Bukharin was not yet arrested, but from December 1936 through to July 1937 the net of repression was cast ever wider and reached its full list of victim-categories. The NKVD arrested followers of oppositions of both Left and Right. It seized existing holders of office in party, government, army and all other public institutions. It moved against large groups in society which had connections with the pre-revolutionary elites. It apprehended members of former anti-Bolshevik parties, clergy and ex-kulaks. It picked up and deported several national and ethnic groups in the USSR’s borderlands. Having identified the categories for repression, the NKVD’s terror machinery was kept working at full pace until November 1938.
One thing is sure: it was Stalin who instigated the carnage of 1937–8, although there was a current of popular opinion in the USSR that it was not essentially his fault. Supposedly his associates and advisers had persuaded him that only the most extremes measures would save the state from destruction; and in later decades this notion continued to commend itself to a handful of writers.4 But this was self-delusion. Stalin started and maintained the movement towards the Great Terror. He did not need to be pushed by others. He and nobody else was the engineer of imprisonment, torture, penal labour and shooting. He resorted to terror on the basis of Bolshevik doctrines and Soviet practical precedents. He also turned to it out of an inner psychological compulsion.5 Yet although he did not need much temptation to maim and kill, he had a strategy in mind. When he acted, his brutality was as mechanical as a badger trap. Stalin knew what he was hunting in the Great Terror, and why. There was a basic logic to his murderous activity. It was a logic which made sense within the framework of personal attitudes which interacted with Bolshevism in theory and practice. But he was the despot. What he thought and ordered had become the dominant factor in what was done at the highest level of the Soviet state.
Chief among his considerations was security, and he made no distinction between his personal security and the security of his policies, the leadership and the state. Molotov and Kaganovich in their dotage were to claim that Stalin had justifiable fears about the possibility of a ‘fifth column’ coming to the support of invading forces in the event of war.6 Stalin gave some hints of this. He was shocked by the ease with which it had been possible for General Franco to pick up followers in the Spanish Civil War which broke out in July 1936.7 He intended to prevent this from ever happening in the USSR. Such thinking goes some way to explaining why he, a believer in the efficacy of state terror, turned to intensive violence in 1937–8. Yet he would probably have felt impelled towards terror even without the pressures of the international situation. He felt the impulse to terror before the late 1930s. Inside the party there was much discontent with him and his policies, and indeed massive anger existed across the country. Although his power was enormous, he could never allow himself the luxury of complacency. The possibility of the bitter discontent bursting into a successful movement against him could not be discounted. Stalin’s revolutionary break with the NEP had caused tremors which were far from dying down. Beneath the surface of calm and obedience there boiled a deep resentment in state and society which had already given him cause for anxiety.
So if his reaction to the Civil War in Spain was the match, the entire political and social situation in the USSR over the past few years was the tinderbox. Stalin had come close to saying this in the message he and Zhdanov sent from the Black Sea to Kaganovich and Molotov on 25 September 1936:8
We consider it an absolutely necessary and urgent matter to appoint com[rade] Yezhov as People’s Commissar of Internal Affairs. Yagoda has clearly shown himself not up to the task of unmasking the Trotskyist–Zinovievite bloc. The OGPU is four years behind in this matter.
In lighting the match, Stalin did not necessarily have a predetermined plan any more than he had had one for economic transformation at the beginning of 1928. Although the victim-categories overlapped each other, there was no inevitability in his deciding to move against all of them in this small space of time. But the tinderbox had been sitting around in an exposed position. It was there to be ignited and Stalin, attending to all the categories one after another, applied the flame.
Trotski’s former ally Georgi Pyatakov had been arrested before Yezhov’s promotion. Pyatakov had been working efficiently as Ordzho-nikidze’s deputy in the People’s Commissariat of Heavy Industry. Ordzhonikidze, in discussions after the December 1936 Central Committee plenum, refused to believe the charges of terrorism and espionage laid against him. This was a battle Stalin had to win if he was to proceed with his campaign of repression. Pyatakov was placed under psychological pressure to confess to treasonous links with counter-revolutionary groups. He cracked. Brought out to an interview with Ordzhonikidze in Stalin’s presence, he confirmed his testimony to the NKVD. In late January 1937 a second great show trial was held. Pyatakov, Sokolnikov, Radek and Serebryakov were accused of heading an Anti-Soviet Trotskyist Centre. The discrepancies in evidence were large but the court did not flinch from sentencing Pyatakov and Serebryakov to death while handing out long periods of confinement to Radek and Sokolnikov. Meanwhile Ordzhonikidze’s brother had been shot on Stalin’s instructions. Ordzhonikidze himself fell apart: he went off to his flat on 18 February 1937 after a searing altercation with Stalin and shot himself. There was no longer anyone in the Politburo willing to stand up to Stalin and halt the machinery of repression.9
Ordzhonikidze’s suicide happened in the course of a Central Committee plenum that lasted into March 1937. Stalin, without hiding behind Yezhov, asserted that the Trotskyist–Zinovievite bloc had installed an agency for espionage, sabotage and terrorism working for the German intelligence services.10 Yezhov repeated that Trotskyists, Zinovievites and Rightists were operating in a single organisation, and Stalin with the plenum’s consent instructed him to carry out a thorough investigation.11 Stalin also threatened those who held posts in the party. He aimed to break up the clientelist system which inhibited the operation of a vertical administrative hierarchy:12
What does it mean if you haul a whole group of pals along with you? It means you’ve acquired a certain independence from local organisations and, if you like, a certain independence from the Central Committee. He has his own group and I have my own group and they’re personally devoted to me.
The alarm bell was being rung for a party and police purge. Bukharin was arrested on 27 February, Yagoda on 29 March. Mass expulsions meanwhile took place from the party through to the summer. Marshal Tukhachevski was arrested on 27 May along with most members of the Supreme Command. The armed forces had been added to party and police as suspect institutions. Tukhachevski was shot on 11 June; he had signed a confession with a bloodstained hand after a horrific beating.
The tall poppies of the USSR were being cut down. Yet another Central Committee plenum was convoked on 23 June. Yezhov reported on his investigations. Shamelessly fabricating the evidence, he reported that a Centre of Centres had been uncovered uniting Rightists, Mensheviks, Socialist-Revolutionaries, the Red Army, the NKVD, Zinovievites, Trotskyists and provincial party leaders. This was an alleged conspiracy on the grandest scale. Not only anti-Bolsheviks and former Bolshevik oppositionists but also current party leaders were said to have plotted to overthrow Stalin and his comrades; and Yezhov implied that only his own vigilance had prevented a coup from occurring.13
Stalin managed the process cunningly. He contrived again to hide behind Yezhov’s initiatives and pretend that he himself had nothing to do with the planning of repression. But as the moves were made against Central Committee members, it was unfeasible for him to say nothing; and in any case he was easily thrown into a bad temper by open criticism of the arrests. At the June 1937 plenum of the Central Committee G. N. Kaminski, People’s Commissar of Health, objected: ‘This way we’re killing off the entire party.’ Stalin barked back: ‘And you don’t happen to be friends with these enemies!’ Kaminski had taken his stand on principle and stuck to it: ‘They’re absolutely not my fr
iends.’ Stalin came back at him: ‘Well, in that case it means you’re a berry from the same field as them.’14 Another brave individual was Osip Pyatnitski, a leading Soviet functionary in the Comintern, who vehemently opposed the proposal to execute Bukharin and accused the NKVD of fabricating its cases. Stalin suspended the proceedings and assembled the Politburo to discuss the outburst. Voroshilov and Molotov went to Pyatnitski to persuade him to retract. Pyatnitski refused. When the Central Committee reconvened, Yezhov denounced Pyatnitski as a former Okhrana agent, and Pyatnitski’s days were numbered. Stalin drew the plenum to a close on 29 June. He had crushed all opposition and called on the Central Committee to expel thirty-five full and candidate members from its ranks. The shocked Central Committee voted in favour.15
Equipped with the Central Committee’s troubled approval, the Politburo on 2 July decided on a decree to carry out a definitive purge of ‘anti-Soviet elements’. Not only the alleged leadership of the (entirely fictitious) Centre of Centres was to be eliminated but even whole social categories were to be savaged.16 It would affect former kulaks, Mensheviks, Socialist-Revolutionaries, priests, Bolshevik oppositionists, members of non-Russian parties, White Army soldiers and released common criminals. Order No. 00447 was drawn up by Stalin and Yezhov and sanctioned by the Politburo on 31 July. The campaign was set to start on 5 August, and Stalin signalled his intention to oversee it by not taking his regular vacation by the Black Sea. Yezhov, consulting him frequently, had established a USSR-wide quota for people to be condemned. With elaborate precision he determined that 268,950 individuals should be arrested. The procedures would involve judicial farce; the victims were to be hauled before revolutionary troiki of party and police and, without right of defence or appeal, found guilty. It was also indicated exactly how many should be dispatched to forced labour: 193,000 individuals. The rest, 75,950, were to be executed.
The fact that he ordered the killing of nearly three out of every ten people arrested under Order No. 00447 invalidates the suggestion that Stalin’s mass purges in mid-1937 were motivated mainly by the quest for slave labour.17 Undoubtedly the NKVD’s enterprises needed such labour to fulfil their targets for building, mining and manufacturing. But the Great Terror, while having an economic purpose, was systematically wasteful of human resources. The mass killings demonstrate that security interests were at the forefront of Stalin’s mind.
On 25 July 1937 he and Yezhov had also put forward Order No. 00439, which spread a net of terror across a further category of people. German citizens and Soviet citizens of German nationality were to be arrested. The order did not designate a quota: the NKVD was charged simply with getting on with the operation on its own initiative. In fact 55,000 people received punitive sentences and these included 42,000 executions.18 Stalin had decided that some types of foreigner were just as dangerous to him as kulaks and other ‘anti-Soviet elements’. He did not stop with the Germans resident in the USSR. After them came the Poles, the former émigrés in the Chinese city of Harbin, the Latvians and several other peoples. ‘National operations’ of this nature continued through the rest of 1937 and all 1938.
The conclusion is inescapable. Stalin had decided to deal with the objects of his security worries in a sustained burst of NKVD mass arrests and murders. Additions were recurrently made to the quotas set for the operation against ‘anti-Soviet elements’ and to the list of nationalities marked down as hostile. Leaders in the provinces were not discouraged from applying for permission to raise the number of victims to be seized. Stalin wrote telegrams fostering the murderous enthusiasm. No document survives of his having gone the other way and trying to stem the flood of arrests, torture and killing. When the Krasnoyarsk Party Regional Committee wrote to him about a fire in a grain store, he simply replied: ‘Try the guilty persons in accelerated fashion. Sentence them to death.’19 There was no injunction to local leaders to exercise care in repressing the ‘correct’ people. His emphasis was always upon getting his subordinates to carry out the Great Terror with zeal. Thick, bloody slices were cut from the personnel of party, government and all other institutions. The word went forth that the only way to save your life, if it was at all possible, was to comply eagerly with orders for repression.
Even Kaganovich had to plead his case before him when Stalin objected to his past association with ‘enemy of the people’ Marshal Iona Yakir. Kaganovich plucked up courage to point out that it had been Stalin who had recommended Yakir to him a decade before.20 Nikita Khrushchëv, Moscow Party Committee Secretary, was similarly threatened when Stalin accused him of being a Pole. At a time when Polish communist émigrés in Moscow were being routinely shot, Khrushchëv was understandably keen to prove that he was a genuine Russian.21
Stalin’s involvement remained direct and deep as his envoys went to the main centres to preside over the sackings and arrests of local leaders. One of these envoys was Politburo member Andreev, a repentant member of the Workers’ Opposition whose past made it imperative to carry out orders implicitly. He went to cities such as Chelyabinsk, Krasnodar, Samara, Saratov, Sverdlovsk and Voronezh as well as Soviet republics such as Belorussia, Tajikistan, Turkmenistan and Uzbekistan.22 Andreev quickly decided whom to arrest and whom to replace them with. But he consulted Stalin before going ahead with his plans. From Stalinabad in Tajikistan he reported that ‘enemies have been working here in a basic fashion and have felt fairly free in doing this’. Stalin telegraphed back on 3 October 1937:23
We sanction Protopopov as [Party] First Secretary, Iskanderov as Second, Kurbanov as Ch[airman] of the Sovnarkom, Shagodaev as Ch[airman] of the Central Executive Committee.
Ashore and Frolov ought to be arrested. You need to leave in time to be back here in Moscow for the Central Committee plenum of the All-Union Communist Party on 10 October.
Let Belski proceed to Turkmenia in a few days’ time to carry out a purge. He will receive his instructions from Yezhov.
Andreev, Malenkov, Zhdanov and others toured the various regions carrying out their master’s policy.
Although it was physically impossible to ratify each and every operation carried out in particular localities, Stalin still managed to examine 383 ‘albums’ of proposed victims brought to him by Yezhov in the Great Terror. These albums alone contained the names of about 44,000 people. The higher the status of the victim, the more likely it was that Yezhov would seek Stalin’s signature before proceeding. Stalin, a busy man, was expected to go through the lists and tick off recommended sentences whenever he spotted a name he knew and had a preference for what should be done. He did this with his usual assiduity; there is no sign that he objected to doing things in the ‘album fashion’. All the time, too, he bound the rest of the Politburo to the process. Molotov, Kaganovich and Voroshilov and others were asked for their approval, and they frequently added their rhetorical flourishes to their names. ‘Give the dog a dog’s death!’ was one of Molotov’s touches. Stalin was still avoiding incurring exclusive responsibility. Obviously he retained a residual worry that he would not get away with the outrages he was organising. Having bludgeoned his comrades into condoning the measures, he wanted their continuing formal complicity.
The fact that Stalin targeted millions of persons who had broken no law had operational consequences. So too did his determination to purge every single public institution. In this situation it was crucial to obtain assent and co-operation from officials in party, government and police who might otherwise have disrupted the process — and as things turned out, many of them were doomed to pay for their compliance with their own lives. It was presumably for this reason that Stalin needed the trials, however spurious and brief they were, to take place. Not only that: he felt constrained to obtain proofs of crime. Somehow he had to demonstrate to the survivors of the Great Terror, including the individuals he promoted from obscurity, that the dreadful state violence had been justified. A comparison with Nazi Germany is apposite. When the German security agencies rounded up Jews, Roma, homosexuals and the m
entally disabled there was no secret about the regime’s antagonism towards them. Hitler kept quiet about the scale of the arrests and the fate of those who had been arrested; but this coyness was aimed at avoiding unnecessary opposition among citizens of the Reich: he had no need as he saw things to pretend that the victims were spies or saboteurs. They had been arrested exactly because they were Jews, Roma, homosexuals or mentally disabled.
Such an approach would not do for Stalin. Kulaks, priests, Mensheviks, Germans, Harbinites and Trotskyists lacked the popular antagonism towards them that Hitler had whipped up against his victims. They had to be shown to be a malignant presence in respectable, loyal Soviet society. Stalin was running a terror-state. Yet the requirement existed even for him to keep the confidence of the office-holders whose lives he spared. It did not greatly matter that his case against the victims was inherently implausible. What counted was that stenographers could record that, as far as the state was concerned, due legal process had taken place. Perhaps there was a personal edge to this. Stalin had characteristically seen the world in black-and-white terms. Intermediate colours did not exist for him, and he implicitly believed that those persons whom he felt he could not trust were indeed working actively and conspiratorially against him and his policies. For psychological reasons, then, he too required that his victims could be shown to have done wrong; and since the NKVD lacked material evidence, the sole option was for the alleged spies and saboteurs to be brought to admit their guilt. Interests of state came together with the aberrant purposes of an unbalanced Leader.
Stalin: A Biography Page 45