 2024 by Basic Books).

Reflecting on the role of Russian identity in driving the country’s attempts to capture Ukraine, Finkel pointed out that many Russians think of Ukrainians as a subbranch of the Russian people.  These stark views on identity, he noted, are partly the product of the struggle between the Russian Empire and the Polish Independence movement. In an effort to avoid Polish influence, Russia began emphasizing unity between the Russian and Ukrainian people.

Security is another key driver of Russia’s aggression. There are large geographical features that block off Ukraine from the rest of Europe, but no such dividing features exist between Ukraine and Russia. As such, any force that enters Ukraine can easily invade Russia. Historical repetition of this route has made Ukraine seemingly imperative to Russian national security.

Regime security also plays an important role. Many of the democratic ideas reaching Russia were diffused through Ukraine. Abiding by the logic of Russians and Ukrainians as one people, if Ukraine can be democratic, so can Russia. Thus, an independent democratic Ukraine poses a serious ideological threat to the regime. 

Finkel argues that identity and security have always been the driving factors of Russia’s aggression. To illustrate this continuity of this trend, he draws upon a case study from the early 20th century, namely the Russian occupation of Galicia and Bukovyna. As rising Ukrainian activism threatened the Russian empire, the regime responded with propaganda peddling the notion that Ukraine had been created to destroy Russia from within – a stark parallel to propaganda today. Russia also waged a war to “liberate” the Ukrainians, believing that annexing Galicia would allow Russia to reestablish its rightful boundaries.

The conflict resulted in violence and plunder against civilians, targeting of Ukrainian community leaders, banning Ukrainian publications, and switching the education system – actions closely mimicking those of Russia today. 

In 2022, Russia’s “divide and repress” strategy failed. Ukraine witnessed the emergence of a nation – Ukrainian identity became more pronounced. Russia’s initial plan was to repress Ukraine’s elites, not conduct mass executions. But as the war progressed and Ukrainians turned from brother to traitor, the violence escalated. 

This obsession begs the question – when will Russia’s quest to dominate Ukraine end? Or rather, how? Given the central role of identity in driving this quest, Finkel believes that the only realistic path for ending this longstanding trend is changing the education system – a path that Russia seems to be moving further away from.

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Beatriz Magaloni presents during a CDDRL research seminar on April 11, 2024.
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Can Indigenous Political Autonomy Reduce Organized Crime? Insights from Mexico

Beatriz Magaloni, the Graham H. Stuart Professor of International Relations, presented her latest research during a CDDRL seminar talk.
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Alisha Holland
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Infrastructure, Campaign Finance, and the Rise of the Contracting State

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Eugene Finkel presents during a REDS Seminar co-hosted by The Europe Center and CDDRL on April 18, 2024.
Eugene Finkel presents during a REDS Seminar co-hosted by The Europe Center and CDDRL on April 18, 2024. Photo: Rachel Cody Owens
Rachel Cody Owens
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According to Eugene Finkel, the Kenneth H. Keller Associate Professor of International Affairs at Johns Hopkins University, Russia’s recurrent attacks against Ukraine can be traced to issues of identity and security.

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The war in Ukraine has altered the course of global history. These authors explore how.

When Vladimir Putin's forces sought to conquer Ukraine in February 2022, they did more than threaten the survival of a vulnerable democracy. The invasion unleashed a crisis that has changed the course of world affairs. This conflict has reshaped alliances, deepened global cleavages, and caused economic disruptions that continue to reverberate around the globe. It has initiated the first great-power nuclear crisis in decades and raised fundamental questions about the sources of national power and military might in the modern age. The outcome of the conflict will profoundly influence the international balance of power, the relationship between democracies and autocracies, and the rules that govern global affairs. In War in Ukraine, Hal Brands brings together an all-star cast of analysts to assess the conflict's origins, course, and implications and to offer their appraisals of one of the most geopolitically consequential crises of the early twenty-first century. Essays cover topics including the twists and turns of the war itself, the successes and failures of US strategy, the impact of sanctions, the future of Russia and its partnership with China, and more.

Contributors: Anne Applebaum, Joshua Baker, Alexander Bick, Hal Brands, Daniel Drezner, Peter Feaver, Lawrence Freedman, Francis Gavin, Brian Hart, William Inboden, Andrea Kendall-Taylor, Michael Kimmage, Michael Kofman, Stephen Kotkin, Mark Leonard, Bonny Lin, Thomas Mahnken, Dara Massicot, Michael McFaul, Robert Person, Kori Schake, and Ashley Tellis.

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Chapter in War in Ukraine: Conflict, Strategy, and the Return of a Fractured World, edited by Hal Brands

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Michael A. McFaul
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pp. 34-54
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The war in Ukraine has altered the course of global history. These authors explore how.

When Vladimir Putin's forces sought to conquer Ukraine in February 2022, they did more than threaten the survival of a vulnerable democracy. The invasion unleashed a crisis that has changed the course of world affairs. This conflict has reshaped alliances, deepened global cleavages, and caused economic disruptions that continue to reverberate around the globe. It has initiated the first great-power nuclear crisis in decades and raised fundamental questions about the sources of national power and military might in the modern age. The outcome of the conflict will profoundly influence the international balance of power, the relationship between democracies and autocracies, and the rules that govern global affairs. In War in Ukraine, Hal Brands brings together an all-star cast of analysts to assess the conflict's origins, course, and implications and to offer their appraisals of one of the most geopolitically consequential crises of the early twenty-first century. Essays cover topics including the twists and turns of the war itself, the successes and failures of US strategy, the impact of sanctions, the future of Russia and its partnership with China, and more.

Contributors: Anne Applebaum, Joshua Baker, Alexander Bick, Hal Brands, Daniel Drezner, Peter Feaver, Lawrence Freedman, Francis Gavin, Brian Hart, William Inboden, Andrea Kendall-Taylor, Michael Kimmage, Michael Kofman, Stephen Kotkin, Mark Leonard, Bonny Lin, Thomas Mahnken, Dara Massicot, Michael McFaul, Robert Person, Kori Schake, and Ashley Tellis.

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Chapter in War in Ukraine: Conflict, Strategy, and the Return of a Fractured World, edited by Hal Brands

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Stephen Kotkin
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Johns Hopkins University Press
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pp. 17-33
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Ukrainian leaders told a Stanford audience on February 23 that the Russian war against their country is not only about Ukrainian sovereignty but about the future of Europe and freedom and democracy in the world as autocratic regimes increasingly align against Western allies.

The Center on Democracy, Development and the Rule of Law hosted the two-hour panel discussion, “Two Years of War: Updates from Ukraine,” which featured CDDRL alums currently based in Ukraine. 

They included Oleksiy Honcharuk, a former prime minister of Ukraine and 2021 Bernard and Susan Liautaud Visiting Fellow at the Freeman Spogli Institute for International Studies (FSI); Serhiy Leshchenko, advisor to President Volodymyr Zelenskyy's Chief of Staff and an alumnus of the Draper Hills Summer Fellows program (now the Fisher Family Summer Fellows Program); Oleksandra Matviichuk, founder of the Center for Civil Liberties (co-recipient of the 2022 Nobel Peace Prize) and an alumna of the 2017-18 Ukrainian Emerging Leaders Program; and Oleksandra Ustinova, People’s Deputy of Ukraine and an alumna of the 2018-19 Ukrainian Emerging Leaders Program.

Reforms in Ukraine


Kathryn Stoner, Mosbacher Director of CDDRL, and Michael McFaul, director of the Freeman Spogli Institute for International Studies, served as moderators for the discussion. One year ago, with the same guests, CDDRL and FSI co-hosted a similar roundtable, the conversation of which had a different tone with more optimism.

In his opening remarks, McFaul asked the panelists for their responses to critics of U.S. military aid to Ukraine who claim Ukraine is corrupt, the money would be wasted, and that continued aid would only prolong an unwinnable war.

Matviichuk said that Ukraine has made many reforms over the last decade since the Revolution of Dignity in 2014. “Government is accountable. The judiciary is independent, and police do not kill students who are peacefully demonstrating. We have paid the highest price for this chance,” despite it being very difficult to implement far-reaching reforms during wartime.

We don't know what the result will be in the end. But we have to fight because if you don’t fight, the result will be horrible.
Serhiy Leshchenko
Advisor to President Volodymyr Zelenskyy's Chief of Staff

Leshchenko said that the perception by some in the West that the war is “unwinnable” is inaccurate when viewed through a historical lens. “We are in 1941. We don't know what the result will be in the end. But we have to fight because if you don’t fight, the result will be horrible.”

Ustinova added, "Poland, or another country, will be next, and it may be a NATO country. And then the Americans would need to put boots on the ground and fight a European war again and lose thousands of your people.”

Russia has created a false narrative about Ukrainian corruption, she said. “What Ukraine was ten years ago and what Ukraine is now are two different countries. We have created very efficient new anti-corruption institutions, like our National Anti-Corruption Bureau, that are supported and highly admired by our international partners, including the United States. We have more than 600 cases in court against former state officials or existent state officials.”

We have to wake up. If the world doesn’t wake up, if the world does not understand that this is a war of autocracies and democracies, it’s going to be a very different war in a few years.
Oleksandra Ustinova
People's Deputy of Ukraine

‘Our fight for freedom’


Matviichuk said delays in U.S. military aid are a major concern in Ukraine. “In this difficult situation, we have no other choice. Our people in Ukraine will continue our fight for freedom and democracy because if we stop fighting, there will be no more Ukrainians.”

Leshchenko said he had recently been in the Donetsk region, where he visited two Ukrainian brigades. He urged the continuation of American military assistance as the lack of support was affecting their troops.

“The general mood is quite uncertain,” he said. “The soldiers are really disappointed with the lack of ammunition for vehicles and artillery, which they need to attack Russian positions. Unfortunately, they cannot do so now — this lack of ammunition is crucial.” But he added, “We will keep fighting.”

Ustinova said the world has grown too comfortable in believing that Ukraine would prevail without ongoing support. 

“A year ago, when I was speaking on this same panel, I was very enthusiastic because we were planning the counteroffensive. We had been successful in getting some territories back, and I think the world was really clapping and standing behind Ukrainians for winning the war within the last year. It is very sad for me to say now from Kyiv that everything has changed,” she said.

Russia was the only country that ramped up its ammunition and weapons production over the past couple of years, she added. “Last year, they tripled the production of their ballistic and ultrasonic missiles.” 

Noting that Russia has kidnapped more than 20,000 Ukrainian children, Ustinova said, “This is not just a Ukrainian conflict. This is a much bigger deal we are looking at right now. We have Iran. We have North Korea. We have Russia standing on one side, and we have the Western world and democracy standing on the other side. I’m so sorry to say, but the first group is so far more efficient than the second one.”

She explained, “It’s much easier for autocracies and those regimes to be united and take the decisions to ramp up their production lines than for the Western democracies who have to debate and negotiate.”

Our people in Ukraine will continue our fight for freedom and democracy because if we stop fighting, there will be no more Ukrainians.
Oleksandra Matviichuk
Founder of the Center for Civil Liberties

Technology race, Ukrainian efficiencies


Honcharuk said the war has crystalized Ukraine’s focus on military efficiency. Last year, his teams completed about 2,000 combat missions and destroyed over 700 units of enemy military equipment. This year, they are planning for 20,000 combat missions.

“I believe Ukraine is already a trendsetter,” he said. “The technology race is very fast when you have a war. Day by day, you are trying to compete with the enemy, and Ukraine is forced to maintain this very high pace to survive. There is only one country that currently has the same high pace, and it may be even higher — that is Russia.”

He said that Russia already understands that Ukraine will not give up “I believe now Russia is trying to find other weak spots on democratic camp … It’s very sad if they are right. The whole free world is in a very dangerous situation because Russia learned their lessons very fast, and they are much more dangerous than they were a year or two ago.”

Yet Honcharuk described the Ukrainian army as the best army in the world to fight against Russia. “We understand both systems, NATO systems and post-Soviet systems, at the same time, and we can destroy and damage Russian forces with very few resources.”

Ustinova noted the grim irony of Russia chairing the United Nations Security Council. “The United Nations was invented to prevent the wars in the world. Russia is the number one terrorist in the world, and they are the chair of the Security Council of the United Nations?! Everybody pretends this to be okay?!”

The whole free world is in a very dangerous situation because Russia learned their lessons very fast, and they are much more dangerous than they were a year or two ago.
Oleksiy Honcharuk
Former Prime Minister of Ukraine

‘A hard war’


Stoner said that the Russian invasion has wrought significant damage on Ukraine as a country. “The World Bank estimated last year that it would cost over $411 billion for Ukrainian reconstruction, and I’m sure that number has increased rather dramatically in the last six or so months.”

In closing, McFaul told the panelists, “A lot of your friends are here in the audience. We miss you. We want you to come back. We want to celebrate victory. But we’re also worried about you. This is a hard war, and you are all very involved in everything in your own ways. I cannot believe you’re being so generous with your time with us as late as it is there.”

Stoner added, “This is not just a Ukrainian fight, it is. It is a fight for everyone, and thank you all for everything that you’re doing.”

You can view a recording of the panel and discussion below and read more about the event in the Stanford Daily.

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Amichai Magen, Marshall Burke, Didi Kuo, Larry Diamond, and Michael McFaul onstage for a panel discussion at Stanford's 2023 Reunion and Homecoming
Commentary

At Reunion Homecoming, FSI Scholars Offer Five Policy Recommendations for the Biden Administration

FSI scholars offer their thoughts on what can be done to address political polarization in the United States, tensions between Taiwan and China, climate change, the war in Ukraine, and the Israel-Hamas war.
At Reunion Homecoming, FSI Scholars Offer Five Policy Recommendations for the Biden Administration
Michael McFaul poses with a Stanford University flag in front of a group of Ukrainian alumni during a reunion dinner in Kyiv.
Blogs

On the Ground in Ukraine: A Report from Michael McFaul and Francis Fukuyama

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On the Ground in Ukraine: A Report from Michael McFaul and Francis Fukuyama
Michael McFaul moderates a panel with Oleksiy Honcharuk, Serhiy Leshchenko, Oleksandra Matviichuk, Oleksandra Ustinova on the one-year anniversary of the full-scale invasion of Ukraine.
News

Ukraine’s Fight for Democracy, One Year In

To commemorate the first year of the full-scale invasion of Ukraine, Ukrainian leaders joined a panel hosted by the Freeman Spogli Institute for International Studies to express their hopes for victory and their gratitude for Western support.
Ukraine’s Fight for Democracy, One Year In
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Ukrainian panelists speak to a packed room about the impact the second year of Russia's full-scale invasion of Ukraine has had on daily life, the global democratic order, and Ukraine's future.
Ukrainian panelists speak to a packed room about the impact the second year of Russia's full-scale invasion of Ukraine has had on daily life, the global democratic order, and Ukraine's future. Photo: Kurt Hickman / Stanford News
Kurt Hickman / Stanford News
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A failure by the United States to continue military aid to Ukraine would put that country in the gravest peril and embolden Russia to launch more aggression against other European countries, Ukrainian leaders said last week during a discussion hosted by the Center on Democracy, Development and the Rule of Law.

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Oriana Skylar Mastro
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This commentary first appeared in Foreign Affairs.


North Korea has long been a source of instability, but a new development over the past year threatens to make things even worse: the country is teaming up with Russia. At a meeting in Pyongyang last July, North Korea’s defense minister, Kang Sun Nam, and his Russian counterpart, Sergei Shoigu, vowed to expand their countries’ military cooperation to “resolutely stand against” their “common enemy,” the United States. Then, at a September summit with President Vladimir Putin in Russia, the North Korean leader Kim Jong Un toasted the Kremlin’s “sacred struggle” against “a band of evil”—a reference to Western countries—and called Putin the “Korean people’s closest friend.”

The North Korean–Russian convergence goes beyond rhetoric. Russia has been propping up the Kim regime with food aid, along with fighter aircraft, surface-to-air missiles, armored vehicles, and equipment for ballistic missile production. There are signs that Russia is sharing its expertise, too. In July, North Korea conducted a test launch of a technologically sophisticated intercontinental ballistic missile, and in November, it managed to send its first military reconnaissance satellite into orbit after several failed attempts.

The transfer of critical supplies goes both ways. North Korea is sending Russia much-needed artillery shells to use in its war in Ukraine, with U.S. officials confirming in October that more than 1,000 containers of arms had arrived in Russia by ship and by train. Pyongyang’s equipment is hardly world-class—its shells have a 20 percent failure rate, whereas most advanced U.S. munitions have failure rates in the low single digits—but many of North Korea’s missiles are difficult for Ukraine to defend itself against because they are long-range, which allows Russian forces to fire from deep within their own territory, and low-tech, which helps them evade detection. North Korean military assistance could therefore be decisive in Russia’s campaign to halt Ukrainian troops’ progress. For Pyongyang, meanwhile, the arms transfer is an opportunity to test its wares in battle.

In addition to undermining U.S. and allied efforts to defend Ukraine, expanding North Korean–Russian cooperation threatens to destabilize the Korean Peninsula. On January 5, less than a week after reports emerged that Russia had launched its first North Korean–made ballistic missiles into Ukraine, North Korea fired hundreds of artillery rounds into the sea near its disputed border with South Korea. On January 14, North Korea conducted its first intermediate-range ballistic missile test of the year and formally announced that it no longer considered South Korea a “partner of reconciliation and reunification” but an enemy that had to be conquered—through nuclear war, if necessary.

The North Korean–Russian relationship undermines China’s influence.
Oriana Skylar Mastro
Center Fellow, Freeman Spogli Institute

As if this were not enough, China is playing a counterproductive role. Beijing’s security relationship with Russia has deepened: Russia has provided critical weapons and defense-industrial expertise to China, and the two countries are engaging in more frequent and sophisticated joint military exercises. Beijing, in effect, has sanctioned a larger Russian military role in Asia and provided the political cover and economic lifeline Putin needs to continue fighting in Ukraine. China has also shielded North Korea from international sanctions and pressure designed to force Kim to give up his nuclear weapons program. There is historical precedent for the three countries’ working together, too. During the Cold War, China, North Korea, and Russia were all committed to “opposing imperialism”—code for their anti-Western activities. Their cooperation facilitated conflict around the world, including in eastern Europe, on the Korean Peninsula, and across the Taiwan Strait.

The good news, however, is that this trilateral alignment turned out poorly for all three countries during the Cold War—and if the United States plays its cards right, it can fail this time around, too. Chinese and Soviet backing helped North Korea fight South Korea and its allies to a draw, leading to an armistice agreement in 1953, but subsequent decades of poverty and international pariah status can hardly be considered a victory for Pyongyang. As for Beijing and Moscow, cooperation soon gave way to the Sino-Soviet split and the eventual collapse of the Soviet Union. Although today’s circumstances are different, familiar signs of unease are already visible among China, North Korea, and Russia—rifts the United States can exploit.

An Unstable Triangle
 

China, North Korea, and the Soviet Union’s falling out over the course of the 1950s is instructive. The decade began with the two larger powers, China and the Soviet Union, committed to each other’s security and to supporting other communist countries, including North Korea. In 1950, Beijing and Moscow signed an alliance agreement vowing mutual defense in the event of an attack and pledging to coordinate their activities against the West. Both supported Kim Il Sung, the founding father of North Korea and the grandfather of Kim Jong Un, in his bid to attack South Korea the same year. When China sent its own forces into the brutal fighting on the Korean Peninsula, the Soviet Union backed the Chinese effort with military aid and expertise. 

But this cooperation was not to last. After the death of the Soviet leader Joseph Stalin in 1953, his successor, Nikita Khrushchev, introduced political reforms and pursued “peaceful coexistence” with the United States. The Soviet Union’s pivot threatened to undermine the Chinese leader Mao Zedong’s domestic project, which emulated Stalin’s harsh governance. Meanwhile, Chinese attacks on Taiwanese-controlled islands, China’s 1962 border war with India, and the Great Leap Forward—Beijing’s disastrous economic and social program of that period—elicited contempt in Moscow. Mao’s personal jabs at the Soviet leadership did not help matters, either. By 1960, the Soviet Union had canceled 12 aid agreements and roughly 200 science and technology projects in China.

Back then, as now, Beijing and Moscow were revisionist great powers with limited willingness to advance the other’s ambitions. Both expected more from a partnership than mere protection. Beijing sought financial assistance for its defense-industrial base and political support to lend legitimacy to the regime. Moscow wanted to lead an ever-expanding communist bloc and to secure China’s help in undermining the United States’ position in Asia. Although the two sides shared many of the same interests, their priorities differed. And they would clash over tactics, especially when it came to dealing with third parties. Beijing and Moscow disagreed, for instance, about how to respond to Polish and Hungarian resistance against Soviet control in 1956: Mao even warned that China would support Poland if the Soviet Union dispatched troops to quell the unrest. 

Chinese and Soviet leaders weighed the benefits and risks of teaming up. Great powers can use alliances to strengthen their militaries and enhance their deterrence, but forming a partnership can also provoke a potential adversary or draw one of the great powers, against its wishes, into its ally’s disputes. During the 1950s, for example, Soviet leaders grew concerned that China’s dispute with Taiwan would undermine their plans to discuss détente with the United States. 

Similar stresses could now be opening fissures between China and its partners. Closer cooperation between North Korea and Russia has highlighted a fundamental tension in Russia’s relationship with China: unlike Pyongyang, Beijing has been unwilling to aid Moscow’s war effort directly. Russia’s requests for military equipment and aid from China have gone unanswered. (Russian officials have claimed that China secretly agreed to provide lethal weapons, but U.S. assessments have found no evidence that this is true.) Beijing’s official stance on the war in Ukraine is to remain neutral. It has called for de-escalation, reiterated its opposition to the use of nuclear weapons, and affirmed the sovereignty of all nations. None of China’s statements have contained explicit rebukes of Russia, but they have not expressed full-throated support, either. The fact that Russia had to turn to North Korea for aid shows how little material assistance Moscow is receiving from Beijing. In the immediate term, Russia has no choice but to take what help it can get, but eventually the discovery that its “no limits” partnership with China does, in fact, have limits may force a reckoning with the risks of relying on Beijing. 

For China’s part, the North Korean–Russian relationship undermines Beijing’s influence on the Korean Peninsula. With no indication of having consulted China, Russia opted to ignore United Nations trade sanctions (which both China and Russia had signed on to) and sell North Korea the advanced military technology its leaders have long desired. Now that Russia is willing to provide benefits that China will not, Pyongyang is turning closer to Moscow, and Beijing has lost significant leverage. To be sure, China is still North Korea’s largest trading partner. And even when North Korea was almost wholly dependent on China, Kim sometimes felt free to dismiss Chinese leaders’ preferences. But Russian support gives Pyongyang a stronger hand to take action that could impede Beijing’s regional and global ambitions. For example, Beijing will not want North Korea—or Russia, for that matter—to jeopardize its attempts to unify Taiwan with mainland China. But a crisis on the Korean Peninsula could spoil China’s plans by driving the United States and its allies toward deeper defense integration, just as the North’s 1950 invasion of the South pushed the United States to rethink its security interests in the region and sign a defense pact with Taiwan in 1954.

Beijing is clearly concerned that Moscow and Pyongyang’s actions will do China more harm than good.
Oriana Skylar Mastro
Center Fellow, Freeman Spogli Institute

The most damning consequence of North Korea’s military cooperation with Russia may be that it is damaging China’s broader diplomatic and security environment. An emboldened North Korea and an aggressive Russia do nothing to improve China’s image or help it compete with the United States. Nothing unites U.S. allies more than shared concerns about North Korean or Russian belligerence. And as a partner of both countries, China is expected to use its own political capital to solve the problems they cause. At a December summit with EU leaders in Beijing, for example, Chinese officials wanted to focus on long-term plans for bilateral relations and caution against a European “de-risking” strategy that threatens China’s technological ambitions and economic interests. But the European delegation instead opened the talks by urging China to leverage its economic influence over Russia “to put an end to the Russian aggression against Ukraine.” 

China has long regarded a trilateral alliance among Japan, South Korea, and the United States as a critical threat to its security, even seeking guarantees from Seoul and Tokyo that they would not enter such a pact. Part of the case Beijing is making to reassure both capitals is that China is prepared to serve as the “stabilizer” of Northeast Asia—a message it repeated in a meeting with Japanese and South Korean officials after North Korea launched its spy satellite in November. At the same meeting, South Korean Foreign Minister Park Jin urged Chinese Foreign Minister Wang Yi to encourage North Korea to halt its provocations and pursue denuclearization. But China’s commitment to playing “a constructive role” could amount to little if North Korea, bolstered by Russia, does not respond to Beijing’s overtures. At a certain point, even if other countries in the region do not see China as complicit in North Korea’s bellicose actions, Japan, South Korea, and the United States are bound to make defense decisions that will be unwelcome in Beijing.

China, recognizing the danger of being grouped with North Korea and Russia, has tried to publicly distance itself from the two countries. In late January, Liu Pengyu, the spokesperson for the Chinese embassy in Washington, told Voice of America that he was “unaware” that North Korea and Russia were cooperating on military matters. China has also denied playing any role in the two countries’ recent collaboration. In line with that claim, when Moscow suggested that North Korea join Chinese-Russian naval drills in September, Beijing did not respond. The official Chinese media has also downplayed the idea of a trilateral alliance among China, North Korea, and Russia. In China’s telling, such a partnership is “concocted” by Western media to justify closer military cooperation among Japan, South Korea, and the United States and generate a Cold War mindset by framing regional politics in terms of two opposing blocs. Beijing still sees real, if limited, benefits from its relationships with North Korea and Russia, but it is clearly concerned that Moscow and Pyongyang’s actions will do China more harm than good.

Let the Chips Fall

The United States and its allies can encourage fissures in the emerging autocratic bloc, but they must proceed with caution. Erecting obstacles is the wrong approach. Taking a page from history, Washington should recognize that China, North Korea, and Russia will sabotage their triangular alignment all on their own. During the Korean War, for instance, Soviet air support for Chinese forces was not forthcoming despite promises from Moscow, and in the 1960s, the Soviet Union reneged on commitments to lend its nuclear expertise to China. Moscow’s continued reluctance to support Beijing, let alone extend security assistance, in times of crisis was a major contributor to the Sino-Soviet split.

Recently, the war in Ukraine provided a perfect opportunity for China to disappoint its partner by refusing to fully back Russia’s military campaign. But the Biden administration squandered that opportunity by threatening China with “consequences” should it assist the Russian war effort and by adding Chinese companies that it asserted were supporting the Russian military to a trade blacklist. Even without these warnings, Beijing would have been unlikely to provide significant aid. Now, however, Beijing can contain the damage to its relationship with Moscow by blaming the United States for China’s failure to help a friend. If Washington had left the issue alone or confined its threats to private channels, China and Russia’s disagreement might have snowballed into an even larger rift.

The best way for the United States to counter the Chinese-Russian alignment is by using it to rally U.S. allies and partners. Shared perceptions of a threat create a fertile environment for deepening alliances and breaking ground on new areas of defense cooperation. Such a mindset has already allowed Japan and South Korea to look past their historic animosities and work together more closely than ever before. Each country decided to reinstate the other’s preferred trade partner status last spring, and in December they resumed high-level economic talks after an eight-year hiatus. U.S. allies in Europe that were previously reluctant to push back against Beijing may also change their minds as they come to see China and Russia as a unified threat—perhaps enough to persuade them to help the United States deter Chinese aggression in Asia. China has been reluctant to support Russia’s military and political goals in Europe in part because Beijing values its economic relationships with European countries. If those countries join the United States in taking a harder line on China, Beijing may conclude that an association with Russia and its disruptive tactics comes with too high a cost.

For now, coordination between North Korea and Russia makes it harder for the United States and its allies to compel either country to leave behind its revisionist, aggressive tendencies and assume a constructive role in the international community. But if their relationship sufficiently threatens China, Beijing may choose to distance itself from both Moscow and Pyongyang. It might even go so far as to try to push North Korea and Russia apart. The United States and its allies were not the primary reason for the Sino-Soviet split during the Cold War, and they will not be the cause of the next Chinese-Russian rift—but they can make the most of the regional dynamics hastening a divide.

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China, Russia, and North Korea’s New Team Is Not Built to Last

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Rachel Owens
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How will Russia’s renewed aggression in Ukraine affect Moscow’s relations with its Eurasian neighbors? In a recent REDS Seminar series talk, co-sponsored by CDDRL and The Europe Center (TEC), University of Michigan Professor of Political Science Pauline Jones addressed this broader question in a collaborative study (with Indiana University Professor Regina Smyth) examining Kazakhstan’s public attitudes toward the Collective Security Treaty Organization (CSTO). A Russian-forged security organization composed of Eurasian countries, the CSTO is aimed at collective defense, although its mandate has recently expanded to include the mitigation of internal conflicts.

Kazakhstan’s significance as a case study, Jones explained, is partly derived from its status as a regional hegemon and the largest non-Russian member state of the CSTO. Although some argue that Kazakhstan’s membership in CSTO contributes to interethnic harmony among its dominant ethnic Kazakh population and large ethnic Russian minority, mounting protests against the war in Ukraine, as well as an influx of Russians fleeing Putin’s war, have put pressure on Kazakhstan to leave the organization. Jones’s study of Kazakhstan’s public opinion on the CSTO suggests that popular sentiments matter in shaping foreign policy and that unpopular decisions can undermine support for the ruling party. 

Jones’s study relied on both direct questions and a list experiment to gauge Kazakhstani public attitudes toward the CSTO. The question asked interviewees whether they approved of Kazakhstan’s participation in the Collective Security Treaty Organization. The list experiment offered participants a list of policies and asked them how many they agreed with. The treatment group’s list of policies included Kazakhstan’s engagement in the CSTO, whereas that of the control group did not.

Jones’ talk highlighted three main provisional findings. First, popular support for the CSTO is weak. Second, it is divided both across and within ethnic groups, with demographic variables being primary correlates of attitudes. Finally, attitudinal beliefs about Russia seem to reinforce these divides. 

Data analysis revealed two primary biases at play. The first is a fear bias, or the reluctance to adopt positions that run contrary to that of the regime. The other is a community preference bias, or an individual’s reluctance to express preferences inconsistent with prevalent views within their own ethnic community. The community preference bias seemed to be stronger, especially for ethnic Kazakhs. That is, ethnic Kazakh respondents were more likely to say that they do not support the CSTO, even when they do, likely out of fear of misaligning with the prevalent view within their own community. 

Attitudinal variables also played a role, albeit less so than the demographic ones. Trust in Putin and positive attitudes toward Russia were associated with greater support for the CSTO. In contrast, among those who saw the Ukraine war as the most salient issue facing the nation, support for the CSTO was weaker. 

These findings suggest that, in the future, Kazakhstan’s government may face pressure from public opinion to change its policy vis-à-vis the CSTO, and Russia, more generally.

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Professor of Political Science Pauline Jones explored how Russia’s renewed aggression in Ukraine will affect Moscow’s relations with its Eurasian neighbors in a recent REDS Seminar talk, co-sponsored by CDDRL and TEC.

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The Freeman Spogli Institute for International Studies (FSI) and the The Europe Center (TEC) are pleased to host President Zuzana Čaputová of the Slovak Republic for a fireside chat with Michael McFaul, director of FSI, with welcome remarks by Anna Grzymała-Busse, director of TEC. 

President Čaputová will speak about the impact Russia's war on Ukraine is having on Central European countries.


About President Zuzana Čaputová 


Elected on June 15, 2019, Slovak President Zuzana Čaputová is the first woman to hold the presidency as well as the youngest president in Slovakia's history. President Čaputová's political career began in 1996, after graduating from the Comenius University Faculty of Law in Bratislava. After her studies, Čaputová worked in the local government of Pezinok and then transitioned into the non-profit sector working at the Open Society Foundations. At the Open Society Foundations, she worked closely on the issue of abused and exploited children. In 2017, Čaputová joined the Progressive Slovakian political party and was elected as a Vice-Chairwoman for the party. She also served as the Deputy Chair until 2019, when she resigned to launch her presidential campaign.

In 2016, she was awarded the Goldman Environmental Prize for her work in addressing the toxic landfill in Pezinok. In addition, in 2020, Čaputová ranked #83 on the Forbes’ World's 100 Most Powerful Women list.

Michael A. McFaul
Michael McFaul
Anna Grzymała-Busse
Anna Grzymała-Busse
Zuzana Čaputová President of Slovakia
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