Award Abstract # 1442646
RAPID: Attitudes and beliefs in Russian-supported 'de facto' states and Eastern Ukraine in the wake of the Crimean annexation

NSF Org: SES
Division of Social and Economic Sciences
Recipient: THE REGENTS OF THE UNIVERSITY OF COLORADO
Initial Amendment Date: May 15, 2014
Latest Amendment Date: May 15, 2014
Award Number: 1442646
Award Instrument: Standard Grant
Program Manager: Lee Walker
lwalker@nsf.gov
 (703)292-7174
SES
 Division of Social and Economic Sciences
SBE
 Directorate for Social, Behavioral and Economic Sciences
Start Date: May 15, 2014
End Date: July 31, 2016 (Estimated)
Total Intended Award Amount: $156,633.00
Total Awarded Amount to Date: $156,633.00
Funds Obligated to Date: FY 2014 = $156,633.00
History of Investigator:
  • John O'Loughlin (Principal Investigator)
    John.Oloughlin@colorado.edu
  • Gerard Toal (Co-Principal Investigator)
Recipient Sponsored Research Office: University of Colorado at Boulder
3100 MARINE ST
Boulder
CO  US  80309-0001
(303)492-6221
Sponsor Congressional District: 02
Primary Place of Performance: University of Colorado Boulder
3100 Marine Street, Room 479
Boulder
CO  US  80309-0572
Primary Place of Performance
Congressional District:
02
Unique Entity Identifier (UEI): SPVKK1RC2MZ3
Parent UEI:
NSF Program(s): Political Science
Primary Program Source: 01001415DB NSF RESEARCH & RELATED ACTIVIT
Program Reference Code(s): 7914
Program Element Code(s): 137100
Award Agency Code: 4900
Fund Agency Code: 4900
Assistance Listing Number(s): 47.075

ABSTRACT

The project is designed to scientifically study public opinion in contested areas of the former Soviet Union to address important theoretical questions in international relations and comparative politics, and to inform US policymakers on matters crucial to US security interests.

Recent events in Ukraine -- violent protests in Kyiv, the collapse of the Yanukovych government, installation of an interim pro-Western regime, and the rapid annexation of the Crimean peninsula by Russia-- have altered Europe's political map and profoundly challenged the geopolitical settlement agreed after the collapse of the Soviet Union. Speculation abounds that the strongly Russophone regions of eastern Ukraine (specifically, the large oblasts of Donetsk and Kharkiv) and nearby post-Soviet separatist "de facto" states (Abkhazia, South Ossetia and Transnistria) are potential future targets for Russian expansionism. To term all these places "pro-Russian" is an over-simplification. Russia's annexation of Crimea may have created what the Kremlin hopes are "new realities" on the ground but it is not clear how the new geopolitical context and its uncertainties are viewed by both residents in these de facto states and in regions of Ukraine traditionally held to be "pro-Russian". Documenting and analyzing these evolving attitudes in conflict regions is the project's research goal.

Intellectual Merit: Three important research questions about the international system have been thrown into sharp relief by recent events. The first concerns the geopolitical challenge to the legitimacy of the post-Cold War settlement in Europe. In the wake of a rupture from the 1970s agreement that post-war European boundaries should not be altered, are post-Soviet de facto states about to be "gathered up" by Russia? Second, contemporary geopolitical events are re-focusing attention on the crucial importance of ongoing intellectual debates about territory and sovereignty in international relations. Over twenty de facto states have been created in recent decades. The current political crisis in Ukraine and its attendant questions about the future territorial status of its eastern oblasts that are dominated by a Russified population offers an opportunity to examine a possible territorial modification through the views of the residents in these regions. A third broad research topic is, while Russia's actions may not enjoy legitimacy in the UN General Assembly, they appear to enjoy considerable popular support within Russia and Crimea. After working strenuously for two decades to establish "stateness", are residents of de facto states and similar minority regions willing to abandon their nominal state identity to acquire a new one? To answer these questions, the Principal Investigators, in collaboration with Russian colleagues, will conduct large representative public opinion surveys in five regions (three de facto states of Abkhazia, South Ossetia and Transnistria, and two oblasts, Donetsk and Kharkiv, in eastern Ukraine) to document and analyze current attitudes in the wake of the Ukrainian government crisis and subsequent Crimea annexation.

Broader Impacts: Events over the first months of 2014 have shaken assumptions about Russia's adherence to post-Cold War agreements to respect the territorial integrity of post-Soviet states. The US focus is to ensure the continued transition to successful governance in Ukraine and support Ukraine, Georgia and Moldova in their efforts to reclaim control of territories. Post-Soviet de facto states are quite successful in promoting state identity and internal state legitimacy. Given this, it is not at all clear that communities in these territories have uniform aspirations for annexation by Russia, though prevalent attitudes are strongly pro-Russia. The project will provide critical information for US foreign policy by acquiring information about current conditions inside de facto states and nominally pro-Russian regions of Ukraine, their level of legitimacy with their own populations, the extent and nature of their contacts with Russia, the willingness of the populations to accept territorial and political changes, the relative level of inter-ethnic social distances, and the conditions of border interactions.

PROJECT OUTCOMES REPORT

Disclaimer

This Project Outcomes Report for the General Public is displayed verbatim as submitted by the Principal Investigator (PI) for this award. Any opinions, findings, and conclusions or recommendations expressed in this Report are those of the PI and do not necessarily reflect the views of the National Science Foundation; NSF has not approved or endorsed its content.

The collapse of the Soviet Union was an event of global significance–all the more so because the process did not trigger an interstate war. The continent-spanning superpower with a terrifying arsenal of nuclear weapons dissolved, and fifteen successor states emerged and soon projected all the signs of functioning states. The process, however, was not smooth; in many places, the disintegration of the Soviet Union was far from peaceful. In the Baltic and Black Sea/Caucasus regions, the territorial order created over decades by the Soviet Union had already fallen apart. While the territorial order was not solely created by the Communists, the official borders of the Soviet Union when it was dissolved in late 1991 were in many regions “artificial borders.” It would become more so as former Soviet Republics laid claim to the “territorial integrity” of the new sovereign state on the basis of the legal principle uti possidetis (as you possess). Our project examined the fragments of Soviet territorial arrange-ments that came apart, spaces designated as the homelands of “titular” groups that were recognized as autonomous entities within the Soviet Union and claimed exclusively by their official “parent” republics.ce, key questions emerged about the status and spaces of titular nations. We examine three of them (Nagorny-Karabakh, South Ossetia, and Abkhazia), that tsought to secede from their parent states (Azerbaijan and Georgia), along a fourth,Transnistria, that declared independence from Moldova.  In the context of the Russian annexation of Crimea in March 2014 and the ongoing conflict in the Donbas region of Ukraine, we also examined the depth and extent of support for separation from Ukraine of large territories of that country in the south east and in Crimea.  Large representative public opinion surveys conducted simultaneously in late December 2014 form the key data for the project.  Since the questions are similar across the surveys and because they repeated some of the questions that we asked in the de facto states in 2010-2011, we can compare attitudes and beliefs accurately in multiple settings.

Despite nearly a quarter century of existence, the four post-Soviet de facto states still sit in a gray geopolitical zone, subject to the nature of great power relations. Without Russian guarantees, they would come under severe pressure through economic blockades and even military attacks. Russian backing now precludes any significant change in the status quo of the de facto republics and current interactions with their parent states. But any dramatic changes in Russia itself would have immediate repercussions on the small territories that depend on it. The local military forces are substantial and well-armed and undoubtedly motivated to defend their territory. It is Russian troops and bases, however, that will determine the outcome of any further conflict in three de factos (Abkhazia, South Ossetia and Transnistria), just as Russian geopolitical interests strongly influence the Armenian/Karabakhi-Azerbaijani peace process. The vast majority of the residents of de facto republics prefer this uncertain but relatively secure arrangement to any other alternative. 

The Russian government today sustains a diverse geopolitical archipelago of annexed territory (Crimea), recognized de facto states, unrecognized de facto states, and emergent de facto states in its near abroad. While Moscow keeps these diverse places afloat with federal largess, they are mostly troubled inheritances rather than full creations of the Putin regime. Residents of the de facto republics recognize their vulnerability to the decisions of external actors, especially the great powers, and their interest in international politics is high. However, the daily grind of making a decent living remains paramount, with unemployment and poverty ranking highest in their lists of problems facing the respective republics. While the security issue has been temporarily resolved by the Russian guarantees, high levels of migration and dependence on pensions and other Russian subsidies indicate chronic economic troubles. All have seen huge depopulations since the last Soviet census of 1989 due to ethnic displacements after the wars and migration motivated by unemployment. Support for the local regimes remains contingent on their legitimacy in the eyes of the citizens that is dependent on security guarantees and material well-being.25 Russian support is thus central to their existence and future stability. 


Last Modified: 12/03/2016
Modified by: John V O'loughlin

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