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Death to Spies: the Story of Smersh (Soviet Military Counterintelligence During World War Ii)

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Death to Spies: the Story of Smersh (Soviet Military Counterintelligence During World War Ii) INFORMATION TO USERS This reproduction was made from a copy of a document sent to us for microfilming. While the most advanced technology has been used to photograph and reproduce this document, the quality of the reproduction is heavily dependent upon the quality of the material submitted. The following explanation of techniques is provided to help clarify markings or notations which may appear on this reproduction. 1.The sign or “target” for pages apparently lacking from the document photographed is “Missing Page(s)”. If it was possible to obtain the missing page(s) or section, they are spliced into the film along with adjacent pages. This may have necessitated cutting through an image and duplicating adjacent pages to assure complete continuity. 2. 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These prints are available upon request from the Dissertations Customer Services Department. 5. Some pages in any document may have indistinct print. In all cases the best available copy has been filmed. UniversiW M ici^ilm s International aOON.Zeeb Road Ann Arbor, Ml 48106 1324638 STEPHAN, ROBERT WILLIAM DEATH TO SPIES: THE STORY OF SMERSH (SOVIET MILITARY COUNTERINTELLIGENCE DURING WORLD WAR II) THE AMERICAN UNIVERSITY M.A. 1984 University Microfiims internetionei300 N. Zeeb Road, Ann Arbor, MI 48106 Copyright igew by STEPHAN, ROBERT WILLIAM Ail Rights Reserved PLEASE NOTE: In all cases this material has been filmed in the best possible way from the available copy. Problems encountered with this document have been identified here with a check mark V 1. Glossy photographs or pages. 2. Colored illustrations, paper or_____ print 3. Photographs with dark background_____ 4. Illustrations are poor copy______ 5. Pages with black marks, not original copy. 6. Print shows through as there is text on both sides of page 7. Indistinct, broken or small print on several pages 8. Print exceeds margin requirements_____ 9. Tightly bound copy with print lost______ in spine 10. Computer printout pages with indistinct print. 11. Page(s)____________ lacking when material received, and not available from school or author. 12. Page(s)____________ seem to be missing in numbering only as text follows. 13. Two pages numbered____________ . Text follows. 14. Curling and wrinkled pages______ 15. Other ______________________________________________ __________ University Microfilms International DEATH TO SPIES: THE STORY OF SMERSH (SOVIET MILITARY COUNTERINTELLIGENCE DURING WORLD WAR II) by Robert W. Stephan submitted to the Faculty of the College of Public and International Affairs of The American University in Partial Fulfillment of The Requirements for the Degree of Master of Arts in International Affairs Signatures of Committee: Chairman : Dean .of ege . 19/ 1984 The American University Washington, D.C. 20016 n c m»im i3 H i v s s s m © COPYRIGHT BY ROBERT W. STEPHAN 1984 ALL RIGHTS RESERVED DEATH TO SPIES: THE STORY OF SMERSH (SOVIET MILITARY COUNTERINTELLIGENCE DURING WORLD WAR II) by Robert W. Stephan ABSTRACT The purpose of this study is to analyze the role, function, organization, and operations of the Soviet mili­ tary counterintelligence organization during World War II, nicknamed by Stalin Smersh, short for Smert' Shpionam, or "Death to Spies." The study places Soviet military coun­ terintelligence in a historical context, and shows how Smersh evolved into an instrument of political repression, as well as a genuine counterintelligence organization. Recently declassified U.S. government documents, captured German records, and Soviet primary sources were used in or­ der to analyze the operations, functions, and organization of Smersh. These documents show that the character of Smersh is "independent of war and peace" and that its func­ tion of ensuring the loyalty of the Soviet Armed Forces is inseparable from its conduct of traditional counterintelli­ gence operations. Although Smersh was abolished in 1946, its functions are still carried out by the present-day KGB. 11 PREFACE This study analyzes the role, operations, organization and functions of Soviet military counter­ intelligence during World War II. The study places Soviet military counterintelligence in a historical context in order to show the evolution of political security and counterintelligence operations within both the Russian and Soviet Armed Forces. The Library of Congress transliter­ ation system for rendering Russian words into the Roman alphabet has been used throughout this paper. I would like to take the opportunity to thank Dr. F . Jackson Piotrow of the American University, Dr. John Dziak, Adjunct Professor, George Washington University; Dr. Amy Knight of the Library of Congress; Raymond Rocca of Falls Church, Virginia; Tim Mulligan, Elly Melemed, George Wagner, and John Taylor of the National Archives; William Baxter, L t . Colonel, USA (ret); and Major John Markowicz, United States Army. Without their help this thesis could not have been written. Ill TABLE OF CONTENTS ABSTRACT.................................................. i i PREFACE..................................................... iii LIST OF ILLUSTRATIONS..................................... vi Chapter I. INTRODUCTION................................... 1 II. FORERUNNERS OF SMERSH........................ 10 Military Counterintelligence Under the Tsars............................... 10 Military Counterintelligence Under the VeCheka, GPU and OGPU............ 34 Military Counterintelligence Prior to 1941................................. 48 III. ORGANIZATIONAL CHANGES WITHIN SOVIET MILITARY COUNTERINTELLIGENCE 1941-1943................................. 53 IV. SOVIET MILITARY COUNTERINTELLIGENCE AT WAR 1941-1945 (00/NKVD and GUKR-NKO-Smer sh )......................... 60 Reasons for Establishment of Smersh............................... 61 Organization of Smersh.................. 71 Size of Smersh........................... 84 Functions of Smersh...................... 86 Recruitment, Training and Rank Structure of Smersh Staff Officers................. 94 V. SMERSH OPERATIONS......................... ... 107 Counterespionage Operations............. 107 Interrogation of Foreign Agents........ 117 The Informant System..................... 121 Rear Area Security Operations and Combatting Desertion.............. 127 Reporting................................. 136 The Search for Hitler's Body........... 139 IV VI. DISSOLUTION OF SMERSH......................... 144 VII. THE PRESENT-DAY THIRD CHIEF DIRECTORATE OF THE KGB.................. 153 VIII. CONCLUSION................................. 166 APPENDICES A. Basic Evolution of Tsarist Security Organizations.................. 175 B. Basic Evolution of Soviet Security Organs.......................... 177 C. Chiefs of Soviet State Security Organs..................................... 178 D. Basic Evolution of Russian and Soviet Military Counterintelligence.... 180 E. List of Abbreviations and Foreign Terms........................ 183 SELECTED BIBLIOGRAPHY..................................... 187 LIST OF ILLUSTRATIONS 1. Organization of GUKR-NKO-Smer sh................. 76 2. Organization of Smersh at Front................. 77 3. Organization of A Rear-Area Security Regiment.. 80 4. Organization of Smersh at Division.............. 82 VI CHAPTER I INTRODUCTION We look upon the Soviet government as if it were any other government— but it isn't, because it is essentially a counterintelligence apparatus. It was conceived in 1903 by Lenin as an opera­ tion in counterintelligence against the Czarist regime, and it has remained a conspiracy ever since . the government is there. It's a front, it performs certain functions. But, when a major change takes place, it is within the context of the intelligence apparatus which is identical with the Communist Party. Issac Don Levine, May 23, 1960 The character of Smersh is independent of war and peace. U.S. Army Counterintelligence Corps Report, March 24, 1947 The purpose of this study is to analyze the role, organization, and functions of Soviet military counter­ intelligence during World War II. The organization was given the name Smersh, a shortened version of the Russian Smert' Shpionam, or Death to Spies, by Stalin in April 1943. In order to understand how Smersh evolved into an instrument of political repression, as well as a genuine military counterintelligence service, this study will in­ clude chapters on the role of military counterintelligence under the tsars and the role of Soviet military counter- 2 intelligence before and after World War II. Information on the operations, functions, organization,
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