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Origins of the Great Purges Soviet and East European ORIGINS OF THE GREAT PURGES SOVIET AND EAST EUROPEAN STUDIES Editorial Board JULIAN COOPER, MICHAEL KASER, ALISTAIR MCAULEY, MARTIN MCCAULEY, FRED SINGLETON, RON HILL, PAUL LEWIS The National Association for Soviet and East European Studies exists for the purpose of promoting study and research on the social sciences as they relate to the Soviet Union and the countries of Eastern Europe. The Monograph Series is intended to promote the publication of works presenting substantial and original research in the economics, politics, sociology and modern his- tory of the USSR and Eastern Europe. For other titles in this series, turn to page 276. ORIGINS OF THE GREAT PURGES THE SOVIET COMMUNIST PARTY RECONSIDERED, 1933-1938 J. ARCH GETTY UNIVERSITY OF CALIFORNIA, RIVERSIDE The right of the University of Cambridge to print and sell all manner of books was granted by Henry VIII in 1534. The University has printed and published continuously since 1584. CAMBRIDGE UNIVERSITY PRESS CAMBRIDGE LONDON NEW YORK NEW ROCHELLE MELBOURNE SYDNEY Published by the Press Syndicate of the University of Cambridge The Pitt Building, Trumpington Street, Cambridge CB2 1RP 32 East 57th Street, New York, NY 10022, USA 10 Stamford Road, Oakleigh, Melbourne 3166, Australia ® Cambridge University Press 1985 First published 1985 First paperback edition 1987 Library of Congress Cataloging in Publication Data Getty, J. Arch (John Archibald), 1950- Origins of the great purges. (Soviet and East European studies) Bibliography: p. 1. Kommunisticheskaia Partiia Sovetskogo Soiuza - Purges — History. 2. Soviet Union — Politics and government - 1917-1936. 3. Soviet Union - Politics and government — 1936—1953. 4. Political purges — Soviet Union — History. I. Title. II. Series. JN6598.K7G43 1985 324.247'075'09 84-12718 ISBN 0 521 25921 5 hard covers ISBN 0 521 33570 1 paperback Transferred to digital printing 2003 Contents List of tables page vi Preface vii Introduction: the Great Purges as history 1 1 The Communist Party in the thirties 10 2 What was a purge? 38 3 The Verification of Party Documents of 1935: a case study in bureaucratic ineptitude 58 4 Radicalism and party revival 92 5 Radicalism and enemies of the people 113 6 The crisis matures: 1937 137 7 Epilogue: the Ezhovshchina 172 Conclusion: some observations on politics in the thirties 196 Appendix: the Kirov assassination 207 Bibliographic essay 211 Notes 221 Index 271 Tables 2.1 Incidence of purges in the 1920s page 46 2.2 Reasons for expulsion: 1929 purge 47 2.3 Reasons for expulsion: 1933 chistka 54 3.1 Targets of proverka denunciations, city of Smolensk, July 1935 69 3.2 Results of proverka denunciations, city of Smolensk, summer 1935 70 3.3 Numbers expelled in proverka, 1935 81 3.4 Incidence of purges, 1921-35: expulsion rates 82 3.5 Reasons for expulsion in proverka: Smolensk City Party Committee, 1935 83 3.6 Smolensk City Party Organization social composition, 1934 - October 1935 84 6.1 Primary party organizations whose work was judged unsatisfactory by the membership, April-May 1937 159 6.2 Electoral turnover of party committees, 1937 159 6.3 Electoral turnover in primary party organizations, 1937 160 7.1 Party expulsions by year 177 C.I Full Central Committee membership of regional party secretaries, 1927-39 197 VI Preface Until recently, political scientists and emigre journalists have done most of the work on Soviet political history. Some of their work has been very good, but it seemed to me that the subject could benefit from a historian's treatment. I therefore approached this study with a dis- trust of preconceived models and abstract constructs and with the goal of setting out exactly what happened in the Bolshevik Party in the thir- ties. Avoiding the standard concentration on Stalin's personality, this work aims to rationalize our understanding of the period by evaluating structural, institutional, and ideological factors. I have tried to provide an interpretive framework that reflects the available documentary evi- dence and accounts for the often mysterious events of the thirties. I be- lieve that it explains more and contradicts itself less than other reconstructions. Because of the nature of this field, no one can avoid speculations and guesswork about the origins and course of historical events. But in my view, interpretations based on critical use of the in- ternal records of the participants are better grounded than those that rely on the literary memoirs of courageous but exogenous victims of the process. Many of the people whose opinions I value were able to read and com- ment on all or parts of this study. I owe special thanks to my mentor and adviser Roberta Manning, whose energy, patience, and enthusi- asm lasted through several drafts of the work. Her help and support were unflagging, and her generous suggestion that I include some of her own unpublished archival data in this work speaks for itself. I have also benefited from conversations with my colleague Gabor Ritter- sporn, whose research on politics in the thirties proceeded simultane- ously with and independently of my own. Although we often reached different conclusions on the meanings of documents, we agreed on many of the broad outlines of Soviet political history in the thirties. viii Preface Even in those cases in which I disagreed with his interpretations, his unique, challenging, and sometimes brilliant insights stimulated con- stant reexamination of my own assumptions. Special thanks also go to my longtime friend Bill Chase for his sound advice and sense of humor. Other friends and colleagues who read all or parts of the manuscript and gave me the benefit of their suggestions include Kenneth Barkin, Paul Breines, Chester Dunning, Sheila Fitzpatrick, David Joravsky, Hiroaki Kuromiya, Mary McAuley, Robert H. McNeal, Paul Ray- mond, Sharon Salinger, Bob Supansic, Irwin Wall, and Charles Wetherell. Any errors or mistakes in what follows are, of course, mine alone. I am also grateful for a Research Fellowship from the American Council of Learned Societies, a Senior Fellowship from the Russian In- stitute at Columbia University in 1981, and a fellowship from the Rus- sian Research Center at Harvard University. I received generous financial and logistical support from the University of California, Riv- erside, Academic Senate Committee on Research and Laboratory for Historical Research. Reference librarians at several institutions made my work less diffi- cult. I am indebted to the reference staffs of the Butler and Interna- tional Affairs libraries at Columbia; the Houghton, Widener, and Russian Research Center libraries at Harvard; the New York Public Library; the Lenin Library in Moscow; the Firestone Library at Princeton; and the libraries of the Hoover Institution on War, Revolu- tion and Peace at Stanford University and the University of California, Riverside. Finally, I thank Slavic Review for permission to quote from my " Party and Purge in Smolensk: 1933-1937" (vol. 42, no. 1, Spring 1983, 60- 79). I am also grateful to the Houghton Library for permission to quote from the Trotsky Papers. I would never have been able to complete this work without the emo- tional and material help of my wife, Nancy. Her fresh criticism, typing, and proofreading help - cheerfully given at a time when she was work- ing and pursuing her own professional degrees - make her largely re- sponsible for any contribution that this study may make, and it is to her that I dedicate the work. J. ARCH GETTY Riverside, California Introduction: the Great Purges as history Each says something about the nature of the world, and, though individually he adds little or nothing to our understanding of it, still from the combination of all something considerable is accomplished. Aristotle Until Khrushchev's time, Soviet citizens were taught that the Commu- nist Party had uncovered a dangerous conspiracy in the mid-1930s. Ac- cording to the official Stalinist view, it had gradually come to light in 1934-6 that many of the party's prominent personalities had been un- dercover "enemies" of the party who had worked to undermine the party and the Soviet regime from the earliest days of Soviet power. Led primarily by Leon Trotsky, this "gang" of "fiends" included other longtime Bolsheviks Grigorii Zinoviev, Nikolai Bukharin, Lev Ka- menev, Aleksei Rykov, and others who had posed as Lenin's trusted comrades. These traitors had always been spies, saboteurs, and opposi- tionists who wanted to overthrow the socialist regime, split the party, and ultimately restore capitalism in the USSR. They plotted with the German Gestapo to overthrow the party leadership in a bloody coup that was timed to coincide with the invasion of the USSR by one or more fascist states. In a series of major public trials, these traitors were unmasked by the secret police and the party, whose vigilance had dis- covered the treason. The plotters admitted their guilt in open court, and the Soviet people were unanimous in their condemnation of the treason. The vigilant secret police justly uprooted the treason, followed proper judicial norms, punished only the guilty, and ultimately saved the Soviet government.1 Western specialists and Soviet dissidents have provided another ex- planation of these events that is more complicated but ultimately as Manichean as the Stalinist story.2 According to this view, Stalin in the 2 Origins of the Great Purges early thirties demanded the arrest and execution of oppositionists and dissidents for treason. He seems to have been opposed by a combina- tion of Politburo "moderates" consisting of S. M. Kirov (head of the Leningrad party organization) and Sergo Ordzhonikidze (commissar of heavy industry), who supposedly resisted the imposition of the death penalty upon party members and carried the day in the dispute. Kirov's elevation to the central party leadership in 1934 represented both a political and personal alternative to Stalin's leadership.
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