Appendix 1 Historiographical Notes on Tukhachevskii In the early 1930s

Until his rehabilitation in 1957, the literature on Tukhachevskii in general emanated from the 1920s and 1930s. 1 Except for the defector agent Walter Krivitsky's testimony on the Tukhachcvskii 'affair', the possible Gcrman­ NKVD plot had been treated only in a few post-World War Two memoir articles by German officers. 2 In 1957, a military collegium led by B. Viktorov scrutinised the grounds for Tukhachevskii's arrest, interrogation and trial in May-June 1937. They produced a host of new data on the inner mecha­ nisms of the repression in the Red Army.3 In the early 1960s, a few survivors of the purges in the Red Army pub­ lished their memoirs and biographical sketches of Tukhachcvskii. General A. I. Todorskii established a table on the most famous commanders de­ stroyed in 1936-8. He also wrote a short biography of Tukhachevskii.4 A major source for the historiography was General G. S. lsserson's memoirs, in which he wrote on Tukhachevskii's 1928 and 1930 proposals for re­ structuring the Soviet armed forces. 5 Another secondary source was Marshal S. Biriuzov's introductory essay to Tukhachevskii's Selected works (Izbrannye proizvedeniia ). 6 It is clear that this historiography was in its own way biased. The most evident reason for this was that when Isscrson's and Biriuzov's articles were published, the XXII Congress of the Communist Party had strongly condemned the crimes and repression during Stalin's reign, and impli­ cated Voroshilov as culpable in the execution of the High Command of the Red Army in 1937-8. Tukhachevskii and the other marshals executed after a show trial in 1937 had been rehabilitated during Khrushchev's first de-Stalinisation campaign. When describing the development of the Red Army in the inter-war period and in the initial phase of the Great Patri­ otic War in 1941, Soviet historians had a tendency to embellish the accomplishments of Tukhachcvskii. However, the exact nature of his pro­ posals, like the above-mentioned January 1930 memo, were glossed over. Even in a recent biography of Tukhachevskii, Valentin Ivanov wrote that the figures were 'absolutely well-founded indicators for the development of the artillery, armoured and tank forces and aviation'. Despite the fact that Tukhachevskii claimed that his targets were for the end of the first five-year plan, that is, for 1933, Ivanov states that Tukhachcvskii, with great prescience, foresaw the probable magnitude of future conflicts in general.

206 Appendix I 207

Ten years before the Second World War, Tukhachevskii could exactly envision those strategic operations that would eventually take place m 1939-1945.7

Soviet historiography has tended to blur Tukhachevskii's time perspec­ tive. It is worthwhile to note that his schedule definitely referred to the military industrial capacity in the immediate future:

Though I cannot specify the time and sequence for this reorganisation, I believe that it without any doubt conforms to the production capacity of the five-year plan.0

However, no Soviet historian has studied how Voroshilov, Shaposhnikov and Stalin in 1930-1 handled the various proposals by Tukhachevskii. Most significant is that the superficial and biased analysis undertaken by Shaposhnikov has not been mentioned previously. Besides this historio­ graphical aspect, one important moment in the dispute over Tukhachevskii's proposals is that a radically different perspective was introduced in the debate. Tukhachevskii as well as Snitko implied a qualitative leap in the development of the Soviet armed forces. At a time when the range for strategic planning still seemed to allow for such drastic transformations, their thinking eventually found another resonance in the circle around Stalin. When other officials took into account the various ideas launched by Tukhachevskii, matters were settled quite swiftly. Boris Shaposhnikov, the old 'military specialist', who for unknown reasons had hastened to join the Communist Party in autumn 1930, was dismissed from the Staff. In June 1931, Tukhachevskii was promoted to Deputy People's Commissar of Military and Naval Affairs and to Chief of Armaments. This co-ordinating post had been instituted in 1929, and first occupied by Uborevich, who was now appointed head of the Belorussian Military District. In April 1931, Shaposhnikov was appointed Commander of the Volga Region Military District, and Egorov - Chief of the Red Army Staff. One year later, Shaposhnikov was transferred to lead the Frunze Military Acad­ emy. In September 1935, he was appointed Commander of the Leningrad Military District. When the purges started in 1937, he was appointed Chief of the General Staff once again, only to be dismissed in August 1940, as a consequence of the Soviet-Finnish War. When Zhukov resigned as Chief of Staff in July 1941, Shaposhnikov for the last time took up the respon­ sibility as Head of the General Staff. Tukhachevskii, Triandafillov, Khalepskii, Zhigur and several other 'modernisers' could now work in close tandem on developing the strate­ gic doctrine and on testing new weapons like tanks, fighter, bomber and transport aircraft, chemical weapons and experimental techniques. In this book some of the results of these strivings have been examined. The mobilisation preparedness of industry was taken as a crucial point for judging the success of the rearmament 'in depth'. Another historical assumption gets new light from the archival findings discussed above. It has been asserted that Stalin started to plot against 208 Appendix I

Tukhachevskii in 1930. However, evidence to that effect is lacking, bar­ ring the hearsay that was 'reproduced' during the thaw under Khrushchev. On the contrary, the archival findings indicate that Stalin at that time trusted Tukhachevskii as a military planner. Precisely when this dispute raged over the modernisation of the army in summer 1930, Tukhachevskii was commissioned by Stalin to draft a new war plan against Poland. De­ spite their disagreement on the historical questions and the rearmament process, Stalin endorsed Tukhachevskii to develop the new concept of 'deep operations' in the most important part of the Soviet war planning. This war plan, which Tukhachcvskii eventually completed and proposed in 1932, included air assault strikes against the rear of a Polish army still in mobilisation, tank operations at the border and heavy bomber strikes against Warsaw.9 It is outside the scope of this study to analyse the events that led to the trial and execution of Tukhachevskii in 1937 (were there actually forged Nazi documents, purportedly showing Tukhachevskii collaborating with German officers? By whom were the documents transferred to Moscow? and so on). 111 A common interpretation of the persecution of the Red Army generals in 1937 claims that Stalin detested Tukhachevskii ever since his fateful refusal to support the offensive on Warsaw during the Soviet­ Polish war in 1920, and that Stalin had initiated a conspiracy against Tukhachevskii already in 1930. Judging by how they worked in tandem during 1931 and later in the industrial restructuring, however, this expla­ nation needs more factual support. The long letter - reproduced in this book pp. 141-3 - in which Stalin in 1932 apologised to Tukhachevskii certainly casts doubt on this thesis. There probably did exist personal rancour between Boris Shaposhnikov and Mikhail Tukhachevskii. In 1923, Shaposhnikov had examined the Soviet­ Polish war 1920 in a way that was biased in favour of the Stalin-Budionnyi­ Voroshilov camp, and clearly hostile to Tukhachevskii's way of handling the logistics of the campaign against Warsaw. 11 One of the main participants of the Soviet-Polish War was Alexander Egorov. In 1920, he was Commander of the Southwestern Front, which with Budionnyi's First Cavalry Army tried to capture L:vov. They had disregarded orders in early August to shift direction, and to support Tukhachevskii's Western Army towards Warsaw. In 1928, Egorov drafted his book on these events: L 'vov-Warsaw: Interaction between army groups. Defence Commissar Voroshilov wrote and warned Egorov not to polemise too much against Triandafillov, Tukhachcvskii and others over the Soviet­ Polish war. The following passage shows Voroshilov as still very independent in his judgements:

It seems necessary, however, to bring your attention to one circumstance. We should not forget that you and I cannot be sharp and objective historians, since we directly took part in the events, and furthermore we are also at present active leading military officials. For this reason I consider that in historical works one should be extremely carcful. 12 Appendix 1 209

Within a year, Voroshilov had forgotten his own recommendations to Egorov. In a laudatory article for Stalin's 50th anniversary, 'Stalin and the Red Army', Voroshilov initiated the falsifications about Stalin's activi­ ties in the Civil War period. 13 If mutual distrust between Tukhachevskii and Stalin over the fate of the Soviet-Polish war had actually been such a sore point between them, it seems difficult to explain why Tukhachevskii, in January 1932, would turn to Stalin, asking him to intervene in the affairs of the Military Acad­ emy. Tukhachevskii noted that Vladimir Melikov's books 'The War against White Poland' (Voina s bclopoliakami, 1925) and 'Marna-Vistula-Smirna' ( 1928) contained a reasoned criticism of the Western Front Command in 1920. However, Tukhachevskii still objected to Melikov's 'pessimistic con­ clusions regard the possible offensive on foreign territories'. But in the Academy's official guidelines for the war with Poland, he considered him­ self to be outrightly discredited. In a letter addressed to 'Respected Comrade Stalin', Tukhachevskii noted that the lectures by Melikov at the Academy depicted him as 'an amateur of unsupported offensives' and as setting up 'fantastic plans'. In the lec­ tures, Tukhachevskii emphasised, Melikov was even more outspoken and described his leadership as 'adventurist', 'foolish' and 'criminal'. Tukhachevskii enumerated a series of distorted facts in Melikov's recent lectures, discussed the reasons for the attacks on his Polish command, and finally, contrasted Melikov's conclusions with Lenin's, and asked Stalin to interfere. In this letter, Tukhachevskii stressed that the RKKA Academy had been criticised for its outmoded pedagogy not only by him, but by all progres­ sive commanders (pcrcdovye konzandiry) like Egorov, Uborevich, Iakir, Fed'ko and the late Triandafillov. Tukhachevskii remarked that the Academy di­ rectors Eideman and Shchadenko were 'prisoners of the old professorate·, and even the arrests of most of the old teachers did not change the Acad­ emy teachings. 1 ~ Finally, it should be noted that at this time Tukhachevskii himself set up or accepted new 'rules of the game'. After a decade of open debates among the military, he staged the denunciation of his foremost rival in strategic thinking in early 1931. The discussions on the merits of Triandafillov and other reformers held in winter 1929-30 were open and vivid. Svechin was one of the most outspoken and respected opponents and participants. However, in April 1931 the ·accused', Svechin, was under arrest and no longer able to defend himself. He was denounced with twisted arguments. 15 Tukhachevskii had contributed, in a sense, to the stifling of the debates, and he was ultimately to suffer himself from this deprofessionalisation and 'partification' of the armed forces. Appendix 2 Military Involvement in Economic Planning and Mobilisation

THE COMPOSITION OF GOSPLAN'S DEFENCE SECTOR IN 1927 1

Presidium of Gosplan's Defence Sector:

Vladimirskii, Gosplan Bogolepov, " Strumilin, " Larichev, " Pugachev (deputy Chief of RKKA Staff, Revolutionary War Council), and Efimov (Head of Organisation-mobilisation directorate of RKKA Staff).

During 1927-28, Movchin presented several lists of persons he wanted to enrol in the new Defence Sector of Gosplan. Among the civilians men­ tioned were: Vankov Kuzovkov (budget and finances) Saushkin (industry) Schmidt (finance) Sanin (from the Workers' and Peasants' Inspectorate, Rabkrin) Druzhnevskii (Gostorg, trade questions) Khmel'nitskaia (the economics of war). The Sector also recruited specialists from industry and transport, such as: Vysochanskii (the defence industry), Beloruchev (transportation) and Kutyrin (ferrous metals).

Among the military personnel who worked at the Gosplan Defence Sec­ tor from the beginning were: Borodulin (Head of Operation section; from the RKKA Staff), Morin ( RKKA Staff), Vasiliev (RKKA Staff), Botner (Main Directorate of RKKA) and Movchin (Frunze Military Academy). Dantsiger, and Zkangeliari, both from the War Academy, were to be appointed to the Sector's Mobilisation section.

210 Appendix 2 211

The following military officers were to be employed by Gosplan's Defence Sector:

Name Present occupation Responsibility in Gosplan Defence Sector

Smyslovskii, Military Academv Defence industrv. artillery Goldberg Military-technical Local transport.. automohiles Karatygin RKKA 2nd General industrial mobilisation (Organisation-Mohi Iis a tion) Directorate Kolcsinskii 4th RKKA Directorate Economics of war (Military lntclligencc) I to he recruited] [One Aviation specialist] Minuskin Higher Pedagogical School Chemical Industry Bronstein Ukraine's Workers' and Peasants' ln~pcctoratc Mastitskii VSNKh Evacuation, labour force Reznik Gosplan Current planning Lozovskii Economics of war Sviatlovskii'

THE MOBILISATION NETWORK IN 1928

Besides the permanent military representation in Gosplan's Defence Sec­ tor, there was the mobilisation network in the People's Commissariats. In 1927-28, this network in the planning organs, the industrial and other commissariats comprised:

Position Name Position in the Red Army

MPU VSNKh Mobilisation-Planning Postnikov Directorate Supreme Council of the Economy

Other collaborators m Shpektorov Graduate of the War Academy VSNKh Gcrundov Main Directorate of RKKA Poliakov Head of Staff Operation Section Buikov Higher Military Faculty Egorov Link us Graduate of the War Academy Kuzmich Tar an Tsvetkov Graduate of Higher military faculty Liuhimov Main Directorate RKKA Primakov I. Corps Commander Mobilisation department of VSNKh RSFSR Dragilicv 212 Appendix 2

Gosplan State Planning Commission

Movchin Graduate of the Military Academy Morev RKKA Staff, 3rd Directorate Vasiliev Military-sanitary Department Vilmut War-Chemical Department Botner Main Directorate of RKKA Levin Graduate of the Military Academy Dantsiger Kangelari Main Directorate of RKKA Sokolov War Academy Egorov Tashkent Military high school Apoga Graduate of the Military Academy Putna Corps Commander (Komkor)

Mobilisation sections in People's Commissariats: NKPS, Communication Lemberg 3rd Dept, Of RKKA Staff NKTorg, Trade Georgadze KUVNAS NKPiT, Post and Telegraph Gavrilov NKF, Finance Girshfeld Head of Staff Section Mobilisation bureaus NKTrud, Labour Khudominskii NKZdrav, Health Arnoldov NKZem, Agriculture Gacvskii NKVD, Interior affairs Vladimirov NKPros, Education Gerchikov NKSO Efimov NK!u, Justice Osipovich

Besides the work carried out inside the sections of the Defence Sector, tasks could be delegated to the other Sectors of Gosplan, In all these sectors, only persons with security clearance were allowed to handle the defence issues, 3 Personalities

Alksnis, Iakov Ivanovich (1897-1938). Latvian, 1917-18 in the Russian Army, joined the Red Army in 1918, 1924 graduate of the Frunze Military Acad­ emy, 1926-31 deputy Chief of the Red Army Air Force, 1931-7 Chief of the Red Army Air Force, 1934-7 deputy People's Commissar of Defence, responsible for the Air Force. Arrested in November 1937, shot in 1938.

Egorov, Aleksandr Il'ich ( 1883-1939). Graduate of Kazan' infantry school in 1905, lieutenant colonel in the First World War. In the Civil War, army commander of the lOth Army at Tsaritsyn in 1918. 1921-4 Commander of the Kiev and Leningrad Military Districts, 1925-6 military attache in China, 1931-7, Chief of the Red Army General Staff, arrested in 1937 and shot in 1938.

Kalinovskii, Konstantin Bronislavovich (1897-July 1931). Son of an of­ ficer in the Tsarist army, served as gunner in the Russian Army, in 1918 joined the Red Army. 1919 graduate of the Higher Military Automotive and Armor School, armoured train commander in the Civil War. 1925-9 Inspector of the Red Army, 1929-31 deputy Chief of the Mechanisation Directorate, 1931 Chief of the Motorisation and Mechanisation Director­ ate. Died in aeroplane crash.

Karatygin, Piotr, (n.d.). During the Civil War, Head of the Operational Department of the Staff for the Turkestan Front. In the mid-20s, at the disposition of the Revolutionary War Council and for several years, mem­ ber of the Gosplan Defence Sector. Author of a widely quoted book on industrial mobilisation: 'General principles for mobilisation of industry for war' (Obshchie osnovy mobilizatsii promyshlennosti dlia nuzhd voiny), Moscow in 1925 with a foreword by Defence Commissar Frunze. He also wrote on chemical warfare, Gazovaia voina, Kharkov 1923, likewise edited with a foreword by Defence Commissar Frunze. He was probably purged in the early 1930s, and nominated as Director of the Red Army Archives.

Khalepskii, Innokentii Andrcevich ( 1893-29 June 1938). Party member since 1918. In the Civil War, fought with Red Guards on Narva, then against Czech troops in Siberia and the Urals. From September 1920, Head of Communications Directorate of RKKA. In 1924-9, Head of the Military­ Technical Directorate, thereafter Head of the Motorization and Mechan­ ization Directorate (from 1934, the Auto-Armour-Tank Directorate). In 1937-8, People's Commissar of Communication (NKSviazi). Repressed.

Pavlunovskii I[ van?] P., ( 1888-1940). Party member since 1905, member of the Central Control Committee 1927-1934, candidate member of the Central Committee from 1934. From 1928, deputy People's Commissar of

213 214 Personalities the Workers' and Peasants' Inspectorate (Rabkrin), from 1930 in VSNKh Presidium and in 1932 deputy VSNKh Chairman. In December 1935, Head of the Main Defence Industry Directorate (GUVP), December 1936, Head of NKTP Glavtransmash, Main Transport Machinery Directorate of the People's Commissariat of Heavy Industry. Repressed.

Rukhimovich, Moisci L:vovich (1889- 29 July 1938). Member of Bolshe­ vik Party since 1913, mobilized in 1914, in October 1917, member of the Kharkov Revolutionary Committee. During the Civil War, member of the Military-Revolutionary Council of the 14th Army. 1923-5 in the director­ ate of the 'Donugol' Trust, 1925-6 Chairman of the Ukrainian VSNKh, from 1926 Deputy Chairman of the USSR VSNKh, 1930-4 People's Com­ missar of Transport of the RSFSR, 1934-1936, Deputy Chairman of the People's Commissariat of Heavy Industry, December 1936-July 1938, People's Commisar of the Defence Industry. In December 1937 accused of espionage for Japan. Executed.

Shaposhnikov, Boris Mikhailovich ( 1882-1945). Graduate of military school in 1903, of the Imperial General Staff Academy in 1910, participated in the First World War, enrolled in the Red Army in 1918, operations officer of the Field Staff. 1921-5, deputy Chief of Red Army Staff. In 1925-8, Commander of the Moscow and Leningrad Military Districts; 1928-31, Chief of the Red Army Staff, 1932-5, Head of the Frunzc Military Acad­ emy, 1935-7, Commander of the Leningrad Military Districk, 1937-40, Chief of the General Staff. From August 1940, deputy People's Commis­ sar of Defence. 1943-5, Head of the General Staff Academy.

Svechin, Alexander Andrecvich ( 1878-1938). Son of a general in the Rus­ sian Army, 1897 graduate of artillery school, 1904-5 company commander and army staff office in the Russo-Japanese war, from 1903 at the Nicolas General Staff Academy, in the First World War, regiment and division commander, in 1917 Chief of Staff of the Northern Army, 1918 joined the Red Army, Chief of the Main Staff, from 1922 professor at the Frunze Military Academy, arrested in February 1931, from 1932 at the Intelli­ gence Directorate, arrested again in 1937, died in prison in 1938.

Triandafillov, Vladimir Kiriakovich ( 1894-1931 ). Captain on staff in the First World War, brigade commander in the Civil War, 1923 graduate of the Military Academy, 1923-31 Chief of the Operations Directorate of the Red Army, died in aeroplane crash in July 1931, together with his deputy Kalinovskii.

Uborevich, lcronim Petrovich ( 1896-1937). Lithuanian, Artillery lieuten­ ant and commander in the First World War, from 1918 in the Red Army, artillery instructor, advanced to army commander and Commander-in-Chief of the Far Eastern Army, 1928-30 Commander of the Moscow Military District, 1930-1, Chief of Armaments, 1931-7 Commander of the Belorussian Military District. Arrested on 27 May 1937 for participation in the 'military­ fascist plot', sentenced to death and executed on 12 June 1937. Personalities 215

Vol'pe, Abram Mironovich (1893-1937). Fought in the Civil War, 1922 graduate of the Red Army Military Academy, 1923-30 instructor at the Frunze Military Academy and Staff officer, 1931-7, Chief of Staff of the Moscow Military District, arrested and shot in 1937.

Voroshilov, Kliment Efrcmovich ( 1881-1969). Professional revolutionary since 1907, in the Civil War, divisional commander in the First Cavalry Army, 1925-1940, People's Commissar of Military and Naval Affairs (from 1935, People's Commissar of Defence), dismissed in 1940 and appointed Chairman of the Defence Committee (Komitet Oborony), during the Great Fatherland War 1941-5, responsible for co-ordination of partisan troops. Notes

INTRODUCTION

I. Hand-written note ('Mohzaiavka - samyi glavnyi dokument') by Gen­ eral Uborevich on a defence report by Sovnarkom Chairman Rykov, 30 November 1930, RGVA, fond 33988, opis' 3, delo 148, list 2 (here­ inafter written as 33988/3!148, 2). 2. See e.g. the textbook treatment in M. Dobb, Soviet Economic Devel­ opment since 1977, London 1966; A. Nove, An Economic Hist01y of the USSR, London 1969; The Tramformation of the Soviet Union, 1913- 1945, ed. by R.W. Davies, M. Harrison and S.G. Wheatcroft, Cambridge 1994. 3. The Soviet military censorship decrees at the time gave detailed in­ structions on the various levels of classification, see e.g. the 1925 directives Po-ec·hen' svedenii, sostal'liaiushchikh tainu i ne podlezhashchikh oglasheniiu v tseliakh ograzhdeniia voennykh interesov SSSR, RGVA, 33988/3/81' 68-9. 4. J. Erickson, The Soviet High Command: A Military-Political Hist01y, 1917-1941, London 1962, remains a fundamental study on military policy and the organisation of the Red Army. The development of military doctrine, strategy and operational art is analysed by D.M. Glantz, Soviet Milit{//y Operational Art: In Pursuit of Deep Battle, Lon­ don 1991; idem, The Military Strategy of the Sol'iet Union: A History, London 1992. 5. lstoriia velikoi Otechestvennoi Voiny Sovetskogo Soiuza, 6 vols, 1960-65; lstoriia Vtoroi Mirovoi Voiny, 12 vols, 1973-82. 6. RGAE, Lichnyi fond Y.Y. Tsaplina. 7. Marshal I azov would shortly thereafter engage in a more concrete effort to save the Soviet system as supporter of the August 1991 coup. His views of Second World War history were reflected in his article 'Nakanune byla voina .. .', Voenno-istoricheskii zhurnal, 1991, No 6. 8. Velikaia Otechestl·ennaia l'oina 1941-1945: Voenno-istoricheskie ocherki, Kn. 1: Surovye ispytaniia, ed. by Y.A. Zolotarcv, 1995. This 'test vol­ ume' was circulated in a limited edition. The four volumes appeared as Velikaia Otechestvennaia voina 1941-1945: Voenno-istoricheskie ocherki, 4 vols, 1998-9. 9. Y.N. Koniukhovskii, Bor'ba Kommunisticheskoi Partii za ukrepleniie Krasnoi Armii v gody mirnogo sotsialisticheskogo stroitel'stva, 1921-1940gg., 2 vols, 1958-9; G.D. Nescn, Deiatel'nost' partii po ukrepleniiu ekonomicheskoi i ohoronnoi moshchi v gody 2-i piatiletki, 1977; P.Y. Semenov, Bor'ba Kommunisticheskoi Partii i Sovetskogo gosudarstva za ukreplenie ekonomicheskoi hazy oboronosposobnosti SSSR v period 1938 - iiun' 1941g., 1983.

216 Notes 217

10. V.V. Zakharov, Voennye aspe/..:ty vzaimoomoshenii SSSR i Gennanii: 1921- iiun ' 194lg., 1994. I I. A. Khairov. 'Stanovlenie i funktsionirovanie voenno-promyshlennogo kompleksa, ot zarozhdeniia do okonchaniia vtoroi mirovoi voiny (po materiaJam promyshlennosti Vcrkbncgo Povolzhiia)', Kandidat. diss., laroslavl 1995. 12. V.V. Tsaplin, 'Oboronna gotovnist' promislovosti SRSR upcredvoennyi roki', Ukrainskii Jstoricheskii Zhumal, 1990, No 8. 13. N. Simonov, Voenno-promyshlennyi kompleks s SSSR v 1920-1950-e gody: Tempy ekonomicheskogo rosta, struktura, organizatsiia proizvodstva i upravlenie, I 996. 14. E.R. Goldstein, 'Military Aspects of Russian industrialization: The De­ fense Industries, 1890-1917', Ph.D. thesis, Case Western Reserve University 1971; P. Gatrell, Government, Industry and Rearmament in Russia, 1900-1914: The Last Argument of Tsarism, Cambridge 1994. 15. E. Zalt:ski, Planning for Economic Growth in the Soviet Union, 1918- 1932. Chapel Hill, N.C. 1971; idem, Stalinist Planning for Economic Growth, 1933-1952, London 1980. 16. B.F. Bast, 'The So1·iet Leaders and Planning, 1928-1939', Ph.D. thesis, University of Pittsburgh, 1963; P.A. DiaconoiJ, 'Gosplan and the Poli­ tics of Soviet Planning, 1929-1932', Ph.D. Thesis, Indiana University 1973. 17. J.M. Cooper. 'Defence Production and the Soviet Economy. 1929-41', Soviet Industrialization Project Series, Discussion paper 3, Centre for Russian and East European Studies, Birmingham 1976. 18. S.M. Thpper, 'The Red Army and Soviet Defence Industry, 1934-1941', Ph.D. thesis, Birmingham, UK 1982. 19. M. Harrison, Soviet Planning in Peace and War 1938-1945, Cambridge 1985. M. Harrison and R.W. Davies, ' The Soviet Military-Economic Effort during the Second Five-year Plan ( 1933-1937)', Euro-Asian Studies, 1997, no 3. 20. M. von Boetticher, lndustrialisienmgspolitik und Verteidigungskonzeption der UdSSR 1926- 1930. Herausbildung des Sta/inismus wul "iiusserc Bedrolwng', Dusseldorf 1979. 21. Sapir's main propositions on '!'economic mobilisee' and the Soviet military doctrine of the 1930s are presented in 'The Economics of War in the Soviet Union during World War fl', in Sralinism and Nazism: Dicratorships in Comparison, ed. by I. Kershaw and M. Lewin. Cambridge 1997. 22. R.W. Davies, 'Soviet Military Expenditure and the Armaments Industry 1929-1933: A Reconsideration', Europe-Asia Studies, Vol. 45, No. 4. 1993; idem, The Industrialisation of Sm•iet Russia 3: The Soviet Economy in Tumwil1929-1930, London, 1989; idem 171e Industrialisation of So1•iet Russia 4: Crisis and Progress in the Sol'ict Econom)\ 1931-1933, London 1996. 23. A useful reminder of the extent of censorship can be gauged by glancing at the tenth, uncensored edition of Marshal Georgii Zhukov's memoir, where the earlier obliterated pages arc italicised. see G.K. Zbukov. Vospominaniia i razmyshleniia, lOth enlarged ed., 1990. 218 Notes

24. In a memorandum (dated 1930) the Gosplan Defence Sector econ­ omist Lozovskii criticised the military planning methods for having been one-sided: taking the military requirement as the basis for its industry plans, and thus missing the chance to discuss various options of the war plan, depending on which growth and sector priorities were established. 25. Proposals in 1927/28 at the formative stages of Gosplan's Defence Sector. For an example of the standard procedure, sec RGVA, 4372/91/ 121, Svedeniia o raskhodakh na vooruzhennye sily dlia vedeniia voiny v techenie odnogo gada i perepiska so Shtahom RKKA o razrabotke smety voennogo vremeni. 26. RGAE, 4372/91/213, 110, Report of the Government commission for checking of the five-year plan, May 1928. 27. D. Kahn, Hitler's Spies: German Military Intelligence in World War II, London 1978, Ch. 24 'The Greatest Mistake'. 28. K.E. Alkshinskii, Kliment Eji·emovich Voroshilov: Biograjicheskii ocherk, 1976. 29. The management of defence industry remains outside the present study. This organisational aspect is dealt with in N. Simonov, Voenno­ promyshlennyi kompleks SSSR, 1996. 30. The author has dealt with the naval doctrines and naval vs army in­ dustrial priorities in 'The Naval Dimension of the First Soviet Five-year Plans', in New Interpretations in Naval Histmy: Selected Papers from the Thirteenth Naval History Symposium, Annapolis 1998.

CHAPTER I

I. I.V. Stalin, Speech to the Central Committee of the RKP(b), 19 January 1925, Sochineniia, 1947, Vol. 7, p. 14. 2. A. Nekrich, 22 iiunia 1941, 1997, pp. 127-8. For similar interpreta­ tions, see the Austrian philosopher E. Topitsch, Stalins Krieg: Moskaus Griff nach der Weltherrschaft, Herford, 1993, pp. 27-8. 3. For a discussion of the contemporary usc of the concepts 'peaceful cohabitation' and ·peaceful co-existence', cf. E.H. Carr, A History of Soviet Russia: Foundations of a Planned Economy, Vol. 3:1, London and Basingstoke, 1976, pp. 3-5. 4. RGAE, 4372/91/155, 89-88. Oh uchete nuzhd oborony v perspektivnom planirovanii, Zapiska Sektora oborony, 17 January 1928. 5. RGVA, 7!10/499, 15. Ohorona r perspekti\'lwm planirovanii, Uchenyi sekretar' Sektora Oborony Gosplana, 1928. 6. V. Bashkevich, 'Ekonomicheskii gcneral'nyi sthab', Voennoe khoziaistvo, 1923, No. 1. 7. A.A. Kornienko, Kratkii ocherk sm•etskoi I'Oenno-ekonomicheskoi mysli (1917-1945gg.), 1974, p. 84. 8. A.A. Svechin, Strategy [1927], Minneapolis, Minn. 1992, pp. 128-9. 9. Goldstein, Military A~pects of Russian Industrialisation, pp. 172-84. I 0. For the experience, sec L.H. Siegelbaum, The Politics of Industrial Notes 219

Mobilization in Russia, 1914-17: A Study of the War-Industries Com­ mittees, New York, 1983. 11. D.A. Kovalcnko, Oboronnaia promyshlennost' Sovetskoi Rossii v 1918- 1920 gg., 1970. 12. M. Shirokov, 'Znachenie ckonomiki v obespechenic potrcbnostei voiny', Voenno-lstoricheskii zhurnal, 1963, No 7. 13. P. Karatygin, Obshchie osnovy mobilizatsii promyshlennosti, 1926, p. 20. Karatygin had a pre-revolutionary Party career, and took part in the Civil War. After 1921, he was on various Staff posts in the Red Army. On military economics, sec, for example, his earlier article on the new type of warfare: P. Karatygin, 'Voina materialov', Voina i revoliutsiia, kn. 3, 1925. 14. P. Dybenko, 'Zadachi promyshlennosti po oboronosposobnosti strany', Voina i tekhnika, 1926, Nos. 8-9. 15. A. Volpe, Sovremennaia voina i rol' ekonomicheskoi podgotovki, 1926. 16. Volpe, Sovremennaia voina, pp. 4, 13-14, 19-20. Volpe mentioned the French general Bernard Serrigny, Refiexions sur /'art de guerre and the German economist Arthur Dix. General Serrigny had published his book anonymously in Paris in 1920. Volpe quoted the Russian translation, Razmyshleniia o voennom iskusstve, Leningrad 1924. Serrigny had earlier written on the econ­ omics of war, see La Guerre et le mouvement economique, leurs relations et leurs actions reciproques, Paris 1906. In the late 1920s, he took part in the French economic war-preparedness in Conseil Superieur de Ia Defense Nationale, and organised conferences on economic mobilisation, see, for example, La Mobilisation Economique, Paris 1928. The other work Volpe referred to was A. Dix, Voina i narodnoe khoziaistvo po opytu Germanii v mirovuiu voinu, Moskva 1926. The original work by Dix was a two-volume book, Wirtschaftskrieg und Kriegswirtschaft, of which the second volume was translated into Russian. 17. Remarks about the 'militarisation' of the West - referring to both traditional rearmament and the involvement of new types of paramili­ tary troops were frequent, sec e.g. Ia. Zhigur, Razmakh budushchei imperialisticheskoi voiny, 1930, pp. 46-4 7. 18. Sec e.g. the survey articles by S. Vishncv, 'Ekonomicheskaia podgotovka k voine za rubezhom', Voina i revoliutsiia (ViR), 1928, No. 7; idem, 'Organizatsionnye problemy voenno-ekonomicheskoi podgotovki inostrannykh gosudarstv', Zapiski Kommunisticheskoi Akademii, Trudy voennoi sektsii, tom 4, 1930; F. Ogorodnikov, 'Budushchaia voina v voennoi literature impcrialisticheskikh gosudarstv', ViR, 1931, No 12; idem, 'Mobilizatsiia promyshlennosti', ViR, 1931, Nos I, 3 and 9. 19. For an early Soviet study of Italy's preparedness for mobilisation of its aviation industry, sec the report by the RKKA Air Force Director­ ate, 16.07 1933, RGVA, 33988/3/303, 381-373. 20. J.J. Schneider, The Structure of Strategic Revolution: Total War and the Roots of the Soviet Wmfare State, Novato, CA, 1994, pp. 217 et seq. 21. S. Vishnev, Mohilizatsiia promyshlennosti v Severo-Amerikanskikh Soedinennykh Shtatakh, 1927, p. 109-111, cf. also pp. 122-133 on the US organisation of industry in wartime. 220 Notes

22. S. Vishnev, Ekonomicheskaia podgotovka Frantsii k budushchei voiny, 1928. 23. Volpe, Sovremennaia voina, pp. 11-13. In general, the main currents in the 1920s military-economic debate in the USSR are well described in VM. Latnikov, Vozniknovenie i razvitie sovetskoi voenno-ekonomicheskoi mysli v 20-e gody, 1974. 24. RGVA, 33988/3/81. 25. Such an interpretation is found in Oskar Lange's definition of the Soviet planned order as 'a war economy sui generis', see 'The Role of Planning in a Socialist Society', in Papers in Economics and Sociology, 1930-1960, Warsaw, 1970, p. 102, and it is also mentioned by e.g. M. Lewin, Political Undercurrents in Soviet Economic Debates: From Bukharin to the Modern Reformers, Princeton, 1974, p. 98. Lewin notes the 'affinity' between the system erected by the Stalinist industrialisation drive and War Communism, but remarks 'the point should not be over­ stated'. 26. E.L. Homze, Arming the Luftwaffe: The Reich Air Ministry and the German Aircraft Industry 1919-39, Lincoln and London, 1976, pp. 29-30. 27. RGVA, 33988/3/81, 72-74; Turov's memo to Stalin, Rykov, Voroshilov, Unshlikht, Ordzhonikidze, 23 May 1927, Bcrzin's conclusions, ibid., 71-71ob. 28. RGVA, 4/1/1086, 9-9ob. 29. RGVA, 33988/3/214, I 36, Reflections on Economic Intelligence, 7 December 1931. 30. The most useful biography of Tukhachevskii has been written by V.M. Ivanov, Marshal M.N. Tukhachel·skii, 1990, the second edition of which appeared under glasnost' and included new materials previously cen­ sored. A path-breaking series of memoir articles were written by one of Tukhachcvskii's contemporaries, Colonel Isserson. Sec particularly G. lsscrson, 'Zapiski sovremennika o M.N. Tukhachevskom', Voenno­ istoricheskii zhurnal, 1963, No. 4. On the whole, biographies from the 1960s had very scant data on Tukhachcvskii's career in the 1930s and nothing on his arrest and the show trial in June 1937. Other works that have been of use for the biographical background of Tukhachcvskii arc mentioned in the bibliography. 31. Among these can be noted V.O. Daines, 'Mikhail Nikolaevich Tukhachevskii', Vopro.1y 1storii, 1989, No. 10; Ia. Gorelik, '0 polkovod­ cheskoi i voenno-nauchnoi deiatel'nost' Marshala Sovetskogo Soiuza M.N. Tukhachevskogo', Voenno-istoricheskii zhurnal, 1961, No.7; idem, 'Odin iz aktivnykh stroitelci sovctskoi armii', /storicheskie zapiski, tom 105, 1980; R. Simpkin, Deep Battle: The Brainchild of Marshal Tukhachevskii, London, 1987; Schneider, The Structure of Strategic Revo­ lution, ch. 6. On Tukhachevskii's role for promoting science, see e.g. Iu.V. Biriukov, 'Rol' M.N. Tukhachevskogo v razvitii sovetskoi aviatsii i raketnoi tckhniki', Iz istorii aviatsii i kosmonavtiki. 32. M. Tukhachevskii, Voina klassov, 1921, p. 59. 33. In 1932, Tukhachevskii complained directly to Stalin about the lec­ tures on the Soviet-Polish war read by Vladimir Melikov at the Red Army Academy. These lectures, according to Tukhachevskii, distorted Notes 221

the truth and spread an image of him as an 'adventurist commander'. See the letter by Tukhachevskii to Stalin, 5 January 1932, RGVA, 33987/ 3!155, 217-220ob. See further below in Appendix I, pp. 206-9. 34. J. Pilsudski, L'Annee 1920, Paris, 1929, written as a response to Tukhachevskii's analysis Pokhod za Vislu; both works recently re-published in Russian, Pilsudskii protiv Tukhachevskogo (Dva vzgliada na sovetsko­ pol'skuiu voinu 1920 goda), 1991, with an introductory note by V. Daines. 35. P. Fervacque, (pseud.) Le chef de l'Armee Rouge: Mikail Toukatchevski, Paris, 1928, for a Russian translation for 'restricted circulation', see RGVA, 33987/3/183. 36. R. Gul', Die rote Marschdlle, Berlin, 1932. 37. See the official investigation report from the 1950s, preceding Tukhachevskii's rehabilitation, Voenno-istoricheskii arkhiv, vol. 1-2, 1997: vol. I, pp. 149-255, vol. 2, pp. 3-81. 38. This early study group is mentioned in Tukhachevskii's letter of 20 February 1927 to Voroshilov. RGVA, 33987/3/155, 12. 39. RGVA, 33988/2/671, here 1-14, Draft for Tukhachevskii's 1926 war plan. 40. See Defence Commissar Voroshilov's diary notes for 18 January 1927: 'The war plan is drafted, but not yet ready. It will be finished by March. Komandovanie does not agree with the Red Army Staff (Tukhachevskii)', and a few days later: 'The war plan has been drafted. There must be many changes in the armed forces.', RTsKhiDNI, 74/2/140, l. 1. 41. RGVA, 33988/2/671, 58. 42. RGVA, 33988/2/671, 139. 43. Ibid., 141. 44. Berzin, Yan Karlovich, real name Kiusis Peteris ( 1889-1938), Latvian peasant family background, joined the Social-Democratic Party in 1905. Several arrests and internal exile before 1917. Participated in the rev­ olutions of 1917. After the October Revolution, worked in the People's Commissariat of Internal Affairs, from December 1920, in the Red Army Intelligence directorate, Head of the Intelligence directorate 1925-35 and in 1937. Controlled the Soviet military intelligence in Republican Spain in 1936. Repressed. On Yan Berzin, see 0. Gorchakov, 'Komandir nevidimogo fronta', Nedelia, 1989, No. 6; M. Kolesnikova, Nachal'nik Razvedki, 1976; P. de Villemarest, G.R. U. Le plus secret des services sovietiques 1918-1938, Paris 1988, pp. 121-8, 136-51. 45. A.M. Nikonov ( 1893-1938), son of a priest, in World War One, lieu­ tenant ( 'praporchik ') in the Russian Civil War as Head of Division Staff, and took part in the battles at Gatchina, Narva, on the Lithuanian front and in the 1920 campaign against Warsaw. In 1921, he joined Military Intelligence, soon became deputy head of the Intelligence Directorate (Razvedyvatel'noe Upravlenie). He perished in the wave of repressions directed in 1937-8 against military intelligence. Data based on photo-copy of biographical document, at the Central Museum of the Armed Forces, Moscow. 46. RGVA, 33988/2/682, 1. Nikonov letter to Tukhachevskii, 9 July 1928. 47. Budushchaia voina, The Future War, RGVA, 33988/2/682-688. 48. RGVA, 33988/2/682, 8, Tukhachevskii's 1926 guidelines for The Fu­ ture War investigation. 222 Notes

49. RGVA, 33988/2/682, 9. 50. RGVA, 33988/2/682, 18-19. 51. Ibid., 140. 52. Zakharov, Voennye aspekty, p. 33. 53. A. Neuberg (pseudonym for Tukhachevskii, Unshlikht, Ho Chi Minh and others), Der bewaffnete Auf\·tand (1928] (reprint), Frankfurt, 1971, chs. X-XI. 54. RGVA, 33988/2/688, 63-73. 55. RGVA, 33988/2/682, 35. 56. RGVA, 33988/2/682, 27. 57. RGVA, 33988/2/682, 43-47. 58. RGVA, 33988/2/688, 18. 59. Ibid. 60. Ibid., 72. 61. Ibid., 91. 62. Ibid., 92. 63. Ibid., 60. 64. Ibid., 140. 65. For a 1928 overall comparison of the economic and military might of the USSR and its neighbours, see The Future War, table on p. 657, RGVA, 33988/2/688, 20. 66. Ibid., 22. 67. Ibid., 90. 68. Ibid. 69. Y.K. Triandafillov, Kharakter operatsii sovremennykh armii, 1929.

CHAPTER 2

I. S. Malle, The Economic Organization of War Communism 1918-1921, Cambridge, 1985, p. 275. 2. RGVA, 33987/3/65, 231-232, Trotskii, Zapiska, 7.10 1921. Cf. the bro­ chure on the role of the air force by L.D. Trotskii, Aviatsiia - orudie budushchego, Ekatcrinburg, 1923. Objective treatment of Trotsky was, of course, impossible in the Soviet era. One consequence has been the obfuscation until recently of his role in many decisive battles in the Civil War, and an obliteration of his activities as People's Com­ missar for Military and Naval Affairs up to 1925. However, by 1992 Y.Y. Zakharov, from the former Military-Political Academy, was able to analyse Trotsky's role in the reconstruction of the defence industry after the Civil War. See his Voennye aspekty, passim. 3. L.D. Trotskii, 'Perspektivy i zadachi voennogo stroitcl'stva', in Kak vooruzhalas' revoliutsiia, Vol. 3:1, 1924, p. 146. 4. Ibid., p. 149. 5. Turner, Frederick, 'The Genesis of the Soviet "Deep Operation": The Stalin-Era Doctrine for Large-Scale Offensive Maneuver Warfare', Ph.D. thesis, Duke U nivcrsity 1988, p. 137, quoting a U.S. military attache report from Riga. 6. For the military reform, sec I.B. Berkhin, Voennaia reforma v SSSR Notes 223

(1924-1925), !95i\, and N.P. Iakovlev, 'Sovetskaia voennaia reforma 20-kh godov', in Otechestvennye voennye reformy XVI-XX vekov, ed. by V.A. Zolotarev, 1995, pp. 116-136. 7. I. Deutscher, The Prophet Unarmed: Trotsky, 1921-1929, New York, 1959, pp. 162-3. 8. The Politburo records have a few references to the commission, mainly concerning its changing composition, hut virtually nothing concerning its surveys and inspections. See RTsKhiDNI, 17/3/489, p. 21; 17/3/495, p. 18, p. 35; 17/3/505, p 6; 17/3/511' p. 7, p. 37; 17/3/553, p. 43. 9. RTsKhiDNI, 17/3/687, p. 30, 171162/6, p. 36. I 0. Until recently, the description of this cooperation was based on Ger­ man sources and memoirs. See, for example, Carr, Socialism in One Coun(ly, Vol. 3:2, pp. I 0 I 0-1017, esp. I 015 on the March 1926 nego­ tiations in Berlin. See also J. Erickson, The Soviet High Command, 1917-1953, chs 6, 9; and B. Whaley, 'Covert Rearmament in Germany 1919-1939: Deception and Misperception', Journal of Strategic Studies, Vol. 5, March 1982, No. I. For a more profound analysis based on German and newer Russian documents, see M. Zeidler, Reichswehr und Rote Armee 1920-193: Wege und Stationen einer ungewohnlichen Zusammenarbeit, 2nd ed., Munich, 1994. II. RTsKhiDNI, 17/162/3, I. 9, Politburo commission report, 14 January 1926. 12. RGVA, 3391\R/3/78, 67-76, Politburo instructions (no date) for the military-industrial delegation to Berlin, quoted by Zakharov, Voennye aspekty, p. 99. 13. Zeidler, Reichswehr und Rote Armee, pp. 135ff. 14. On the proposed goals and achieved results of the Soviet Military delegation led by los if U nshlikht at the Berlin negotiations, see docu­ ment from Russian Foreign Ministry Archives in International Affairs, 1990, No.7, pp. 100-102. 15. RTsKhiDNI, 17/3/611, p. Iii, Unshlikht report on 'Bersol', 13 January 1927. 16. The clandestine cooperation in the military field between Soviet Rus­ sia and Weimar Germany has been treated in several works. For a history that gives a most comprehensive coverage of the issue, hut is based mostly on German archives, see Zeidler, Reichswehr und Rote Annee, pp. 33-46, i\9-99. A thorough approach to this cooperation, based on Russian military archives sources, is found in Zakharov, Voennye aspekty. Documents on this Soviet-German cooperation in the Weimar period, originating from the Russian State Military Archive (RGVA) were published in Fashistskii mech kovalsia 1· SSSR. Krasnaia Armiia i Raikhsva Tainoe Sotrudnichestvo 1922-1933. Nein·estnye dokwnenty, ed. by Iu.L. Diakov and T.S. Bushueva, 1992. 17. For a survey of the international relations of the USSR in the mid- 1920s, which includes recent archival findings, see J. J acohson, When the Soviet Union Entered World Politics, Berkeley and Los Angeles, CA. 1994. 18. Discussing the 'ifs' or 'if nots' is most often despised by historians, 224 Notes

although implicit counterfactual assumptions do underlie many asser­ tions in historical discourse. The possible shifts in perspectives when assuming one or more chains of events to alter have recently been highlighted in Virtual History: Alternatives and Counterfactuals, ed. by N. Ferguson, London, 1997. 19. PRO, Foreign Office (FO), N 530/190/38, report of January 26 1927. 20. PRO, FO 37112588. 21. For analyses of the Soviet reactions to the events in 1927, see J.P. Sontag, 'The Soviet War Scare of 1926-27', The Russian Review, Jan. 1975, Vol. 34, No.1; A. Meyer, 'The War Scare of 1927', Soviet Union/ Union Sovietique, 5, Pt. 1 (1978). 22. On the Soviet military intelligence and threat appraisals, see Villcmarest, G.R. U., pp. 95-168; J. Erickson, 'Threat Identification and Strategic Appraisal by the Soviet Union, 1930-1941', in Knowing One's Enemies: Intelligence Assessment before the Two World Wars, ed. by E.R. May, Princeton, 1984. New findings from Russian archives on military intel­ ligence (RU, Razvedyvatel'noe upravlenie) in the inter-war period arc discussed by V.V. Pozniakov 'Vrag u vorot: Sovetskaia voennaia razvedka v mezhvoennyi period i ec otsenki griadushchci voiny, 1921-1941', paper for the Feltrinelli Foundation & Gramsci Institute Conference 'Russia in the Age of Wars', Cortona, Italy, 1997. 23. RGVA, 33987/3/128, 24. 24. Ibid. 25. Ibid., 23. 26. Ibid., 26. 27. RGVA, 33987/2/671, 136-138, Doklad oh oborone, section V, Sistema i sostoianie podgotovki strany k ohorone. 28. RGVA, 33987/3/155, 13, Tukhachevskii to Voroshilov, 20 February 1927. 29. Ibid., 14. 30. RG VA, 7/11/213, 16-17, (emphasis in original), 5th Directorate of Red Army Staff, J unc 1926. 31. RTsKhiDNI, 17/3/611, p. 4. 32. RTsKhiDNI, 17/3/621, p. 34. Members of this powerful 11-man com­ mission were: Rykov, Chairman of Sovnarkom; Tsiurupa, Deputy Chairman of STO; Defence Commissar Voroshilov and his deputy Unshlikht; Ordzhonikidze, Chairman of the Workers' and Peasants' Inspectorate (Rabkrin) and his deputy N. Kuibyshev, Head of Rabkrin's Military Inspection; Gosplan Chairman Krzhizhanovskii; Transport Commissar Rudzutak; Finance Commissar Briukhanov; Commissar for Internal Affairs Mcnzhinskii, and Trade Commissar Mikoian. 33. RGVA, 4!17/61, Protocols of these Executive meetings (RZ STO), pro­ tocols and enclosures for the years 1927-1930. 34. For one example of attempts to bring order in the administration of war-planning and industrial mobilisation, see the distribution of tasks among organisations and Commissariats as proposed by STO Chair­ man in late 1927, RGVA, 7/10/100, 278-80. 35. Commenting on a speech by Deputy Defence Commissar Unshlikht before the Central Committee in 1929, Aleksei Rykov noted that 'se­ cret resolutions' were not to be disclosed, RGVA, 33988/3!148, 24. Notes 225

36. 0 sostoianii voennoi promyshlennosti s tochki sootvetstviia ee zadacham oborony, ibid., p. 11\b. 37. RTsKhiDNI, 74/2/39, 6, Notes from Voroshilov and Stalin, 13 March 1927. 31\. RTsKhiDNI, 17/3/624, p. 18, Politburo decision to form a commission for drafting of the resolution, 17 March 1927. This commission in­ cluded Rykov, Stalin, Kuibyshev, Ordzhonikidze and Tolokontsev. This 1927 resolution on defence has not been found in RTsKhlDNI. 39. RGVA, 33988/3/148, 24-33, Speech by Deputy Defence Commissar Unshlikht, his own written version of a speech given at the Central Committee session, November 1928. 40. RGVA, 33987/3/250, 60. Voroshilov, Doklad ob oh01·one, April 1927. 41. Ibid., 63. 42. On estimated wartime needs, domestic supply and imports, see table in Voroshilov's report, RGVA, 33987/3/250, 64. 43. RGVA, 4/17/61, I. 44. RGVA, 7/10/100, 276-280. Doklad Nachal'nika Shtaba RKKA o sistcme organizatsii mohilizatsionnykh apparatov, 9 June 1927. 45. RGVA, 4/17/61, 8-9, Protokol RZ STO. 46. RGVA, 4/17/61, 16-20. Protokol RZ STO, 28 May 1927. Chaired by Rykov, members: Rudzutak, Bubnov, Briukhanov, Unshlikht, Jagoda, Ordzhonikidze, Mikoian, Tsiurupa and Tolokontsev; with con­ sultative vote: Vladimirskii, Rukhimovich, Postnikov, Pugachev, Dybenko, Muralov and Martinovich. 47. RGVA, 7/10/303, 104-104ob, Tukhachevskii letter to Trade Commis­ sar A.I Mikoian, July 1927. 48. RGVA, 7/10/100, 278, Postanovlenie RZ STO 0 sisteme organizatsii mobilizatsionnykh apparatov. 49. RGVA, 4/17/61, 22. 50. RGVA, 7/10/100, 276-277. Tukhachevskii, 0 sistcme mobilizatsionnykh apparatov, 9 June 1927. 51. RGAE, 4372/91/43, 24-22. Tukhachevskii, Zapiska o sozdanii Sektora oborony v sisteme Gosplana, 18 June 1927. 52. Ibid., 23ob. 53. RGAE, 4372/91/43, 23ob. 54. Ibid., I. 24. 55. For the directive of RZ STO, see RGVA, 4/17/61, 36-41. References to this directive and precision on the function and organisation of the Defence Sector were established in an order (prikaz) of Gosplan on II July 1927, see RGAE, 4372/91/43, 61. 56. RGVA, 33988/3/81, 210. 57. RGVA, 7/10/121\6, 108. 58. RGVA, 7/10/1286, I00-102ob. 59. RGVA, 4/14/61, 16. Protokol RZ STO. 60. RGVA, 4/17/61, 79. Protokol No. 9 RZ STO. 2 September 1927. 61. RGAE, 4372/91/75, 70. 62. RGAE, 4372/91/35, 51\-57, report to STO, 5 April 1927. 63. RGAE, 4372/91/43, 61, Prikaz Gosudarstvcnnoi Planoi'Oi Komissii pri STO, No. 112, II July 1927. 226 Notes

64. RGAE, 4372/91/43, 28, Ob 'iasnite/naia zapiska. 65. Ibid. 66. RGVA, 7/l0/310, 7-10, STO Resolution on a war version of the con­ trol figures, October 1927. 67. RGVA, 7110/316, 32, Letter from Defence Commissar Voroshilov to Gosplan Chairman Krzhizhanovskii, October 1927. 68. RGVA, 7/10/352, Kontrol'nye tsifty narodnogo kltoziastva na pervyi period voiny. 69. For the RZ STO directives of the third version on 'control figures for the first period of war' and for measures in case of war erupting in the second half of 1928/29, see RGVA, 4/1/921, RGAE, 4372/91/345, and RGAE, 4372/91/151, Draft resolution on the economic plan for the first period of war (pervyi period voiny). 70. For their different experiences in the Civil War, and also in the Soviet­ Polish war in 1920, when Voroshilov and Stalin had obstructed Thkhachevskii's order and thereby contributed to the defeat of the Red Army, as the probable origin of the conflicts between Voroshilov and Tukhachcvskii, compare V. Rapaport and l u. Geller, Izmena Rodine, 1995, pp. 48-51. 151-4. 71. Glantz, Soviet Military• Operational Art, p. 24. 72. RGVA, 33987/3/ 190, 2. 73. RGVA, 7/1/170, 11. 74. RGVA, 7/10/303, 161. 75. Report to the extended Rcvvoensovet session on 8 May 1928, RGVA archival document reproduced in Voenno-istoricheskii zhurnal, 1993, No. 4, pp. 54-61. 76. G. Tsserson, 'Zapiski sovrcmennika o M.N. Tukhachevskom', Voenno­ lsloricheskii zhurnal, 1963, No. 4. 77. RGVA, 33987/3/ 155. 19- 21ob. 78. RGVA, 33987/3/ 190, 1-10, Tukhachevskii, JuJy 1927, Spravka po piatiletnemu planu stroitel'stva vooruzhennykh sil. 79. RTsKhiDNI, 74/2/140, ll. 41-57, Voroshilov's diaries. 80. RGVA, 4/17/61, 250-251. It comprised Voroshilov as chairman, the military commanders Rudzutak, S.S. Kamenev, Tukhachevskii and Shaposhnikov (Moscow Military District Commander), Vladimirskii (Gosplan's Defence Sector), Postnikov, Tolokontsev and Pavlonuvsky (VSNKh). 8l. For the 1928 proposals by Tukhachevskii to the five-year plan com­ mission, see Protokol No 1 zasedaniia Pravitelstvennoi komissii . .., 30.04 1928, RGVA, 7/10/1310, 72-73, and Protoko/ No 2, zasedaniia Pravi­ teLstvennoi komissii . .., 5.05 1928, ibid., 74-74ob. 82. Tukhachevskii, Zapiska, hand-written memo, dated by content, Tukhachevskii refers to 'his two and a half years at the post as Chief of the RKKA Staff', i.e. since November 1925, which implies that it was written in spring 1928, RGVA, 33988/2/700, 30. 83. Ibid., 32. 84. Ibid., 34. 85. Ibid., 35ob. 86. Ibid., 36ob-37. Notes 227

87. RGVA, 33988/3/155, 26, Tukhachevskii to Voroshilov, 12 February 1928. 88. Ibid., 24. 89. RGVA, 33987/3/155, 168, Voroshilov, draft of letter, with note 'never sent'. 90. The final proof or disproof of my interpretation vs. the story of lssersson would be the inspection of the said memorandum from 1927, and solid evidence of Stalin's reaction (which would either be in the Party Archive, RT'SKhiDNI, or in the Presidential Archives) to these 1927/28 proposals. Finally, other circumstances should be kept in mind with regard to the lsserson memoir notes on Tukhachevskii. Soviet military history did not escape censorship. His intended biography of Tukhachevskii was not cleared for publication in the early 1960s, presumably be­ cause the topic was considered sensitive. In the glasnost' era, other memoir articles by Isserson were eventually published. More relevant to the historian is the problem of which sources Isserson had at the RKKA Staff in the late 1920s and during the 1930s, on the one hand, and whether he was free to use archives in the late 1950s, when the biography was written, on the other hand. 91. Svechin, Strategy, p. 129. 92. RGVA, 7!10/316, 593-594ob, Agenda for mobilisation conference. 93. RGVA, 7/10/499, 13 (defence in long-term plans, theses by SO). 94. Ibid., I. 16. For the various drafts of a five-year plan, proposed by Gosplan and other agencies in 1927-1929, see Zaleski, Planning for Economic Growth, pp. 53-8; for the estimated growth rates in these proposal, see particularly the table on p. 54. 95. RGVA, 7/10/499, 15. 96. Ibid., 19. 97. Ibid., 20.

CHAPTER 3

I. RTsKhiDNI, 73/2/38, 37, Note to Voroshilov by Stalin, 3 January 1929. 'Voennoe delo - ser'eznoe delo, a go/ova u menia segodnia uzhe nikuda ne goditsia'. 2. RGAE, 4372/91!155, 86, Ob uchete interesov oborony, Gosplan memo, 17 January 1928. 3. RGVA, 7/10/316, 26, Memo from Voroshilov to Gosplan Chairman Krzhizhanovskii. 4. Ibid., 31. 5. 15-yi sezd Vsesoiuznoi Kommunisticheskoi Partii (bol'shevikov), Stcnograficheskii otchct, 1962. For Krzhizhanovskii, pp. 855-914, on relationship between heavy industry and defence, p. 870. For Voroshilov's views of industry, ibid., pp. 982-990. 6. KPSS v rezoliutsiakh i rcsheniakh s 'ezdm; konfercntsii i plenumov T1K, 1970, t. 4, p. 33. 7. Ibid., p. 38. 8. XV s'czd, p. 982. 9. RTsKhiDNI, 74/2/140, 71, Dnevniki Voroshilova, vol. 4. 228 Notes

10. RGVA, 7/10/441, 225, Tukhachevskii's conclusions on the 1927/28 in­ dustry plan, March 1928. 11. Ibid., 226. 12. RGVA, 7/10/310, 185, Rybakov, Head of RKKA Staff 2nd Directorate, 30 September 1928. 13. RGVA, 7110/504, 270. 14. RGVA, 7!10/499, 25, Resolution by RZ STO. 15. RGVA, 7/10/499, 170, Memorandum by SNK Chairman Rykov, May 1928. 16. RGVA, 7110/316, 435-439. 17. RGVA, 7/10/303, 123-128. 18. Ibid., 123ob. 19. RGVA, 7110/303, 137. 20. RGVA, 7110/303, 104ob. 21. RGAE, 4372/91/75, 151. 22. Ibid. 23. RGAE, 4372/91/213, 109. Osnovnye zadachi i rezultaty rabat Pravite'st­ vennoi komissii, Doklad. 24. Ibid., 108-78. 25. Similar data on the estimated scale of a possible enemy coalition were used in the open debate. See, for example, V.K. Triandafillov, The Nature of the Operations of Modern Armies, London, 1994, pp. 69-71. 26. In the Russian State Military Archive (RGVA), war plans as elab­ orated by the Staff Operational Department and specifically by Triandafillov, who at this time was Head of the Operational Depart­ ment, were not available to me. I found numerous references to war plans also in the files of the Defence Commissar and the Organisation­ Mobilisation Department. Concerning the more than 15 various Soviet war plans elaborated before the Great Patriotic War and their basic characteristics, sec lu.A. Gor'kov, 'Gotovil li Stalin uprczhdaiushchii udar protiv Gitlera v 194lg.?', Novaia i noveishaia istoriia, 1991, No. 3, pp. 30-31. 27. RTsKhiDNI, 17/3/683, p. 15: Politburo session of 19 April 1928, re­ ports by Rykov (Sovnarkom), Vladimirskii (Defence Sector of Gosplan), Kirov (Leningrad Party Secretary) and Chubar (Kiev). This Politburo resolution stated that since the military threat came from Poland, it urged the implementation of a Gosplan resolution concerning preparation of the theatre of war in the Western District (Krai), Belorussia, western parts of Ukraine and Crimea. 28. RGVA, 33988/3/109, 303-334. Yan Berzin, RKKA Intelligence Direc­ torate report, 1 November 1928, Voennaia podgotovka protiv SSSR i osnovnye voprosy usileniia oborony. 29. RGVA, 7!10/ 454, 60-60ob. Letter from Defence Commissar Voroshilov to Trade Commissar Mikoian. 30. RGVA, 33988/2/685, 45, Budushchaia voina, report from the Military Intelligence. 31. RGVA, 33988/3!148, 24-33, Report from Deputy Chairman of the Revolutionary Military Council Unshlikht at the VKP(b) Central Com­ mittee plenary session in November 1928. Notes 229

32. Ibid., 29. 33. Ibid., 32. 34. For the contemporary observers, see for example, G. Mequet, Les le~mzs du plan quinquennal, Paris 1934; F. Eccard, Caractere militaire du plan quinquennal, Paris 1932; for one important academic debate, sec H. Hunter, The Over-Ambitious First Five-Year Plan', Slavic Review, Vol. 32, 1973, No.2, and R.W Davies and S.G. Wheatcroft, 'Further Thoughts on the First Soviet Five-Year Plan', Slavic Review, Vol. 34, 1975, No. 4. 35. For the targets of the first five-year plan, as well as an analysis of the their fulfilment, see Zaleski, Planning for Economic Growth, chs. 3-6, as well as Tables A-1: Fulfilment of the Five-Year Plan and A-2: Fulfilment of Annual Plans. The recurrent problems with using data such as those provided by Zaleski, are, first, that the defence industry was subordinated to and hidden under various directorates of VSNKh and, secondly that the plans, as well as the statistics on the defence industry, were classified. They might, or might not, be included in the value series of a particu­ lar branch of industry. 36. J.M. Cooper, 'Defence Production', 1976; R.W. Davies, 'Soviet De­ fence Industries', 1987. 37. For example in the classical study by A. Erlich, The Soviet Industrial­ ization Debate, 1924-1928, Cambridge, Mass. 1962, pp. 167-169. 'Another and more widely accepted line of explanation [for the chosen invest­ ment and rapid industrialization J points to the need to strengthen the military potential of the country due to the turn for the worse in the international situation.' ibid., p. 167. Erlich argued that the policy fol­ lowed, particularly the collcctivisation of the peasantry, actually weakened preparedness, and most of all, that another development path might have proved more efficient, by compensating for the cal­ culated extra output of armaments that would eventually flow from the new industrial base. The interrelation between the priority for heavy industry and defence preparedness is discussed by H. Hunter and J. Szyrmcr, Faulty Fml!l­ dations: Soviet Economic Policies, 1928-1940, Princeton UP, Princeton NJ, 1992, Ch. 8. In my opinion, the notes made by both Erlich, and Hunter and Szyrmer lack precisely the operational concept that was introduced in the 'ideal model'. Any discussion concerning the defence-enhancing cJfcct of a certain investment pattern can take a concrete, and verifiable, form only when the mobilisation claims (moh-zaiavki) arc introduced. Given the military outlook for each period, the decisions were made with regard to a specified war situation. 38. These 'dimensions' were originally set by leading military representa­ tives, see e.g. document in RGAE, 4372/91/155, 131. 39. Piatiletnii plan razvitiia narodnogo khoziaistva SSSR na 1928!29-1932! 33gg., 3 vols, 1929. This absence of a defence industry section in the published version left the question open whether there ever was such a section. 40. Z.K. Zvezdin, Ot plana GOELRO k pen•oi piatiletki, 1979. pp. 246-66. 230 Notes

41. A.S. Gordon, Sistema planovykh organov SSSR, 1931. 42. M. Fainsod, How Russia is ruled, rev. ed., Harvard 1970, pp. 476-7. 43. E.H. Carr and R.W. Davies, A History of Soviet Russia: Foundations of a Planned Economy, Vol. One-Il, London 1969, ch. 37. 44. See RGVA, 4372/91/213, 29-29ob, Report from Shaposhnikov to Gosplan's Defence sector: Preliminary requests for one year of war by the end of the five-year period. Sec also ibid., d. 215, Proekt piatiletnego plana Gosplana SSSR o razvitii voennoi i grazhdanskoi promyshlennosti, particularly, I. 33, Proizvods­ tvennye moshchnosti, II. 35-35ob, Kapital'noe stroitel'stvo and II. 38-37 for a work-plan on the five-year plan, Skhema raboty po piatiletke Voenproma i voennykh proizvodstv grazhdanskoi promyshlennosti. 45. RGVA, 4/14/91, 1-14, Conclusions by the RKKA Staff on the five­ year plan, 30 March 1929. 46. RGVA, 7/10/1002, 38. Directives for the defence 1930/31 annual plan. Introduction by I. Smilga, 1930. 47. RGAE, 4372/91/229, 62, Mikhailov on the mobilisation request for aircraft, September 1929. 48. RGAE, 4372/91/155, 134. Protocol from Gosplan's Restricted Con- stituency, 29 April 1929. 49. RGVA, 33988/3/125, 17. 50. RGVA, 33988/3/125, 106 ob.; cf. RGVA, 4/14/91, 12. 51. RGAE, 4372/91/213, 111-78, Report by Government commission on the five-year plan for military reconstruction, May 1928. 52. RGAE, 4372/91/213, 111-110. 53. Ibid. 54. RTslKhDNI, 17/3/745. Politburo protocol No. 84, p. 22, 8 July 1929. The protocol refers to the earlier Politburo sessions on defence ques­ tions on 23 March and 20 August 1928. In May 1929, the Politburo was scheduled to take up questions concerning the defence industry. It was then decided, however, to submit the matter to a preparatory session of a defence commission. Only in mid-June did the Politburo decide to hold its meeting, in the form of a closed session on July 1, RTs!KhDNI, 17/3/745. Politburo protocol, 20 June 1929. 55. RTsiKhDNI, 17/3/745. Politburo protocol No. 85, p. 20, 11 July 1929. 56. RTsiKhDNI, 17/3/745, I. 99, p. 38; Politburo Protocol, RTsKhiDNI, 17/162/7, I. 98, p. 23. 57. RTsiKhDNI, 17/3!745, I. 97. 58. RTsKhiDNI, 171162/7, I. 100. The closing phrase of the Defence in­ dustry resolution said that it would be duplicated in only five copies, and given to the addressees as a 'top secret. cyphcred' document (sovershenno sekretno. na pravakh shifra ). 59. For the published, abbreviated version, sec KPSS v rezoliutsiakh i resheniakh s"ezdov, konferentsii i plenumov TsK, vol. 4, 1970, pp. 281-3. The complete version of the resolution is in the osobye papki of the Politburo. For example, neither the criticism of industry, the denun­ ciation of 'counter-revolutionary wreckers', nor the concrete proposals by the Politburo were included in the published version. 60. RGVA, 33987/3/250, 71. Notes 231

61. RGVA, 33987/3/250, 72. The words in italics were excluded in the published version of the resolution, sec KPSS v rezoliutsiakh, p. 281. 62. Ibid. 63. Ibid., I. 74. For a survey of defence-significant industries developed with the assistance of Western experts, see A.C. Sutton, Western Tech­ nology and Soviet Economic Development, 1930-1945, Stanford, 1971, chs. 11-15. 64. RGVA, 33987/3/250, 75. 65. Ibid., II. 75-6. 66. RTsKhiDNI, 17/3/766, p. II. 67. See G.F. Hofman, 'Doctrine, Tank Technology, and Execution: I.A. Khalepskii and the Red Army's Fulfillment of Deep Offensive Opera­ tions', Journal of Slavic Military Studies, 1996, No. 2. The daily Krasnaia zvezda (12 November 1929) had an article on the 12-ton Christie. For the deliberations behind the Soviet acquisition of the first Christie M-1930 tanks in 1930, see G.F. Hofman, 'The United States' Contri­ bution to Soviet Tank Technology', Journal of the RUS1, March 1980, pp. 63-8. 68. RGVA, 33987/3/250, 72. 69. Sec RTsiKhDNI, 17/3!745, p. 39. The parallel resolution on the de­ fence industry was filled with accusations about 'sabotage· systematically carried out by 'counter-revolutionary' groups and specialists within the industry. See also e.g. Report to Voroshilov from OGPU on the arrest of Design Bureau engineer Dcltovskii, RGVA, 33987/3!124, 58-63. 'In the Artillery Committee, a caste-like counter-revolutionary group of old specialists hinders the improvement of the artillery.' For similar accusations, ibid., 57, On sabotage of steel for machine-guns and rifles, ibid., 2-3, Report about sabotage of a new 37-mm gun. For the repri­ mands by the Politburo later in 1929 of the leaders in the Defence Industry Directorate of VSNKh, see RTsKhiDNI, 17/3/753, II. 10-13. The Politburo followed up the matter in February 1930, sec the resolu­ tion on the 'elimination of sabotage in the defence industry plants' ( 0 khode likvidatsii vredite 'lstva na predpriiatiakh voennoi promyshlennosti), RTsKhiDNI, 171162/8, II. 81, 85-91. 70. RTsKhiDNI, 17!162/8, I. 117. 71. Ibid. 72. Ibid., I. 118. 73. RTsKhiDNI, 17/162/8, II. 119-20. 74. Stalin at the United Plenum of the Central Committee and Central Control Commission of the Party, on 7 1 anuary 1933, 'Itogi pervoi piatiletki', Sochineniia, vol. 13, pp. 159-215, csp. p. 180. 75. RGVA, 33987/3/250, 81. 76. RGVA, 33987/3/331, 32-4. 0 zadachakh oboronnoi raboty v promysh­ /ennosti, 13 December 1929. This Kuibyshev memo and resolution project has Voroshilov's resolution: 'For Shaposhnikov. Please return to Stalin.' 77. RTsKhiDNI, 17/3/777, p. 45. Among the members of the commission were Kuibyshev (NK RKI), Voroshilov (NKVM) and Pavlunovskii (VSNKh). For the protocols of the Politburo commission on the de­ fence industry, session 21 January 1930, see RTsKhiDNI, 79!1/354. 232 Notes

78. RTsKhiDNI, 17!162/8, II. 34-46, 0 mobpodgotovki promyshlennosti. 79. For example, Tukhachevskii on 23 February 1930 sent a memorandum on industrial mobilisation to Defence Commissar Voroshilov, Chief of Staff Shaposhnikov, RVS member Postnikov and Chief of Armaments Uborevich. He deplored the lack of co-ordination between mobilisation preparedness in civilian industry, on the one hand, and the basic de­ fence industry, on the other. Shaposhnikov's handwritten notes on this memo indicate that precisely this issue had recently been brought up in other organs, sec RGVA, 7/10/1049, 3-4ob.

CHAPTER 4

1. RTsKhiDNI, 74/2/38, 59. 2. In the Red Army daily newspaper Krasnaia zvezda, 22 December 1929, a full page of articles was devoted to the Leningrad Military Disctrict and its activities. Tukhachevskii wrote on combat training (Organizatsiia boevoi podgotovki). This was to be a first in a series of articles de­ voted to the military districts, intended to spread and share experience. 3. RGVA, 33987/2/346, 31, Report from Tukhachevskii to Voroshilov, October 1930. 4. On the history of the Special Technical Bureau, see E.N. Shoshkov Repressirovannoe Ostekhbiuro, St. Petcrburg 1994. 5. A RAN, 375!1/15, 21, The distribution of research topics among the section members. On the Communist Academy, sec J. Shapiro, 'A Histmy of the Communist Academy, 1918-1936', Ph.D. thesis, Columbia Uni­ versity, 1976; A. Vucinich, Empire of Knowledge: The Academy of Sciences of the USSR (1917-1970}, Berkeley and Los Angeles, 1984, pp. 85ff. 6. A RAN, fond 375/1/15, 9, 21, Tukhachevskii's themes were 'The Strat­ egy of the Red Army' and 'Clausewitz on Strategy', and later 'The Conduct of War'. 7. RGVA, 37605/2/2, Tukhachevskii's personal file. E.L. Khmcl'nitskaia's lecture 'Osnovnye zadachi tcorii ckonomiki voiny' was published in Vestnik Kommunisticheskoi Akademii. Trudy Voennoi Sektsii, vol. 4, 1931. 8. M.N. Tukhachevskii, '0 kharakterc sovremennykh voin v svetc rcshenii VI kongrcssa Kominterna', Zapiski Kommunisticheskoi Akademii, Trudy voennoi sektsii, vol. 1, 1930, pp. 6-29. 9. Ibid., p. 20. 10. Ibid., p. 21. 11. A RAN, 375/l/19a, 2-16ob, Tukhachevskii on Triandafillov's Kharakter operatsii sovremennykh armii, 5 March 1930. On Triandafillov, sec Schneider, The Structure of Strategic Revolution, ch. 5. 12. RGVA, 33988/2/693. 13. RGVA, 7/10/170, 17. On deep offensive operations, see R.A. Savushkin, Razvitie sovetskikh moruzhennykh sil i voennogo iskusstva v mezhvoennyi period (1921-iiun' 1941gg.), 1989, p. 76. 14. M.N. Tukhachcvskii, 'lskorencnie banditizma ', Revoliutsiia i voina. Nauchnyi voenno-politicheskii zhurnal, 1922, No. 2, idem., 'Bor'ba s kontrrcvoliutsionnymi vosstaniiami', Voina i revoliutsiia, 1926, No. 6-8. Notes 233

15. RGVA, 7/10/170, 17ob. 16. Compare, M.Ia. Savitskii, Ekonomika voiny. 1: Ekonomicheskaia baza sovremennykh l'Oin, 1934, pp. 34~5. 17. V.V. Khripin, 'Ekonomicheskaia baza vozdushnoi voiny i razvitie vozdushnykh vooruzhenii', Zapiski Kommunisticheskoi Akademii: Ti'udy voennoi sektsii, vol. 2, 1931, pp. 144~ 75, especially p. 155 on links be­ tween aircraft and automobile industries. Khripin had presented this lecture at the Communist Academy on 22 April 1930. Ill. Doklad Titkhachevskogo Voroshilovu, II January 1930, RGVA, 7/1/170, 15. 19. RGVA, 33987/3/155, 13. This note is not dated, but judging by the content, it was obviously written soon after the memorandum con­ cerning 40 000 aeroplanes in the Red Air Force. For Douhet's air force doctrine and its reception in the Soviet Union, cf. Soviet Avia­ tion and Air Power. A Historical View, ed. by R. Higham and J.W. Kipp, London. 1977, ch. 4. 20. RGVA, 7/10/170, 15ob. Capital letters in Tukhachevskii's memorandum. 21. Ibid. 22. Ibid., 17ob. 23. Tukhachcvskii's memorandum specified these projections for the Red Army's motorisation, transport facilities, artillery and machine-gun reserve of the High Command (50 artillery divisions and 225 machine­ gun battalions). 24. RTsKhiDNI, 85/27/65, I, Tukhachevskii's memo of 11 January 1930, with Ordzhonikidze 's undated resolution. 25. RTsKhiDNI, 17/3/687, p. 30; 17/162/6, I. il8. (Politburo decisions, 14 and 17 May 1921l). 26. For their exchange of letters on defence industry matters, sec RGVA, 37605/2/1. I. Dubinskii-Mukhadze, Ordzhonikidze, 1967, p. 247. 27. RGVA, 7110/1049, 3-4ob. Tukhachevskii memo on industrial mobilisation, 23 February 1930. 28. RGVA, 33987/3/155, 66~70. 29. RGVA, 33988/2/693, 70~82. 30. RGVA, 37605/2/1, I, Tukhachevskii letter to Ordzhonikidze, 9 J anu­ ary 1931. 31. RGVA, 33987/3!155, 59~65. 32. L. Nord, Marshal Tukhachevskii, Paris, 1978 [originally published in 1957 by an emigre publishing house], pp. 64~8. 'Lidiia Nord' is a pen­ name for an allegedly distant relative to Tukhachevskii. The book contains several faults in geography; location and dates are unclear. Was it written by a distant witness or is it a Cold War forgery con­ cocted in emigre circles? 33. RGVA, 7/Hl/1047, 9-23. 34. Ibid., 12ob. 35. On Alexander Svechin's doctrine in general, see A.A. Kokoshin, Armiia i politika: Sovetskaia voenno-politicheskaia i voenno-strategicheskaia mysl', 1917-1991, 1995; Schneider, Structure of Strategic Revoluion, Ch. 4, and S.W. Stoecker, 'Historical Roots of Contemporary Debates on Soviet Military Doctrine and Defense', Rand Note, N-3348-AF/A, Santa Monica, CA. 1991. 234 Notes

36. RGVA, 33987/3/347, !-lob, 13-15, Zapiska Svechina Nachal'niku Shtaba RKKA, Shaposhnikovu, 'Budushchaia voina i nashi voennye zadachi', 8 March 1930. 37. Svechin, Budushchaia voina. op.cit., I. 15. 38. Ibid., I. 19. 39. Svechin, Budushchaia voina, ibid., I. 16 Svcchin referred to the presentation by Tukhachcvskii of Triandafillov's book Kharakter sovremennoi operatisii armii at Central House of the Red Army in November 1929. The arguments of Tukhachevskii against Svechin were further developed in his lecture at the Communist Academy in December 1929, '0 kharaktcrc sovremennykh voin v svctc rcshcnii VI kongressa Kominterna', Zapiski Kommunisticheskoi Akademii: Trudy voennoi sektsii, vol. I, 1930. For Shaposhnikov's answer, and defence of Triandafillov's view, see his Otvet na zapisku Aleksandra Svechina, 31 March 1930. RGVA, ibid., II. 70-1. 40. Ibid., I. 16. 41. For these events, sec V. Rapoport and lu. Geller, Izmena Rodine, 1995, ch. 14. Cf. also the articles in Protiv reaktsionnykh teorii na voennonauchnom fronte, 1931; particularly, V. Dunaicvskii, 'Vreditel 'skaia teoriia "permancntnoi ekonomicheskoi mobilizatsii" Svechina', Zapiski Kommunisticheskoi Akademii: Trudy voennoi sektsii, vol. 4, 1930. 42. Svechin wrote a book and a series of memoranda that were based on his first-hand experience of the Japanese military since 1905. See RGVA, 33987/3/552, laponskaia armiia v proshlom i nastoiashchem; 33987/31 458, 'K voprosu o razvertyvanii iapontsev dlia primorskoi operatsii'; 33987/3/485, 'K voprosu ob opcrativnoi doktriny iaponskoi aviatsii'. 43. A RAN, 375/1/53, 32-33. Snitko's biographical data come from an inquiry by the Communist academy. Snitko was responsible for the teaching of war-industrial planning in the 1930s. His lectures on 'De­ fence Planning' (Oboronnoe planirovanie) were edited by Botner, and published 'for internal use only' (ne podlezhikt oglasheniiu) by Plan-zo in 1934. RGAE, 4372/91/1455, 4. 44. RGAE, 4372/91/1271, 29-11. Doklad o kharaktere budushchei voiny i zadachakh ob01·ony, 31 January 1930. 45. V. Danilov, 'Sovetskoe glavnoe komandovanie v preddverii Velikoi Otechestvennoi voiny', Novaia i noveishaia istoriia, 1988, No. 6. 46. D.M. Glantz, 'Soviet Mobilisation in Peace and War, 1924-1942: A Survey', The Journal of Soviet Military Studies, 1992, No. 3, p. 325. 47. See the article 'Revoliutsiia izvne' written in 1920, Tukhachcvskii, Voina klassov. 48. Doklad o budushchei voiny, I. 29. 49. Ibid., I. 29. 50. For Snitko's evaluation of the sectors along the Western fronts, Finnish­ Estonian, North-Western, Polish-Romanian, and the measures for the Sovietisation of these states, see II. 27-29. 51. Ibid., I. 7. 52. Snitko, Preliminary Conclusions on Future War, II. 7-6ob, and tables for 50 categories of arms in Vedomost' potrebnostei, ibid., II. 10-8ob. Notes 235

53. Vedomost', I. I 0. The listing defines the requirements of main types of artillery, aircraft, tanks and ammunition, a total of 50 categories, on the following periods: (a) at mobilisation, (b) for the first half of the first campaign, (c) for the second half of the first campaign, (d) for the whole of the first war-year, (e) for the second war-year, ibid., II. 10-Sob. 54. Snitko, ibid., 20 ob. 55. Idem, ibid., 19ob. 56. Idem, ibid., 19ob. 57. Idem, ibid., 18ob. 58. The conception of a defensive posture is found in D.M. Glantz, The Military Strategy of the Soviet Union, A History, London 1992, pp. 46-60, whereas the thesis of an offensive, rather aggressive policy is elabo­ rated in 'revisionist' works, for example, by E. Topitsch, Stalins Krieg, pp. 31-62. 59. RGVA, 7/10/1059, 2-7ob, RVS resolution, 18 May 1930, and ibid., 8-26ob, Staff report. 60. RGYA, 33987/3/155, 77, Hand-written note by Yoroshilov to Stalin, 5 March 1930. 61. RTsKhiDNI, 74/2/38, 59, Copy of Stalin's note to Voroshilov, 23 March 1930, attached (prilozhenie) to Stalin's letter to Tukhachcvskii, 7 May 1932. The original of Stalin May 1932 letter to Tukhachevskii is no longer in the Russian State Military Archives. It was moved from there in the 1950s, but has not been found. The letter held at Stalin's ar­ chives in the Presidential Archives is referred to by E. Radzinskii, Stalin, 1997, p. 628, AP RF, 45/1/447-451. On 5 June 1937, one of the interrogators, Leplcvskii, requested that Tukhachevskii's letters to Stalin from June and December of 1930, as well as a series of his memoranda to Yoroshilov, be given to the se­ curity agencies. These documents were probably later once again collected in connection with the rehabilitation of Tukhachevskii in the 1950s. The reason for this assumption is the date of the scaling of the files, and also that the papers dealing with other topics were located in the same file (delo) rather than being spread out in various subject files. Cf. RGVA, 33987/3/400, 262. Leplevskii was GB second rank commissar, and from 29 January 1936 to 14 June 1937 Head of the 00 (Osobyi Otdel) GUGB NKVD SSSR, thereafter Head of the 6th Directorate of GUGB NKVD SSSR. Lcplevskii himself was arrested on 26 April 1938 and executed on the 28 July 1938. 62. The 1932 copy was evidently made on Stalin's order in May 1932, and does not include the phrase that 'the adoption and fulfilment of the programme would be worse than any counter-revolution, because it would imply the liquidation of socialist construction as a whole and its replace­ ment by some peculiar "red militarism" that is hostile to the proletariat' However, in a draft for a letter, 'never sent', to Tukhachevskii, Voroshilov quoted precisely these words. It is therefore reasonable to assume that they actually were formulated by Stalin, either in the original letter, in a draft or in conversations, in March 1930, RGVA, 33987/3/ 155, 169. 236 Notes

63. RGVA, 33987/3/155, 171-172. Voroshilov's manuscript of letter intended for Tukhachevskii, but with a handwritten note 'not sent'. 64. Ibid., 172. 65. See above, notes 2-3 in this chapter. 66. Ibid., I. 167-168. ('Your five-year plan', emphasis by Voroshilov.) 67. Ibid., I. 169. 68. Ibid. (Italics indicate the words underlined in the original draft let­ ter). These are the characteristic words of Stalin's critique that were revealed in the Soviet historiography, although without mention of the sources. The most frequent description of the 1930 proposals and Stalin's reaction stems from the editors of Tukhachevskii's Izbrannye proizvedeniia in the 1960s. See S. Biriuzov, 'Voenno-teoreticheskoe nas1edstvo M.N. Tukhachevskogo', Voenno-istoricheskii zhurnal, 1964, No. 2, pp. 39-40. 69. RGVA, 4/1!1403, 715. The agenda and protocol of the session of the Revolutionary Military Council of the USSR, 22-26 October 1930. 70. Voenno-istoricheskii arkhiv, Vol. 1, pp. 246-7, N. Shvcrnik's report of 26 June 1964 on the repressions in the Red Army. 71. ibid., pp. 247-8. 72. ibid., pp. 248-9. Kakurin was sentenced to death, but the punishment was amended to ten years' hard labour. He died in the camps in 1936. Troitskii received three years' exile and turned an informer for NKVD. However, he was arrested in 1938 and accused of belonging to the military conspiracy organised by Tukhachevskii. He was sentenced to death on 11 May 1939. 73. Pis'ma I. V. Stalina V.M Molotovu, 1925-1936 gg. Sbornik dokumentov, 1995, pp. 231-2. However, in the atmosphere of the great purges in June 1937, Stalin would come back to this incident. In his speech to the Military Council of the People's Commissariat of Defence he said: 'We had an eye-to-eye confrontation and decided to close the matter. Now it turns out the two military men who testified against Tukhachcvskii were right ... ' 74. RGVA, 33987/3/155, 89. Tukhachevskii to Stalin, 19 June 1930. 75. Ibid., 90ob. 76. For the evolution of the Soviet theory of 'deep battle' and 'deep op­ eration', see Turner, 'The Genesis of the Soviet "Deep Operation'", passim; Glantz, Soviet Milita~y Operational Art, ch. 1. 77. RGVA, 33987/3/155, 91, Tukhachcvskii, 19 June 1930. 78. RGVA, 33987/3/155, 74-79. Tukhachcvskii to Stalin, copy to Voroshilov, 30 December 1930. 79. See for example K. Kalinovskii, 'Problema motorizatsii i mekhanizatsii sovremennykh armii', Doklad v Kommunisticheskoi Akademii, 29 November 1930, Zapiski Kommunisticheskoi Akademii. Trudy voennoi sektsii, vol. 3. The Red Army newspaper Krasnaia zvezda regularly published articles on foreign tank models under the heading 'Chronicle of motorization'. For example, on 12 November 1929, it praised the 12-tonne Christie M 1930 smooth performance. 80. RGVA, 33987/3/400, 78. Tukhachevskii here referred to ideas of Liddell Hart in the Russian translation Novye puti sovremennykh armii, 1930. Notes 237

81. Tukhachevskii, Letter 19 June 1930, op.cit., 91ob. 82. Tukhachevskii had been included in this commission and adressed his propositions to Stalin, with targets that were largely surpassed by the General Secretary's own proposals, see RGVA, 33988/2/693, 133-134ob, Tukhachevskii report to Stalin and Voroshilov on civil aviation, 28 August 1930. Their response in RGVA, 33987/2/346, Letters by Stalin and Voroshilov to the Party Central Committee concerning the Rudzutak Commission. 83. Ibid, 92. 84. Ibid. 85. Tukhachevskii, Letter 19 June 1930, op.cit., 92ob-93. 86. Pis'ma Stalina Molotovu, pp. 209-10. 87. RGVA, 33987/3/400, 74, Tukhachevskii, Letter 30 December 1930. 88. RTsKhiDNI, 17/3/810, prot. No. 23; 171162/9, I. 119, p. 14/19, On Tank construction. 89. RGVA, 33987/3/155, 129-130, Zapiska. 90. RGVA, 33987/3/155, 157-157ob., Tukhachevskii, Zapiska Voroshilont. 91. Ibid. 92. RGVA, 33977/3/368, 936-1021, Triandafillov, Osnovnye voprosy taktiki i operativnogo iskusstva v sviazi s rekonstruktsiei armii. 93. RGVA, 31811/2/77, 8-lOob, Tukhachevskii commentary on military intelligence data.

CHAPTER 5

1. Stalinskoe Politbiuro v 30-e gody. Sbornik dokumentov, 1995, p. 30. 2. R.W. Davies, 'Soviet Military Expenditure and the Armaments Indus­ try 1929-33: A Reconsideration', Europe-Asia Studies, Vol. 45, No. 4, 1993. 3. RTsKhiDNI, 17/162/8,88-92, Decisions by the Politburo's commission on defence matters, 29 November 1930. 4. RGAE, 4372/91/1268, 132; RGAE, 4372/91/858, 26. 5. Instructions for drafting the annual defence plan for 1930/31, RGVA, 4/1/1202, 1. 6. RGVA, 33987/3/269, 1-35, 'Main problems of tactics and operational art related to the reconstruction of the Army', proposals for the RVS session on 1 April 1931. 7. RGAE, 4372/91/858, 100-99. Control figures for 1931 of the defence industry, 20 November 1930. 8. RGVA, 7/10/1002, 44. 9. RGAE, 4372/91/736, 65, On the drafting of a wartime version of the control figures for 1931, 24 January 1931. 10. Stalin, Sochineniia, vol. 13, p. 38-9, '0 zadachakh khoziastvennikov', 4 February 1931. 11. RGAE, 4372/91/736, I. 90. 12. RGVA, 4/1/1202, 16, Defence plan for 1930/31, 18 September 1930. 13. RGAE, 4372/91!1149, 19-16, Chief of RKKA Staff, Aleksandr I. Egorov, 11 June 1931. 238 Notes

14. RGAE, 4372/91/1149, 22-2lob, Snitko, Head of the Military Section of Gosplan's Defence Sector, 19 July 1931. 15. Akshinskii, V.S., Kliment Efremovich Voroshilov: Biograficheskii ocherk, 1976, pp. 158-9. Hi. RGVA, 33987/3/400, II. 86-90, 91-93, Tukhachevskii memo, 17 July 1931. 17. RTsKhiDNI, 74/2/38, II. 48-51, 52-3 (transcript), Letter from Stalin to Voroshilov, 27 November 1931. 18. Sec Akshinskii, Voroshilov, p. 164. 19. RGAE, 4372/91/858, 85. 20. RGAE, 4372/91/858, 108-105, On the annual plan for defence measures in 1931. Report to SNK Defence Commission, 1 February 1931. See also ibid., II. 71-64, 60-58 for details on this plan. 21. RGVA, 4/18/30, 17, Protocol of Revvoensovet session, 10 January 1931. 22. See, for example, Akshinskii, Voroshilov, p. 156. 23. RGVA, 33988/1/622, 191, Information memo (5pravka) on tank con­ struction, 12 December 1928. 24. RGVA, 31811/1/140, 31-35, Protocol of the tank construction com­ mission, 12 January 1931. For the technical and tactical characteristics of the early Soviet tanks according to this programme, see Tukha­ chcvskii's memorandum to the Motorisation-Mcchanisation Directorate of 3 March 1931, RGVA, 31811!1/140, 18-2lob. In a subsequent letter of 14 April 1931 (ibid., II. 23-25ob), Tukhachevskii referred to 'the very interesting conclusions' in the U.S. Congress hearings in Washington on the Christie tank. 25. RGVA, 4/14/505, 117. 26. For the primary materials from such test mobilisation, see Kartochka proverki mobgotovnosti promyshlennykh predpriiatii from 1929 in RG VA, 7110/136, 14-14ob. 27. RGVA, 33988/3/179, 123-122ob, Protocol from Tukhachevskii's tank commission, 5 July 1931. 28. RGVA, 16. Protocol No. 1-2 from SNK Defence Commission (Kom­ missiia Oborony), 10 and 19 January 1932. 29. RGVA, 4/14/76, 21, Protocol No.3, 5 February 1932; ibid., 41, Proto­ col No. 7, 21 February. 30. RGVA, 4/14/76, 44, 47, Protocol No. 8 and 9, 2 and 19 March 1932. 31. Published in Istoricheskii Arkhiv and based on documents in the Presi­ dential Archives (AP RF). AP RF is assumed to have materials concerning the subject matter of these meetings in Stalin's cabinet. 32. Istoricheskii Arkhi1·, 1995, No. 2, pp. 128-41. 33. RGVA, 32871!1/2, 47, Rcvvoensovet SSSR draft resolution on the Red Army's motor-mechanisation (illegible signature), 17 March 1932. 34. Ibid., II. 47-51. 35. RGVA, 4/17/76, 60-61, Komissiia Oborony Decree on new forms of mota-mechanisation, 19 April 1932. 36. RGVA, 32871/1/2, 48. 37. Letter from Tukhachevskii to Stalin and Voroshilov, 21 January 1932, RGVA, 33987/3/400, 14-29. 38. RGAE, 4372/91/1475, 6, Gosplan Defence Sector calculations, 5 March 1932. Notes 239

39. RGAE, 7297/41/25, 25-17. 40. RGVA, 4/17/76, 21-22, Decision by the Defence Commission (KO), 21 February 1932. 41. RGVA, 33988/3/281, 73, Tukhachevskii memo to Stalin, Ordzhonikidzc and Voroshilov, July 1933. 42. Ibid., I. 80. 43. RGVA, 4/17/76, 79. 44. RGVA, 4/17/76, 140-141, 143. 45. RTsKhiDNI, 74/2/38, 60-61, Handwritten note by Stalin, 9 June 1932. 46. Ibid., I. 72, Handwritten note by Stalin, 24 June 1932. 47. RGAE, 7297/41/25, 42-39. 48. RGVA, 4/14/717, 9, Report to Molotov, Chairman of SNK Defence Commission on the tank programme. 49. It is possible to get an even more detailed picture of the reasons for the failures in tank assembly at the Leningrad 'Bolshevik' Plant. It was due to approximately 20 supplying factories, none of which had fulfilled their obligations in a satisfactory manner. 50. RGAE, 7297/41/73, 192-190, Tukhachcvskii memorandum. 51. RGVA, 4/17/76, 109. 52. Tukhachevskii, Zapiska, 9 January 1933, RGVA, 33987/3/400, 80. 53. Contemporary estimates from Soviet and German military journals of the 1930s abound in Werner, Max (pseud. for Alexander Schiffrin), Der Aufmarsch zum zweiten Weltkrieg, Strasbourg, 1938. 54. RGAE, 7297/41/73, 199-195. Tukhachevskii to Molotov, July 1933. 55. RGVA, 33988/3/281, 74, Tukhachevskii to Stalin, Ordzhonikidze and Voroshilov, July 1933. 56. See e.g. M. Harrison, M., Soviet Planning in Peace and War, appendix 1, p. 250; The Economic Transformation of the Soviet Union, 1913-1945, cd. by R.W. Davies et a!, table 28, p. 298. 57. RGVA, 40438/1/ 478, 1-6, STO resolution on tank armament, August 1932. 58. This is a good example of the lack of archival research that went into the writing of the multi-volume History of the Second World War, which the former Director of the Central State Archives of the Economy, V.V. Tsaplin deplored. See above, Introduction, footnote 6. 59. RGVA, 33988/3/261, 10-7, Tukhachevskii to Stalin, 4 May 1932. 60. RTsKhiDNI, 74/2/38, 56-57, Voroshilov's copy of Stalin's letter to Tukhachevskii, 7 May 1932. 61. RGVA, 33988/3/ 301, 196-197, Report by Voroshilov to Sovnarkom (Molotov), Gosplan (Kuibyshev) and NKTP (Ordzhonikidze), June 1932. 62. RGVA, 40432/1/475, 41, Note on the results of the first five-year plan, 23 March 1933. 63. RGVA, 40438/1/475, 39. The actual armament of the tanks in early 1933 is difficult to establish with certainty. Many of the Christie-type BT tanks were initially equipped with machine-guns, and later brought back to the factories and work-shops to be re-gunned. A report from the Motorisation and Mechanisation Directorate stated that only some 700 tanks were equipped with the required 45 mm guns in May 1933, see RGVA, 31811/2/225, 66. 240 Notes

64. RG VA, 33988/3/30 I, 195, Voroshilov Report, J unc 1932. 65. Ibid., 196. 66. Sec, for example, Rapoport and Geller, lzmena Rodine, pp. 189-190. 67. RGVA, 33988/3/301, 195, Voroshilov Report, June 1932. 68. Ibid. For the military's evaluation of the 1932 industrial results, see the RVS resolution on the war-industry fulfilment of the 1932 NKVM defence order, RGVA, 31811/16/13,49-51. 69. Ibid., l. 194. 70. RGAE, 4372/91/312, 95-94. Botner, Head of Gosplan's Defence Sec- tor, Spravka on the results of the first five-year plan, 16 March 1933. 71. Ibid., 102ob. 72. Ibid., 102-1 02ob. 73. Ibid., 99-96. 74. RGAE, 4372/ 91/1268, 56. 75. Ibid., 106ob. 76. ltogi, op.cit., l. 56ob.

CHAPTER 6

1. RGAE, 4372/91/1097, 158. 2. RGVA, 33987/3/400, 91-93, Tukhachcvskii to Voroshilov, 16 July 1933. On Soviet-Japanese relations in this period, see J. Haslam, The Soviet Union and the Threat from the East, London, 1992. 3. V.D. Sokolovskii (cd.), Voennaia strategiia, 1963, pp. 168-9; A.A. Kokoshin, Armiia i politika: Sovetskaia voenno-politicheskaia i voenno­ strategicheskaia mysl', 1917-199 I, 1995, passim; C. Roberts, 'Planning for War: The Red Army and the Catastrophe of 1941 ', Europe-Asia Studies, 1995, No. 8. 4. R. Savushkin, Razvitie sovetskikh vooruzhennykh sil i voennogo iskusstva v mezhvoennyi period (1921-iiun· 194/gg.), 1989, pp. 21-4, 54-5. 5. M.N. Tukhachcvskii, Novye VcJpro;y Voiny: The archival document is in RGVA, 33987/3/1257; a facsimile of this archival manuscript is avail­ able from Eastview Microfilm Department, Minneapolis, Minn. It has recently been re-published as Vol. l 0 of Antologia otechestvennoi voennoi mysli, 1996. 6. See A. Searle, 'J.F.C. Fuller, Tukhachevsky and the Red Army, 1923- 1941: The Question of the Reception of Fuller's Early Writings in the Soviet Union', The Jounal of Slavic Militmy Studies, 1996, No.4. 7. Krasnaia zvezda, 20 June 1932, Tau, 'N eudachnyc popytki Fu llera pcrcprignut' cherez sebia'. 8. For the general context of the autumn 1932 manoeuvres in Frankfurt­ an-der Oder, where the Soviet delegation, led by Tukhachevskii, met with President Hindenburg and the German Generalitiit, and an as­ sumed tacit Soviet-German war preparations against Poland, see 0. Groehler, Selbstmorderliche Allianz: Deutsch-russische Militiirbeziehungen 1920-1941, Berlin 1992, pp. 59-64. 9. RGVA, 33988/3/235, 54-45. Tukhachevskii's report to Voroshilov, 14 October 1932. Notes 241

10. The very complex nature of the military influence of the German on the Russian officers in the late 1920s and early 1930s has recently been re-evaluated, see Sh. Naveh, In Pursuit of Milital)' Excellence: The Evolution of Operational The01y, London, 1997, pp. 164-249. II. RGVA, 33988/3/235, 54-45. 12. Zakharov, Voennye aspekty, pp. I 05-65. 13. RGVA, 33987/3/400, 137-9, Tukhachevskii's note to Voroshilov, 20 November 1933. 14. L. Graham, The Soviet Academy of Sciences and the Communist Party 1927-1932, Princeton, NJ, 1967, pp. 56-61. 15. Ibid., p. 65. 16. RGVA, 4/14/512, 195-198, Report on the mobilisation of scientific and research work for the defence of the USSR, June 1932. Sec also R. Lewis, Science and Industrialisation in the USSR, London and Basingstoke 1979, pp. 132-42, and M. T~ypkin, 'The Origins of Soviet Military Research and Development Systems, 1917-1941', Ph.D. thesis, Harvard 1985. 17. RGVA 4/14/512, 199-200. 18. For the Soviet experiments with 'flying tanks', sec a report from the Motorisation and Mechanisation Directorate about the three compet­ ing designs, Doklad UMM Voroshilovu, 31 May 1933, RGVA, 31811/3/ 211, 44-44ob. Even the daily Red Army newspaper Krasnaia zvezda had an article on the Christie 'aerotank', 11 June 1932. On airship ('zeppelin') designs, Tukhachevskii report to Voroshilov. 14.12 1930, RGVA, 33988/2/693, 163-4. Outside the USSR, it was above all Christie who tried to interest the U.S. Army in his projects for 'flying tanks', sec E. Christie, Steel Steeds Christie: Memoirs of the Life of' J. Walter Christie, Manhattan, KS. 1985. In the biography by Edward Christie, only the first Christie model licence to the USSR is mentioned. However, Walter Christie also in 1935 offered the Red Army, through Amtorg in New York, the blueprints for his new M-1932 tank and the technical assistance to build this tank in the Soviet Union. 19. Sec Tukhachevskii, Novye mpro.sy voiny, pp. 43-46, and V. Ol'denzorgcr, 'Dirigible v desantnykh operatsiakh', Krasnaia z1·ezda, 28 June 1932. 20. RGVA, 33988/3/285, 11-llob. UMM to Tukhachcvskii, 31 January 1933. 21. Arkhiv muzeia Zhukovskogo, fond Rafaeliants, photo 5397/55, Patent application, 5397/69. A ram Rafacliants ( 1897-1974) had designed a few small aircraft in the 1920s, when he received a number of special design tasks from the Army. For this experiment in Soviet aviation design, see K. Gribovskii, 'Lctaiushchie tanki', Tekhnika - molodezhi, 1990, No. 6; A.P. Krasil'shchikov, 'Lctaiushchie tanki', Tekhnika i vooruzhenie, 1992, No. 11-12. As a matter of fact, light flying tanks were actually constructed in the early 1940s, but never attained any significance. The practical invention of the helicopter in the 1930s superseded that direction. 22. For Grokhovskii's patent application of a flying tank, sec RGANTD, R-1/4 7-5/2514, 2-5, 19-19ob. On the designs and inventions of Pavel 242 Notes

I. Grokhovskii, see I. Chutko, 'Boginia udachi komdiva Grokhovskogo', in Most cherez vremia, 1989, pp. 141, 300. 23. RGANTD, R-1/47-5/2514, 1-3; 2633, 2-9. 24. See Samoletostroenie v SSSR (1917-1945), vol. I, p. 314. 25. RGVA, 32871/1/2, 42-43, Draft Revvoensovct resolution, March 1932. 26. Ibid., 43. 27. ltogi vypolneniia pervogo piatiletnego plana razvitiia narodnogo khoziaistva Soiuza SSR, Gosplan SSSR, Moskva 1933, p. 12. 28. RGVA, 33987/3/400, 91, Tukhachevskii, memo for Voroshilov, 11 July 1933. 29. Ibid., I. 92 30. RGVA, 33987/3/400, 123-124, Tukhachevskii and Uborevich to Voroshilov, 10 February 1934. 31. Ibid., 125. 32. RGVA, 33987/3/632, 31-44, Tukhachcvskii on the air force doctrine, 6 March 1935. 33. M.N. Tukhachcvskii, lzbrannye proizvedeniia, Vol. 2, pp. 212-21. 34. RGVA, 33987/3/400, 126. 35. Ibid., 126-7. 36. Tukhachevskii, Ukreplenie aviatsii, 124. 37. RGVA, 33987/3/400, 113, Note by Voroshilov. 38. Only scattered evidence exists on how, in 1936, these officers tried to have Voroshilov replaced; see, for example, quotations from a con­ temporary officer's diary, I. Golovanov, KoroMv: Fakty i mify, 1994, pp. 226-7. 39. XVII s'ezd Vsesoiuznoi Kommunisticheskoi Partii (b), 1934, 464-6. 40. RGVA, 33987/3/400, 123-127, Tukhachevskii memo for Voroshilov, 10 February 1934. 41. RGVA, 33987/3/400, 13-28; Tukhachevskii's manuscript of the 29 March 1935 Pravda article 'Hitler's War Plans' was published, with Stalin's changes added, in lzvestiia TsK KPSS, No. I, 1990. 42. RGVA, 33987/3/400, 227-235, Tukhachevskii and Uborevich Memo­ randum, 5 February 1935. 43. The estimates by the military attaches have been described in several articles, and they arc an important matter for the diplomatic alliances. They are less important for the present study which concentrates on actual military-economic planning. Sec, for example, K. Neilson, '"Pur­ sued by a Bear": British Estimates of Soviet Military Strength and Anglo-Soviet Relations, 1922-1939', Canadian Journal of History, Au­ gust 1993; J .S. Herndon, 'British Perceptions of Soviet Military Capability, 1934-39', in The Fascist Challenge and the Policy of Ap­ peasement, eds. W.J. Mommsen and L. Kettenacker, London, 1983. The Soviet Military authorities, in turn, took care in assessing these reports; see for example, the briefing to Voroshilov on the reaction of foreign observers, from their visits to the USSR in 1935, RGVA, 33987/ 3!740, 193-208. 44. For the negotiations between General Loizcau and Tukhachevskii, see RGVA, 33987/3/687, 64-74, 25 September 1935. For Loizcau's report on the Red Army, sec SHAT, 7N3183, September 1935. On the French Notes 243

military estimates of the Red Army, see M. Valsse, 'La perception de Ia puissance sovictique par les militaires fran<;ais en 1938', Revue historique des Armies, 1983, No. 3. 45. For his visit to London, see I.M. Maiskii, 'V Londonc', Marshal Tukhachevskii: Vo~pominaniia druzei i soratnikov, 1965, pp. 226-30. 46. For Tukhachevskii's meetings in London, see Dokumenty vneshnei politiki SSSR, Vol. 19, pp. 62-4. British reactions are well reflected in a re­ port from Paris, PRO, FO 371/19886, C 1081/4/18. Mr Peake (Paris). 20 February 1936. Enclosed article by Genevieve Tabouis in L 'CEuvre, 18 February 1936. 4 7. Voenno-istoricheskii zhurnal, 1988, No. 10, pp. 38-43, Uborevich's speech to the Minsk Komsomol organisation, spring 1936. 48. RGVA 33987/3/274, 159-163, Uborevich memo to Voroshilov, 8 November 1936. 49. RGVA, 33987/3/279, 129-130, Uborevich, Memorandum. 50. For the details about the wargame, and the reaction to the sugges­ tions by Tukhachevskii, see G. Isserson, 'Zapiski sovremennika o M.N. Tukhachcvskom', Voenno-lstoricheskii Zhurnal, 1963, No. 4, pp. 73-5. 51. RGVA, 33989/2/267, 123-12lob, Tukhachevskii to Stalin on mecha­ nised troops, 9 July 1936.

CHAPTER 7

I. The second five-year plan is analysed in terms of its long-term coher­ ence, and with respect to the annual fulfilment of the plan, by Zaleski, Stalinist Planning, chs 6-7. 2. Zaleski, Stalinist Planning, ch. 6; R.W. Davies and 0. Khlevniuk, 'Gosplan', in E.A. Rees (ed) Decision-making in the Stalinist Command Economy, 1932-37, London 1997. 3. The short-term priorities and changing defence burden are analysed by M. Harrison and R.W. Davies, 'The Soviet Military-economic Effort during the Second Five-year plan ( 1933-1937)', Euro-Asian Studies, 1997, no. 3. 4. RGVA, 29/35/23, Report from Military Intelligence 'On the participa­ tion of French troops in a war against the USSR', 28 May 1932. 5. RGAE, 4372/91/1097, 149, Voprosy oboronnoi piatiletki promyshlennosti (Materialy dlia direktivy }, 20 March 1932. 6. On the development of the Soviet tank doctrine, see Glantz, Soviet Military Operational Art, Ch. 4; Turner, 'The Genesis of the Soviet "Deep Operation'", ch. 9. 7. RGVA, 33988/3/301, 153, Chief of Red Army Staff, Egorov, on mech­ anisation and motorisation in the Red Army, 14 June 1932. 8. Ibid., 152. 9. RGVA, 40438/1/197, 9. Kolesinskii, Deputy Head of Gosplan's De­ fence Sector, memo on the defence industry plan, March 1932. 10. For the Christie Tank in its various Soviet BT, 'Bystrokhodnyi Tank' (i.e. fast-going tank) developments, see I.P. Shmeliev, Tanki BT, 1993; 244 Notes

for Christie's unsuccessful projects of flying tanks, see Christie, Steel Steeds Christie, pp. 43, 49, 58-66. 11. RGVA, 33987/3/ 400, 259-261, Memo from Tukhachevsky to VKP(b), Stalin, 15 November 1935. 12. RGVA, 4/14/1309, 129-140, Report by Simonov, 5th Directorate of RKKA Staff, 22 January 1934. 13. RGAE, 4372/91/1097, 165, Voprosy oboronnoi piatiletki promyshlennosti, directive by Kolesinskii, deputy Head of Gosplan's Defence Sector, 20 March 1932. Kolesinskii had been in the Defence Sector of Gosplan since 1927. 14. G.K. Zhukov, Vo::,pominaniia i razmyshlenia. lOth en!. ed., 1990, vol. I, p. 178. Given that whole sections of Zhukov's memoirs might have been 'edited', the description is not correct in taking the 'first five­ year plan for the military development' (ibid., p. 175) as based on the July 1929 Politburo resolutions. Zhukov might have consciously omit­ ted references to the crucial mobilisation targets for industry. 15. RGAE, 4372/91/3290, 14, 'Plan NKO na 2-oe piatiletie utverzhdeniia SNK SSSR ne poluchil', in Dokladnaia zapiska Sektora Oborony o vypolnenii 2-go piatiletnego plana, December 1937. 16. RGAE, 4372/91/1448, 181-180, 0 plane razvitiia voennykh proizvodstv vo vtorom piatiletii, Doklad predsedateliu Gosplana, 4 April 1933. 17. RGVA, 33987/3/395, 297, Zapiska Voroshilova Ordzhonikidze. 18. RGAE, 4372/91/1097, 2-1, Kolcsinskii, Directives for the Second Five­ year plan, 26 February 1932. 19. RGAE, 4372/91/1097, 28-10, Kolesinskii, Zapiska zam. Nachal'nika Sektora Oborony, 11 March 1932. 20. Ibid., 155. 21. Ibid., 161. 22. RGAE, 4372/91/1475, 11-9, Orientirovochnyi perspektivnyi plan razvitiia brone­ tankovogo proizvodstva pri variante voiny vo 2-i piatiletke 1933-1937gg. 23. RGVA, 40438/1/197, 3, Ob organizatsii raboty po otrazheniiu trebovanii oborony v piatiletnem plane narodnogo khoziaistva, Postanovlenie Sovnarkoma, 11 May 1932. The draft resolution had been adopted by the Deputies' conference and sent to Komissiia Oborony. 24. RGAE, 4372/91/1475, 14-12, Zapiska Lebedeva, NTK UMM RKKA, 9 May 1932. 25. RGAE, 4372/91/1475, 28-28ob, 27, and 26. 26. GVMU, Main Military-Mobilisation Directorate, Orudob'edinenie, Gun Association, Stal', Steel Association, VOMT, Machine-building Trust, Kotloturbina, Boiler-Turbines and Glavaviaprom, Aviation Industry Main Directorate. 27. 5th Directorate of the Red Army Staff, the Motorisation-Mechanisation Directorate and the Main Artillery Directorate. 28. The Gosplan Sectors for Machine-building, Mining and Metallurgy, 'Automobi1isation' and 'Airification'. 29. RGAE, 4372/91/1475, 30-29, Zapiska zam. Nach. Sektora Oborony Gosplana SSSR Kolesinskomu, 23 June 1932. 30. RGVA, 33987/3/376, 73-74. Report from Khalcpskii to Voroshilov, 28 November 1932. Notes 245

31. See RTsKhiDNI, 17/3/907, p. 106/82, for the Politburo decision of 25 November 1932. 32. RGAE, 4372/91/796, 241-24lob, Zapiska nachal'nika Sektora Oborony Gosplana, Botnera zam. Predsedateliu Gosplana Unshlikhtu, 14 October 1932. 33. For the actions of the Defence Sector, sec Programma rabot po sostavleniiu 2-i piatiletki, February 1933, RGAE, 4372/91/1273, 128- 126. (Quotation on I. 127ob.) 34. RGAE, 4372/91/1273, 42, Botner, Head of Gosplan Defence Sector to Mezhlauk, Deputy Gosplan Chairman, on the defence industry five­ year plan, 9 April 1933. 35. Ibid., 42ob. 36. Ibid. 37. Ibid., 41ob. 38. RGAE, 4372/91/1448, 122, Deputy Gosplan Chairman Troianovskii to Gosplan Chairman Kuibyshev and deputy NKTP Chairman, Piatakov, 16 July 1932. The report indicated a number of civilian products for the defence industry, such as: instruments, locomotives, platforms, tractors, trucks, cars, motor cycles, bicycles, chemical and textile ma­ chinery. See ibid., II. 122-121 for quantitative and value estimates. 39. For the July 1933 plan of civilian production (51 products in machine­ building and 7 in the chemical industry) in the defence industry, see Grazhdanskaia produktsiia voennoi promyshlennosti v tsenakh 26!27g. Na 2-e piatiletie, RGAE, 4372/91/1448, 118-119. 40. Proekt biudzheta NKVM na 4 goda piatiletki, RGVA, 40438/1/184, II. 41. RGAE, 4372/91/3222, 18.

CHAPTER 8

I. For recent academic essays in counter-factual historical interpretations which have been of interest for the present study, see Virtual Histmy (ed. Ferguson). 2. The complex military-economic situation of the USSR in the period 1940-41, especially after the fall of France in J unc 1940, will be treated in another context. Suffice it here to mention that Russian historians have recently unveiled a host of new materials on war planning, state of technical and combat readiness, and ideological indoctrination. Compare, for example, Iu.A. Gor'kov, 'Gotovilli Stalin uprezhdaiushchii udar protiv Gitlera v 1941g. ?', Novaia i noveishaia istoriia, 1991, No. 3; P.N. Bobylcv, 'K kakoi voinc gotovilsia Gcneral'nyi Shtab RKKA v 1941 godu?', Otechestvennaia istoriia, 1995, No.5; VV Shlykov, 'I tanki nashi bystrye', Mezhdunarodnaia zhizn', No. 10, 1989; idem., 'I bronia nasha krepka', ibid., No. 12, 1989; VA. Nevezhin, Sindrom nastupatel'noi voiny: Sovetskaia propaganda v preddverii 'sviashchennykh boev' 1939- 194lgg., 1997. 3. On the 'great terror' in the armed forces, see R.A. Mcdvedcv, K sudu istorii: Genezis i posledstviia stalinizma, New York 1974, pp. 406-14; O.F. Suvenirov, RKKA nakanune . . . : Ocherki istorii politicheskogo 246 Notes

vospitaniia lichnogo sostava Krasnoi Armii 1929g. -iiun' 1941 g., 1993, pp. 193-216. 4. RGVA, 33987/3/740, 170, Koalitsiia protiv SSSR, Intelligence report from S. Uritskii, Head of RU RKKA to Voroshilov, 6-7 December 1935. 5. Ibid., II. 174-175. 6. Ibid., I. 175. 7. For the various indications of a conspiracy against Tukhachevskii and details of his trial, see R. Strobinger, Stalin enthauptet die Rote A1mee: Der Fall Tuchatschewskij, Stuttgart, 1990. 8. For examples of such legends among the diplomats, see D.C. Watt, 'Who Plotted Against Whom? Stalin's Purge of the Soviet High Com­ mand Revisited', Journal of Soviet Military Studies, Vol. 3, No. 1, March 1990. 9. For details on Voroshilov and the repression in the Red Army, see D.A. Volkogonov, Triumf i tragediia, book I, part 2, pp. 258-79, and the documentary collection Le repressioni degli anni trenta nell'Armata Rossa, cd. by A. Christiani and V.M. Michaleva, Napoli 1996. 10. On 5 June 1937, NKO's Chancellery was asked to give Leplevskii, Head of GUGB's 5th Department, some of the documents in Tukhachevskii's personal file. Among these were copies of Tukhachevskii's letters to Stalin of 19 June and 30 December 1930, his original notes to Voroshilov on 16 July and 31 August 1933, notes to Voroshilov of various other dates. The first-mentioned letters con­ cerned Tukhachevskii's proposal for an increased speed in technical reconstruction. However, in his 'confessions', Tukhachevskii did not mention the 1930 proposals, still less the 'counter-revolutionary' na­ ture of his January 1930 propositions. For another sceptical approach to the role of the 'Red dossier', see S.Z. Sluch, '"Delo Tukhachevskogo": Velika li zasluga SD? (po povodu novoi knigi nemetskogo istorika)', Sovetskoe slavianovedenie, 1992, No. I, pp. 27-29. 11. The 'confession' is reproduced in facsimile 'Pokazaniia Marshala Tukhachevskogo', Voenno-istoricheskii zhurnal, 1989, No. 8, p. 44. 12. For the war plan materials, 'The defeat plan' (plan porazheniia) that the secret police forced Tukhachevskii to write, see ibid., No. 8, pp. 45-53, No. 9, pp. 55-63. A few glimpses from the prosecution of 11 June 1937, with harsh exchanges between the accusers Budionnyi, Blucher and Shaposhnikov and the accused Tukhachevskii, Iakir and Uborevich, have recently been found by N.A. Zenkovich, Marshaly i genseki, Smolcnsk 1997, pp. 596-600. 13. Voenno-istoricheskii arkhiv, vyp. 1-2, 1997, contains a report (spravka) of the Commission that on N.S. Khrushchev's request in 1961-4 in­ vestigated the 1937 'military-fascist conspiracy'. It contains a host of facts from various archives. For biographies of Tukhachevskii, Iakir, Uborevich, and the main victims of the purges in the Army 1937-8, see Ia. Iakupov, Tragediia polkovodtsev, 1994. 14. Kumanev's source is Institut Istorii SSSR, Dokumenty i materialy, inv. No. 04/467, list 137. The provenance is one of the first post-Stalin investigation commissions, headed by Marshal Zhukov with data pre- Notes 247

sented to the Central Commjttee. See, Kumanev, G.A., 'V ogne tiazhelykh ispytanii (iiun' 1941 - noiabr' 1942 g.), lstoriia SSSR, 1991 , No. 2, p. 6. This article was intended to be Chapter 6 of a new history textbook lstoriia sovetskogo obshchestva: Kratldi ocherk (7917-1945 gg.). 15. The education, military experience and other indicators of the purged are presented schematically in Rappaport and Geller, 1zmena Rodiny, ch. 20, especially pp. 283-8. 16. RGVA, 33987/3/1046, 209, General Zhigur to Yoroshilov, 20 July 1937. 17. Tbid., II. 210-29. 18. For a description of these last pre-war plans, see M.Y. Zakharov, General'nyi Shtab v predvoennye gody, 1989, pp. 125-33. 19. Zaleski, Stalinist Planning, chs 8-9; Tretii piatiletnii plan razvitiia narodnogo khoziaistva 1938-1942gg. , 1939. 20. For an example of the instructions for industrial enterprises, see Direktiva po sostavleniiu mobilizatsiomwgo plana na 1938g. RGVA, 40438/1/2032, 27-50. 21. RGVA, 33987/3/1075, 57-63, Chubar' to Stalin, Molotov and Voroshilov, 16 June 1938. 22. On the Japanese threat assessments, see Haslam, The Threat from the East, cbs 5-6. For military descriptions of the Far East as a self-sufficient economic base in case of war, see lhe General Staff study from early 1937 by Major T.M. Strazdyn, Osnovnye linii razvitiia promyshlennosti Dal'ne-Vostochnogo Kraia, kak baza dlia vedeniia voiny, RGAE, 4372/ 91/2942. 23. RGAE, 4372/91/3002, 137-133, Doklad Predsedatelia Gosplana. 24. For these battle and threat assessments, see A.D. Coox. The Anaromy of a Small War: The Soviet-Japanese Struggle for Cltangkufeng I Khasan, 1938, London, 1977, idem, Nomonhan: Japan against Russia, 1939, Vols 1-2, Stanford, CA, 1985, A. Arkad'ev, 'K voprosu o planakh napadeniia rnilitaristskoi Iaponii na SSSR v 1939-1941 gg.', Voenno-istoricheskii zhurnal, 1976, No. 9, pp. 93-97. 25. RGAE, 4372/91/3002, 132-130. 26. RGAE, 4372/91/3078, 36. 27. I.I. Vernidub, Na peredovoi linii tyla, 1994, p. 227. 28. Ibid., p. 230. 29. RGAE, 4372/92/218, 6a, 8 February 1939. 30. Y.S. Shumikhin, Sovetskaia voennaia aviatsiia, 1917-1941, 1986, pp. 208-10. 31. RGVA, 31811/14/8, 7, Cost calculation by ABTU directorate, 23 May 1937. 32. On the relative strength of the sides, see Krikunov, V.P., 'Kuda delis' tanlU?', Voenno-istoricheskii zhumal, 1988, No. 11; Sblykov, 'I tanki nashi bystrye'; M.l. Mel'tiukhov, '22 iiunUa 1941g.: 1Sifry svidetel'stvuiut', Otechestve11naia istoria, 1991, No. 3. 33. R.A. Savushkin, 'In the 'Tl:acks of a Tragedy: On the 50th anniversary of the start of the Great Patriotic War', Journal of Slavic Militwy Studies, 1991, No. 2. 34. V. Suvorov, The lee-Breaker: Who Started the Second World War?, London, 1990, idem., Der Tag-M, Stuttgart, 1994. Russian editions of Ledokol 248 Notes

and Den '-M (several editions and publishers) have reached hundreds of thousands of readers. 35. J. Hoffman, Stalins Ernichtungskrieg 1941-1945, Munich, 1996; E. Topitsch, Stalins Krieg: Moskaus Griff nach der WeltheiTschaft. Strategic und Scheitern, Herford, 1993; G. Gorodetskii, Mif 'Ledokola ': Nakanune voiny, 1995. 36. Selected documents of the Intelligence Service of NKG B were pub­ lished in Sekrety Gitlera na stole u Stalina: Razvedka i kontrrazvedka o podgotovke germanskoi agressii protiv SSSR, 1995. A more exhaustive documentary collection of intelligence reports is under preparation, Organy Gosudarstvennoi Bezopasnosti SSSR v gody Velikoi Otechestvennoi Voiny. The first volumes, Nakanune (1995), covers the period up to 22 June 1941. 37. For this attempt to shift from secretiveness to deterrent openness, see V. Sipols, Tainy diplomaticheskie, 1997, pp. 390-1.

APPENDIX 1

1. Biographies of the interwar period included Baumeister/pscud. 'Agricola'/, Der rote Marsella!, Berlin, 1932, ibid., Auf\·tieg und Fall Tuchatschewskis, Berlin, 1938, R. Gul', Die rote Marschiille. 2. On the various sources to the conspiracy against Tukhachevskii, see Strobinger, Stalin enthautpet die Rote Armee, pp. 309-11. In the glasnost' era, several Russian historians returned to the evidence for and against a conspiracy, compare Sluch, S.Z., '"Delo Tukhachevskogo": Velika li zasluga SD? (po povodu novoi knigi ncmetskogo istorika)', Sovetskoe slavianovedenie, 1992, No. 1, pp. 27-29. 3. B.A. Viktorov, Bez grifcl 'sekretno ': Zapiski voennogo prokurora, 1990. 4. A.I. Todorskii, Marshal Ttikhachevskii, 1963. 5. G.S. lsscrson, 'Zapiski sovrcmennika o M.N. Tukhachevskom', Voenno­ istoricheskii zhurnal, 1963, No. 4, p. 66. This article was evidently part of Isserson's larger manuscript for a biography of Tukhachevskii, Sud'ba polkovodtsa. In the glasnost' era, other parts of the manuscript were pub­ lished. See idem, 'Sud'ba polkovodtsa', Druzhba narodov, 1988, No. 5. 6. The introduction was published separately, S.S. Biriuzov, 'Voenno­ tcoreticheskoc naslcdstvo M.N. Tukhachevskogo', Voenno-istoricheskii zhurnal, 1964, No. 2. 7. M.V. Ivanov, Marshal M.N. Ttikhachei'Skii, 2nd ed., 1990, p. 246. 8. RGVA, 7110!170, 17. 9. Letter from Tukhachevskii to Stalin and Voroshilov, 21 January 1932, RGVA, 33987/3/400, 14-29. 10. On the circumstances of Tukhachcvskii's arrest and trial, see D. Volko­ gonov, Triumf i tragediia. Politicheskii portret I. V Stalina, 1990, Kn. 1, ch. 2, pp. 254-279. Tukhachcvskii's ·confessions' have been published, see 'Pokazaniia Marshala Tukhachevskogo', Voenno-istoricheskii zhurnal, 1991, No.8 and 9. 11. B.M. Shaposhnikov, Na Visle, 1924. For a recent summary of the war­ historical debate, see S. Brown, 'Lenin, Stalin and the Failure of the Notes 249

Red Army in the Soviet-Polish War of 1920', Wc;r & Society, VoL 14, No 2 (October 1996). 12. RTsKhiDNI, 74/2/98, 55, Letter from Voroshilov to the Commander of the Bclorussian Military District, A.!. Egorov, 28 December 1928. 13. Pravda, 2! December 1929. The article had been inspected and cor­ rected by Stalin, see Vocnno-istorichcskii arkhiv, VoL I, p. 220-1. 14. Sec, Tukhachevskii's above-mentioned letter to Stalin, RGVA, 33987/ 3!155, 217-220ob. 15. Compare, Tukhachevskii's '0 strategicheskikh vzgliadakh prof. Svcchina' in Protiv reaktsionnykh teorii na voennonauchnom fronte, 1931, pp. 3-16.

APPENDIX 2

I. The original compositiOn of Gosplan's Defence Sector is pieced to­ gether from documents in RGAE, 4372/91!35, 33-30. 2. Sviatlovskii had written about the war-economy of the belligerent states during World War I, Ekonomika l'Oiny, Vocnnyi Vestnik, Moskva 1926. 3. For a list of such persons and their occupation in Gosplan as a whole, see Spisak sotrudnikov Go.1plana, dopushchennykh .1petsotdclom OGPU i podlezlzashchikh zasekrichaniiu na mohrabotu po Scktoru Ohorony, RGAE, 4372/91!546, 3. Sources and Literature

UNPUBLISHED SOURCES

Rossiiskii Gosudarstvennyi Arkhiv Ekonomiki, The Russian State Economy Archives (RGAE)

Gosudarstvcnnaia Planovaia Kommissia (Gosplan), The State Planning Commission, fond 4372. Glavnoe Upravlenic Voennoi Promyshlcnnosti Vysshego Soveta Narodnogo Khoziaistva (GUVP VSNKh), The Main Directorate of the Defence Industry of the Supreme Council of the Economy, fond 7297 Glavnoe Upravlenie Aviatsionnoi Promyshlcnnosti (Glavaviaprom), The Main Directorate of the Aircraft Industry, fond 8328. Narodnyi Kommissariat Finansov (NKFin), The People's Commissariat of Finance, fond 7733.

Rossiiskii Gosudarstvennyi Voennyi Arkhiv, The Russian State Military Archives (RGVA)

Sekretariat Narodnogo Kommissara Voennykh i Morskikh Del, The Sec­ retariat of the People's Commissar for Military and Naval Affairs, fond 33987. Sckretariat Zamcstitclia Narodnogo Kommissara Voennykh i Morskikh Del, The Secretariat of the Deputy People's Commissar for Military and Naval Affairs, fond 33988. Sekrctariat nachal'nika Gencral'nogo shtaba RKKA, The Secretariat of the Chief of the Red Army General Staff, fond 32871. Upravlenie Delami Narodnogo Komissariata Voennykh i Morskikh Del, The Chancellery of the People's Commissariat of Military and Naval Affairs, fond 4. Nachal'nik Shtaba RKKA, The Chief of Staff of the Workers' and Peasants' Red Army, fond 7. Upravlenie Motorizatsii i Mckhanizatsii, The Directorate of Motorisation and Mechanisation, fond 31811. Upravlcnic Voenno-Vozdushnykh Sil, The Air Force Directorate,fond 29. Matcrial'no-Planovoe Upravlcnic General'nogo Shtaba RKKA, The Materiel­ Planning Directorate of the General Staff of the Red Army, fond 40438.

Rossiiskii Tsentr po Khraneniiu i Izucheniiu Dokumentov Noveishei Istorii, The Russian Center for Preservation and Study of Contemporary Documents (RTsKhiDNI)

Politbiuro Tsentralnogo Komiteta Vsesoiuznoi Kommunisticheskoi Partii (Bol'sjevikov), The Political Bureau of the Central Committee of the

250 Sources and Literature 251

All-Union Communist Party (Bolsheviks), Protocols, fond 17, opis' 3 and 162. The Voroshilov files, fond 74, opis' 2. The Ordzhonikidze files, fond 85, opis' 27.

Rossiiskii Gosudarstvennyi Arkhiv Nauki i Tekhnicheskoi Dokumentatsii, The Russian State Archives for Scientific and Technical Documentation, Samara (RGANTD)

Piotr Grokhovskii's files, fond R1, opis' 47-5.

Arkhiv Rossiiskoi Akademii Nauk, The Archives of the Russian Academy of Sciences, Moscow (A RAN)

Voennaia sektsiia pri Kommunisticheskoi Akademii Nauk, The Military Section of the Communist Academy of Sciences, fond 375.

Arkhiv muzeia Zhukovskogo, The Archives of the Zhukovskii Museum, Moscow

Aram Rafaeliant's fond.

Archive Services de I'Armee de Terre, Vincennes (SHAT)

Rapports des attaches militaire, U .R.S.S.

Public Records Office, London (PRO)

Foreign Office, Northern Bureau. The reference system to Russian archives has been adopted for concise­ ness. The references are to fond (collection), opis' (inventory), delo (file) and list (folio). Thus, RGAE 4372/91!65, 12 refers to fond 4372, opis' 91, delo 65, list 12. For a subsequent note, the reference is ibid, I. 44. For Politburo protocols in RTsKhiDNI the last reference is to p{unktj, (issue). RTsKhiDNI, 17/3/764, p. 43 refers to the Political Buro collec­ tion, inventory 3, file 764, issue 43.

PUBLISHED SOURCES

Official publications (Published in Moscow, unless otherwise indicated)

Itogi vypolneniia pervogo piatiletnego plana razvitiia narodnogo khoziaistva Soiuza SSR, 1933 KPSS v resheniakh i rezoliutsiakh s"ezdov, konferentsii i plenwnov TsK, Vols. 3, 4, 1970. Piatiletnii plan razvitiia narodnogo khoziaistva SSSR na 1928!29-/932/33gg., 3 vols, 1929. Tretii piatiletnii plan razvitiia narodnogo khoziaistva 1938-1942gg., 1939 252 Sources and Literature

15-i s "ezd Vsesoiuznoi Kommunisticheskoi Partii (bol'sjevikov ), Stenograficheskii otchet, 1962. 17-i s "ezd Vsesoiuznoi Kommunisticheskoi Partii (bol'sjevikov), Steno­ graficheskii otchet, 1934.

Documentary publications

Dokumenty vneshnei politiki SSSR, Vol. 19, 1974. Pis'ma I.V. Stalina V.M Molotovu, 1925-1936gg. Sbornik dokumentov, 1995. 'Pokazaniia Marshal a Tukhachevskogo', Voenno-istoricheskii zhurnal, 1991, No. 8-9. 'Pokazaniia Tukhachevskogo, M.N. ot I iiuniia 1937 goda', Molodaia gvardiia, 1994, No. 9-10. Stalinskoe Politbiuro v 30-e gody, Seriia 'Dokumenty sovetskoi istorii', ed. by 0. Khlevniuk et al., 1995. Voenno-istoricheskii arkhiv, 1997, Nos. 1-2.

Periodicals

Mekhanizatsiia i motorizatsiia RKKA, Organ UMM RKKA. Voenno-istoricheskii zlwrnal. Voina i revoliutsia. Voina i tekhnika. Voprm,y istorii KPSS. Zapiski Kommunisticheskoi Akademii.

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Dix, Arthur, Voina i narodnoe khoziaistvo po opytu Germanii v mirovuiu voinu, 1926. Dunaievskii, Vl., 'Vreditel'skaia teoriia "permanentnoi ekonomicheskoi mobilizatsii" Svechina', Zapiski Kommunisticheskoi Akademii: Trudy Voennoi sektsii, vol. 4, 1931. Dybenko, P., 'Zadachi promyshlcnnosti po oboronosposobnosti strany', Voina i tekhnika, 1926, No. 8-9. Gordon, Abram S., Sistema plancwykh organov SSSR, 1931. Frunze, Mikhail V., 'Front i tyl v voine budushchego', in Karatygin, Piotr, Obshchie osnovy mobilizatsii promyshlennosti dlia nuzhd voiny, 1925. Kalinovskii, Konstantin B., 'Problema motorizatsii i mekhanizatsii sovremennykh armii', Zapiski Kommunisticheskoi Akademii: Tntdy Voennoi sektsii, vol. 3, 1931. Karatygin, Piotr, 'Voina materialov', Voina i revoliutsiia, kn. 3, 1925. Karatygin, Piotr, Ohshchie osnovy mohilizatsii promyshlennosti dlia nuzhd voiny, 1925. Khmcl'nitskaia, E.L., 'Osnovnye zadachi teorii ekonomiki voiny', Vestnik Kommunisticheskoi Akademii: Trudy Voennoi sektsii, vol. 4, 1931. Khripin, Vasilii V., 'Ekonomicheskaia baza vozdushnoi voiny i razvitie vozdushnykh vooruzhenii', Zapiski Kommunisticheskoi Akademii: Trudy Voennoi sektsii, vol. 2, 1931. Sources and Literature 253

Liddell Hart, Basil H., Novye puti sovremennykh armii, 1930. Ogorodnikov, F., 'Budushchaia voina v voennoi literature imperialisticheskikh gosudarstv', Voina i revoliutsiia, 1931, No. 12. Ogorodnikov, F., 'Mobilizatsiia promyshlennosti', Voina i revoliutsiia, 1931, No. I, 3 and 9. Pilsudskii protiv Tukhachevskogo ( Dva vzgliada na sovetsko-pol'skuiu voinu 1920 gada), 1991. Savitskii, M. Ia., Ekonomika voiny. 1: Ekonomicheskaia haza sovremennykh vain, 1934. Serrigny, Bernard, Razmyshleniia o voennom iskusstve, Leningrad 1924. Shaposhnikov, Boris M., Na Visle, 1924. Stalin, Iosif V., Sochineniia, vols. 9-13, 1952. Sviatlovskii, Evgenii, Ekonomika voiny, 1926. Triandafillov, Vladimir K., Kharakter operatsii sovremennykh annii, 1929. Trotskii, Lev D., Aviatsiia - orudie budushchego, Ekaterinburg, 1923. Trotskii, Lev D., Kak vooruzhalas' revoliutsiia, Kn. 3, 1924. Tukhachevskii, Mikhail N., 'Bor'ba s kontrrevoliutsionnymi vosstaniiami', Voina i revoliutsiia, 1926, No. 6-8. Tukhachevskii, Mikhail N., 'Iskorenenie banditizma·, Revoliwsiia i voina. Nauchnyi voenno-politicheskii zhurnal, 1922, No. 2. Tukhachevskii, Mikhail N., lzhrannye proizvedeniia ( 1928- 1937gg.), 2 vols, 1964. Tukhachevskii, Mikhail N., Novye vopro~y voiny [1932], Vol. 10 of Antologia otechestvennoi voennoi mysli, 1996. Tukhachevskii, Mikhail N., '0 kharaktere sovremennykh voin v svete reshenii VI kongressa Kominterna', Zapiski Kommunisticheskoi Akademii: Trudy Voennoi sektsii, vol. I, 1930. Tukhachevskii, Mikhail N., Voina klassov: Stat'i 1919-1920, 1921. Vishnev, Sergei M., 'Ekonomicheskaia podgotovka k voine za rubezhom', Voina i revoliutsiia, 1928, No.7. Vishnev, Sergei M., 'Organizatsionnye problemy voenno-ekonomicheskoi podgotovki inostrannykh gosudarstv', Zapiski Kommwzisticheskoi Akademii: Trudy Voennoi sektsii, vol. 4, 1931. Vishnev, Sergei M., Mobilizatsiia promyshlennosti v Severo-Amerikanskikh Soedinennykh Shtatakh, 1927. Vishnev, Sergei M., Ekonomicheskaia podgotovka Frantsii k hudushchei voiny, 1928. Volpe, Abram, Sovremennaia voina i rot' ekonomicheskoi podgotovki, 1926. Vopro~y strategii i operativnogo iskusstva v sovetskikh voennykh trudakh 1917- 1940gg, 1965. Voroshilov, Kliment E., Oborona SSSR: !zbrannye stati, rechi i pis 'ma, 1937. Zhigur, Ian, Budushchaia voina i zadachi oborony SSSR, 1928. Zhigur, Ian, Razmakh hudushchei imperialisticheskoi voiny, 1930.

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materialam promyshlennosti Verkhnego Povolzhiia)', kandidat. diss., Iaroslavl, 1995. Kokoshin, Andrei A., Armiia i politika: Sovetskaia voenno-politicheskaia i I'Oenno-strategicheskaia mysl', 1917-1991, 1995. Kolesnikova, Mariia, Nachal'nik razvedki. Po vest', 1976. Komarov, Leonid S., Rossiia tankov ne imela, Cheliabinsk, 1994. Koniukhovskii, V. N., 'Bor'ba Kommunisticheskoi Partii za ukrepleniie Krasnoi Armii v gody mirnogo sotsialisticheskogo stroitel'stva, 1921-1940gg.', dokt. diss., 1958-9. Kornienko, A. A., Kratkii ocherk sovetskoi l'oenno-ekonomiclzeskoi mysli (1917-1945gg.), 1974. Kovalenko, Dmitrii A., Oboronnaia promyshlennost' Sm·etskoi Rossii v 1918- 1920 gg., 1970. Krasil'shchikov, Aleksandr P., 'Letaiushchie tanki', Tekhnika i \'ooruzlzenie, 1992, Nos. 11-12. Krikunov, V.P., 'Kuda delis' tanki?', Voenno-istoriclzeskii zhurnal, 1988, No. II. Krupchenko, 1., 'Razvitie tankovykh voisk v period mezhdu pervoi i vtoroi mirovymi voinami', Voenno-istoricheskii zlzurnal, 1968, No. 5. Kumanev, Georgii A., 'V ogne tiazhelykh ispytanii (iiun' 1941 - noiabr' 1942 g.), lstoriia SSSR, 1991, No. 2 Kumanev, Georgii A., '0 sostoianii oboronnoi gotovnosti SSSR i vnezapnosti fashistskogo napadeniia', Soviet Union/Union Sovietique, 18, No. 1-3 ( 1991 ), 183-95. Latnikov, V. M., Vozniknovenie i razvitie sovetskoi \'oenno-ekonomicheskoi mysli v 20-e gody, 1974. Maiskii, Ivan M., 'V Londone', in Marshal Tukhachenkii: Vospominaniia druzei i soratnikov, 1965, pp. 226-230. Medvedev, Roy A., K sudu istorii: Genezis i posledst1·iia stalinizma. New York 1974. Mel'tiukhov, Mikhail 1., '22 iiuniia 194lg.: Tsifry svidetcl'stvuiut', Oteclzest­ vennaia istoria, 1991, No. 3. Mishanov, Stanislav A., Stroitel'stvo Krasnoi Armii i Flota 1921-iiun' 1941 gg. (Analiz zapadnoi istoriograjii), 1992. Nekrich, Aleksandr, 1941, 22 iiunia, 2nd enl. and rev. ed., 1995. Nesen, G.D., Deiatel'nost' partii po ukrepleniiu oboronosposobnosti SSSR 1· gody 2-i piatiletki, diss., 1977. Nevezhin, Vladimir A., Sindrom nastupatel'noi voiny: Sm·etskaia propaganda v preddverii 'sviashchennykh boev' 1939-1941gg., 1997. Nezhinskii, Leonid N., 'Byla li voennaia ugroza SSSR v kontse 20-kh - nachale 30-kh godov?' lstoriia SSSR, 1990, No. 6. Nikiforov, Nikolai 1., 'Svechin- Tukhachevskii', Geopolitika i bezopasnost', 1994, No.2. Nord, Lidiia, Marshal M.N. Tukhachevskii. Paris 1978. Orlov, Boris, 'Nakanune bol'shogo terrora: Armiia i oppozitsiia', Cahiers du Monde Russe et Sovictique, Vol. 32, 1991, No.3. Otechestvennye voennye reformy XVI-XX l'ekol', ed. by V.A. Zolotarev, 1995. Pesotskii, V.A., 'M.N. Tukhachevskii: Razrabotka kontseptsii voennoi moshchi Sovetskogo gosudarstva', Voennaia mysl', 1991, No.5. 256 Sources and Literature

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Afghanistan 25 Bukharin, Nikolai 34-5, 152-3 Africa 25 Bukshpan, Ia. 17 aircraft 23-4, 26, 29, 30, 31, 44, 48, Bulgaria 25 53, 56, 57-8, 71, 75, 104-5, 144, 155, 164 capitalism First Five Year Plan 79, 84, 89, future war with socialism 10, 95, 96-7, 99, 107, 116-18, 11-12, 15-28, 33, 103-4 120, 122, 125, 127, 134 Caucasus 100, 104 Second Five Year Plan 165-70, chemical weapons 23-4, 28, 31, 176-83 32-3,34,44, 48,57 Third Five Plan xiii, 190-6 First Five Year Plan 86, 89, 93, airforce 36, 53, 54, 55, 58, 79, 84, 97, 122, 125, 127, 144, 146 94, 95, 104-5, 146, 153-4, Second Five Year Plan 148, 149, 156-7, 163, 165, 233n 16~ 16~ 178, 18~ 182 Albania 25 Third Five Year Plan 191 Alksnis, I. I. 134, 153-4 China 25, 34, 35, 36, 72, 128-9 Arab countries 25 Chubar, V. 189 armaments 15, 26, 29-30, 32-4, civil war (1918-20) 1, 7, 10, 14, 15, 36, 40-3, 48-51, 55-8, 67, 68, 20-1, 23-4, 25, 33, 73, 93, 209n, 70, 71 222n, 226n First Five Year Plan 75-6, 84, communications equipment 5, 32, 86, 89, 92, 98, 99, 104, 112, 43, 55, 80, 96-7, 127, 180, 182 118,121-6 Congress of the Communist Second Five Year Plan 144-7, Party 19, 30, 33, 65-6, 112, 164, 167-8, 176-80, 182-3 118 Third Five Year Plan xiii, 190-6 Council of Labour and Defence Asia 72 (KO STO) 38-40, 43, 47-8, see also specific countries 58, 60, 64, 74, 79, 80, 121, 129, Austria 23, 25, 159 140 Crimea 72 Baltic States 25, 35, 54, 74, 105, Czechoslovakia 19, 25, 106, 158 118 see also specific countries Danilov, N. 17 Bashkevich, E. 13 "deep battle' 113, 115, 149-52, Belgium 25, 95, 105, 158, 159 166 Belorussia 72, 135, 139 "deep operations' 123, 149-54, Bernstein-Kogan, S. V. 43 185 Berzin, Yan K. 18, 22, 35, 36, Defence Commission of the Council 72-3, 102, 221 n of People's Commissars Biriuzov, S. 206n (KO) 121-4, 131, 133-4, 135, Black Sea 100, 104 136-7, 146, 168, 169-71 Bogdanov, Piotr 30 defence industries Bogolepov, M. I. 43 cooperation with Germany 31-4

262 Index 263

First Five Year Plan 43-4, defence budget of 79-82 47-50, 64-71, 74-89, 143-7 defence industries and 43-4, mobilisation of 14-28, 38-50, 47-50, 64-71, 74-89 143-7 71, 73, 86-9, 143-7, 165-8, external threat assessments 190-9 and 71-4, 87-9 Politburo resolution on 82-9 military commissions and 77-9 Second Five Year Plan 164-76; military influence on 74-9 current defence orders Politburo and 81-9 1933-7 176-80; defence tanks and 49, 53, 71, 73, 75, 84, production results of 180-3 85, 86, 104-5, 122, 125, 126 Stalin and 39, 64, 82, 87, 137, Tukhachevskii and 67-9, 92-100, 184, 197-8 109, 128 Third Five Year Plan 149, First World War 14-15, 24, 26 184-5, 188-96 France 35, 158, 159 Tukhachevskii and 36-7, 43-8, airforce 156 92-3, 95, 97-8, 112-13, 168 defence industries 14, 15, 16, 17, war plan (1931) 123-6 94-5, 202 Defence Industry People's tanks 144-5 Commissariat (NKOP) 189 threat from 19, 25, 28, 72, 74, defence policy 107, 148-9, 162, 164 integrating in the planning Frunze, Mikhail 10, 13, 29,30-1,37 organisation 42-7, 60-2 Fuller, J. F. C. !50 Politburo and 38-42, 82-9 future war Voroshilov and 38, 39-42, 81, Snitko and 102-8 82, 128-9 Svechin and I 00-2 Denmark 25 Tukhachevskii and 19-28, 67-9, Dobrovol'skii, S. 17 91-2, 100-1, 108, 155-7, 184, Dybenko, P. 15 206-7n war with capitalism 10, 11-12, Eastern Europe 15, 73, 91 15-28, 33, I 03-4 see also specific countries see also external threat Egorov, A. I. 119, 126-7, 132-3, assessment 134, 163, 165-6, 207n, 208n, Future War ( 1928-Red Army 209n Intelligence Directorate) Estonia 25, 27, 104, 105, 106 22-9, 71-2, 92, 103, 150, 20 I, Executive Sessions of the Council of 204 Labour and Defence (RZ STO) 38-9, 42-6, 48, 50, 56, Germany I 0, 23 60, 81, 83, 84, 121, 123-4, 131, airforce 156 132-3 armed workers' militia external threat assessment 71-4, uprising 24-5 87-9, 149-52, 154-61, 176-7 industrial mobilisation 14, 15, see also future war 16-19, 95, 196, 202 military industrial cooperation Finland 25, 54, 104, 105, 106, 155, with Soviet Union 31-4 186 Nazis 2, 149, 154, 159, 162, 163, First Five Year Plan 186, 208n changing military requirements tanks 144-5 and 121-3 threat from 2, 25, 35, 36, 149, 264 Index

Germany - continued Kaganovich, M. 134 150-1, 154, 158-61, 162, 163, Kamenev, Sergei S. 55 186, 187-8, 190, 191, 196, Karatygin, Piotr 15, 17 198-9 Khalepskii, Innokentii 20, 85, 118, GOSPLAN (State Planning 132-3, 173, 207n Commission) 4-5, 12, 17, 19, Khmel'nitskaia, E. L. 91 37, 38, 43, 48, 68, 77-80, 123-4, Khripin, Vladimir 94, 156 201, 212n Khrushchev, Nikita 206n Defence Sector 42, 45-7, 50-2, Kirov, Sergei 33, 136 56, 58, 189, 210-1ln; and Krivitsky, Walter 206n future war 102-8; First Five Kronstadt Mutiny 10, 20 Year Plan 60-2, 64-6, 68-9, Kritsman, Lev 21 77-81, 122, 124-5, 127-8, Krupp Company 32, 151 146-7; Second Five Year Krzhizhanovskii, Gleb M. 19, 64, 65 Plan 135, 169-76; Third Kuibyshev, Valerian 39, 88, 121, Five Year Plan 189 129 'great defence programme' (1931) 129-30 Lagovskii, A. N. 13 'great tank programme' 129-34, Latin America 25 136-41, 143-7, 169-71' 173 Latvia 25, 27, 104, 105, 106, 135, Greece 25 155 Grinko, G. F. 43 League of Nations 10 Grokhovskii, Pavel 153 Lenin, V. I. 31 Groman, Vladimir 21, 37 Lithuania 25, 105, 106 Gul', Roman 21 LoiZeau, General 159 Luther, Hans 32 Hitler, Adolf I, 158, 186, 199 Holland 159 Manchuria 34, 36, 72-3, 87, 102, Hungary 25 128-9, 155, 170 Melikov, Vladimir 209n, 220-1n Iakolev, Nikolai 82, 83 Military Commission 43, 52, 77 India 15 mobilisation Indonesia 25 industrial 14-28, 38-50, 71, 73, industrial mobilisation 14-28, 79, 86-9, 143-7, 165-8, 190-9 38-50, 71, 73, 79, 86-9, 143-7, mobilisation deployment xii-xiii, 165-8, 190-9 4-6, 14, 45-7, 52, 116, 121-9, Isserson, Georgii 55, 56, 57, 58, 132-3, 162-4 59, 206n, 227n mobilisation plans 30, 107, 121-9, Italy 16, 25, 202 132-3, 138, 147, 152-3, 168, 198 Ivanov, Valentin 206n, 220n mobilisation requests 1, 4-6, 40-1, Japan 51-3,57,79-81,83, 115, 122, airforce 156 146-7, 165-70, 184 tanks 145 mobilisation requirements 5. 53, threat from 25, 34, 36, 72-3, 67, 162-4, 184, 185, 190-6 102, 128-9, 135, 149, 155-7, Mobilisation-Planning Directorate 159, 170, 186, 190, 191 (MPU) 43, 67, 78, 211 n Junkers Company 31, 151 Molotov, Viacheslav 31, 82, 97, 114, 121, 134, 137, 139, 174, Kaganovich, Lazar 33, 134, 136 187, 188-9 Index 265

Mongolia 129 People's Commissariat of Defence MV-10 Mobilisation Plan 122-6, Industry (NKOP) 183, 190, 128, 129, 132, 133, 147 192-3 MV-12 Mobilisation Plan 126-9, People's Commissariat of Heavy 132, 133 Industry (NKTP) 136, 139, Munich Agreement (1938) 184 152, 169, 172, 174, 181, 189, 190, 192, 195 naval construction 8, 32, 177-8, Persia 25 180, 182, 184, 192, 193, 194 Pit sudski, Marshal 21, 35, 71 navy 23, 54, 57, 80, 104, 154 Poland 20-1, 35, 36, 156 Nekrich, Alexander II threat from I 0, 22, 24, 25, 26-8, New Economic Policy (NEP) 29, 54, 71-2, 73-4, 100, 101, 104, 51, 70 106, 118, 135, 14'8-9, 155, Nikonov, Anatolyi N. 22-3, 91, 15'8, 159-60, 162, 164, 1'86, 22ln 191, 208n Norway 25 Pugachcv, S. 17 purges '8, 113-14, 185-8, 206n, OGPU (Unified State Political 207n Directorate) 61, 80, 82, 85, 87, 89, 123, 152 railways 5, 30, 73, 92, 93, 96, 116, accuses Tukhachcvskii 113-20 160, 1'80, 182, 186, 190 Operation Barbarossa 160, 195, Red Army 1-2, 5-6, 10-11, 19-24, 196-9 33, 83-4 Ordzhonikidize, Sergo 'deep battle' 113, 115, 149-52, and defence industry 31, 39, 166 97-8, 121, 13~ 139-40, 15~ 'deep operations' 123, 149-54, !57 185 and tanks 118, 136, 170-1, 173 military reform (1924-28) 30-1 during civil war 33, 97 plans for expansion 52-'8, 62, relations with Tukhachcvskii 84-5, 104-5, 11'8 97-8,113-14,118 purges 8, 113-14, 185-8, 206n, 207n Pavlunovskii, I. P. 80, 82, 118, technical restructuring 101, 133-4, 136, 152, 173 121-2, 14'8-54 peasant upnsmgs I 0, 20 Tukhachcvskii's grand vision of People's Commissariat for Military rearmament 92-100, 107, and Naval Affairs 112-13, 115-20 (NKYM) 45, 55 see also mobilisation and annual economic defence reign of terror 8, 185-8, 206n, 207n plan 52 Revolutionary Military Council and defence industry plans (RVS) 17-18,39,47,54, 60, 68-70, 7'8, 89, 98 64, 82, 112-13, 115, 116, 117, budget for 1932 127 118,129-30,134,166,173 five-year plan for military Rezun, Vladimir 198 orders 47 Romania, threat from 22, 24, 25, GOSPLAN and 65, 69 27-8, 54, 72, 74, 100, I 04, I 06, mobilisation requests 57, 79-81, 118, 135, 148-9, 162, 164 83, 122, 146-7 Rourke, Raymond 21 tanks and 132-3, 172 Rukhimovich, M. L. 82, '83 266 Index

Russia 14-16, 19-20, 24, 25, 33-4, and defence industry 39, 64, 82, 35, 54, 73, 100, 159, 165 87, 137, 184, 197-8 Rykov, Aleksei 31, 33, 38, 39, 50, 6 7 and tank production 118, 133-4, 137, 173 Savushkin, Robert 150, 196-7 defence policy 11, 38, 64, 118, Scandinavia I 05 121, 128-9, 135 Schneider, James 16 in civil war 7, 33 Second Five Year Plan ( 1933-7) purges 8, 187, 206n current defence orders relations with Tukhachevskii 1933-7 176-80 20-1, 55, 59, 90, 91, 97, 100, defence industries and 164-83 108-20, 141-3, 207-Sn defence production results 'revolution from above' 1929-30 34 of 180-3 ·socialism in one country' 11, 33, external threat assessments 103 and 149-52, 154-61, 176-7 war with Germany 158, 198 industrial basis for modern Streseman, Gustaf 32 warfare 164-5 Strumilin, S. G. 43 military basis for 148-9 Supreme Council of the Economy military mobilisation requests (VSNKh) 30-1, 33, 38-44, of 1933 165-8 47-50, 60, 66, 67, 77, 80, 82, 83, planning procedure 168-76 87, 88-9, 118, 136-7, 211n tanks and 163-8, 171-3, 176-80, Svechin, Alexander 13-14, 28, 182-3 60-1, 91, 93, 100-2 Seeckt, General von 32 Sweden 25, 104, I 05 Shchadenko, E. A. 187 Switzerland 25 'Shakhty Trials' (1928) 85, 89 Shaposhnikov, Boris 28, 54, 80, 93, Tanaka memorandum 36 97 tanks 23-4, 26, 34 and showtrials 187 cooperation with Germany to and Tukhachevskii's proposals modernise 31-2 98-102, 108-9, 113, 114-15, First Five-Year Plan 49, 53, 71, 118, 119,207n 73, 75, 84, 85, 86, 104-5, 122, war plan 101, 107 125, 126 'show trials' 89, 187, 206n 'great tank programme' 129-34, Siberia 128, 148, 149, 164-5, 190, 136-41, 143-7, 169-71, 173 195 new military mechanised Siemens Company 32 formations 134-6 Snitko, Nikolai 92, 102-8, 127-8, Second Five-Year Plan 163-8, 202 171-3, 176-80, 182-3 socialism Stalin and 118, 133-4, 137, 173 future war with capitalism 10, Third Five-Year Plan xiii, 190-6 11-12, 15-28,33, 103-4 Tukhachevskii and 55, 57, 58, Soviet-German agreement 93, 95-6, 98, 99, 108, 110, ( 1926) 32-3 Ill, 112, 115-16, 119-20, Soviet-Polish war (1920) 10, 20-1, 132-3, 135-40, 153, 155 208-9n, 220-1n, 226n Telefunken Company 32 Spain 25, 168 Third Five-Year Plan Spanish Civil War 168 defence industries 149, 184-5, Stalin, Joseph 188-96 Index 267

long-term projects in military­ 97-8, 100, 108-13, 114, 115, industrial planning 18S-96 117, 118, 204, 207n, 20S-9n tanks and xiii, 190-6 war plans 6-7, 19-24, 28, 97 Todorskii, A. I. 206n Turkey 25 Tolokontsev, A. F. 39, 82 Transcaucasus 100 Uborevich, Ieronim 54, 67, 112, transport 18, 23, 43, 80, 97, 98, 118, 155-7, 159-60, 207n, 209n 123, 127 Ukraine 72, 74, 100, 135, 139 Triandafillov, Vladimir K. 20, 28, United Kingdom 22, 25, 2S, 35, 43, S2, 91, 93, 101, 102, 103, 119, 54,74,94-5,144-5,156,158,159 207n,209n, 228n United States of America 16, 25, Trotsky, Leon 11, 29-31, 37, 119, 129, 144-5, 14S, 156, 166, 113-14, 222n 202, 203 Tukhachevskii, Mikhail Nikolaevich Unshlikht, Iosif 32-3, 37, 39-40, accused by OGPU 113-20 73, 74, SO, 152 and defence industries 36-7, Urals 128, 165 43-S, 92-3, 95, 97-S, 112-13, Uryvaev, M. G. S2 168 Viktorov, B. 206n and First Five-Year Plan 67-9, Vishnev, Sergei 16 92-100, 109, 12S Vladimirskii, Mikhail 50, 52, 64 and Germany 158-61 Volpe, Abram 15, 17 and scientific research 152-4 Voroshilov, K. E. and tanks 55, 57, 58, 93, 95-6, and defence industries 3S-42, 98,99, 108,110, Ill, 112, S1-3, 12S-9, 134, 137 115-16, 119-20, 132-3, and First Five-Year Plan 7, 135-40, 153, 155 64-7, 70-1, 73, 79, SS, 121-2 arrest and execution 19, 186-7, and purges 187, 206n 206n and tanks 141-3, 144-6, 170-1 career 19-21, 54-9, 90-2, 103, relations with Tukhachevskii 21, 110-11 37, 52,55, 56, 57,58-9,62, 'deep operations' 149-54 91, 97-8, 100, 108-13, 114, future war 19-2S, 67-9, 91-2, 115, 117, 118, 204, 207n, 100-1, 108, 155-7, 184, 20S-9n 206-7n grand vision of rearmament War Communist System 92-100, 107, 112-13, 115-20 (1918-21) 17-18,29 Shaposhnikov and 98-102, war-economic preparedness 4-6, 108-9,113,114-15, liS, 119, 19, 21-2, 43-7, 184-5, 189, 207n 196-205 Stalin and 108-20 war plans 1-6, 101, 107, 123-9 Voroshilov and 108-13, 114, Tukhachevskii and 6-7, 19-24, 115, 117, 118, 204 28, 97 plans for Red Army 'war scare' ( 1927) 34-6, 44, 203 expansion 53-4, 55-S, 62 relations with Stalin 20-1, 55, Zeiss Company 32 59, 90, 91, 97, 100, 108-20, Zhigur, Ian 22, 28, 91, ISS, 207n 141-3, 207-Sn Zhukov, Marshal Georgii 103, relations with Voroshilov 21, 37, 169, 1S7, 198, 207n 52, 55, 56, 57, 5S-9, 62, 91, Zvezdin, Z. 77