The Bolshevil{s and the Chinese Revolution 1919-1927 Chinese Worlds Chinese Worlds publishes high-quality scholarship, research monographs, and source collections on Chinese history and society from 1900 into the next century. "Worlds" signals the ethnic, cultural, and political multiformity and regional diversity of China, the cycles of unity and division through which China's modern history has passed, and recent research trends toward regional studies and local issues. It also signals that Chineseness is not contained within territorial borders ­ overseas Chinese communities in all countries and regions are also "Chinese worlds". The editors see them as part of a political, economic, social, and cultural continuum that spans the Chinese mainland, Taiwan, Hong Kong, Macau, South­ East Asia, and the world. The focus of Chinese Worlds is on modern politics and society and history. It includes both history in its broader sweep and specialist monographs on Chinese politics, anthropology, political economy, sociology, education, and the social­ science aspects of culture and religions. The Literary Field of New Fourth Artny Twentieth-Century China Communist Resistance along the Edited by Michel Hockx Yangtze and the Huai, 1938-1941 Gregor Benton Chinese Business in Malaysia Accumulation, Ascendance, A Road is Made Accommodation Communism in Shanghai 1920-1927 Edmund Terence Gomez Steve Smith Internal and International Migration The Bolsheviks and the Chinese Chinese Perspectives Revolution 1919-1927 Edited by Frank N Pieke and Hein Mallee Alexander Pantsov Village Inc. Chinatown, Europe Chinese Rural Society in the 1990s Identity of the European Chinese Edited by Flemming Christiansen and Towards the Beginning of the Zhang Junzuo Twenty-First Century Flemming Christiansen Chen Duxiu's Last Articles and Letters, 1937-1942 Birth Control in China Edited and translated by Gregor Benton 1949-1999 Population Policy and Demographic Encyclopedia ofthe Chinese Overseas Development Edited by Lynn Pan Thomas Scharping The Bolshevil\s and the Chinese Revolution 1919-1927 Alexander Pantsov UNIVERSITY OF HAWAI'I PRESS HONOLULU For Katya, Nina, and Dasha © 2000 Alexander Pantsov Published in North America by University of Hawai'i Press 2840 Kolowalu Street Honolulu, Hawai'i 96822 First published in the United Kingdom by Curzon Press Richmond, Surrey England Printed in Great Britain Library of Congress Cataloging-in-Publication Data Pantsov, Alexander, 1955- The Bolsheviks and the Chinese revolution 1919-1927 / Alexander Pantsov. p. em. - (Chinese Worlds) Originally published: Richmond, Surrey, England: Curzon Press, 2000. Includes bibliographical references and index. ISBN 0-8248-2319-2 (cloth: alk. paper). - ISBN 0-8248-2327-3 (pbk. : alk. paper) 1. Communism-China-History. 2. China-History-Warlord period, 1916-1928.3. Trotsky, Leon, 1879-1940.4. Stalin, Joseph, 1879-1953. 5. Communism-Soviet Union-History. I. Title. II. Series. HX418.P362000 951.04'I-dc21 99-049835 Contents Acknowledgements VB Abbreviations X Introduction Part I Russian COIIlIIlunisIIl and the Ideological Foundations ofthe Chinese COIIlIIlunist MoveIIlent 9 I Communism in Russia as a Socio-cultural Phenomenon 11 2 The Theory of Permanent Revolution in China 23 Part II Lenin and the National Revolution of China 39 3 Lenin's Concept of the United Front 41 4 New Course of the CCP: From Permanent Revolution to the Tactics of Collaboration 53 Part III Stalin's Shift in the COIIlintern's China Policy 71 5 The Birth of Stalinism 73 6 The Genesis of Stalin's China Policy 84 Part IV Trotsky's Views on China in Flux 99 7 Trotsky and the Formation of the United Front in China 101 8 The Rise of the Russian Left Opposition and the Chinese Question: In Search of a United Platform 110 Part V Trotsky vs. Stalin: The China Factor in 1927 125 9 The Stalinists and the Opposition at the Apex of the Chinese Revolution 127 v The Bolsheviks and the Chinese Revolution _ 10 The Fall of the Opposition and the Evolution of Stalin's and Trotsky's Views on China 152 Part VI The Stalin-Trotsky Split on China and the Chinese Communists 161 11 Chinese Revolutionaries: From Moscow Students to Dissidents 163 12 The Tragedy of the Chinese Trotskyists in Soviet Russia 189 Conclusion 209 Notes 215 Bibliography 258 Primary Sources 258 Secondary Sources 270 Selected Biographical List 279 Index 301 VI Acl\nowledgements This work was made possible by financial support from the Chiang Ching­ kuo Foundation for International Scholarly Exchange (Taipei, Taiwan), to which I express my deep gratitude. In addition to the Foundation, I would like to thank the Kennan Institute for Advanced Russian Studies (USA) and the British Academy, from whom I received short-term grants in 1991 and 1992. This study was originally written in Russian in 1993 when I was working in the Moscow Institute of Comparative Political Science at the Russian Academy of Sciences, but due to some peculiar circumstances it has not been published in Russia. I am indebted to a group of my closest colleagues and friends from the United Kingdom and the USA who made it possible for my book to appear in English. Their contribution to my translation, editing and polishing the manuscript are invaluable. My sincere thanks go to Professor Emeritus Morris Slavin ofYoungstown State University; Professor Gregor Benton of the University of Leeds; Professor Steven Levine of the University of Montana; Professor Woodford McClellan of the University of Virginia, Charlottesville; Professor William Pelz of Elgin Community College; Professor Donald Raleigh of the University of North Carolina at Chapel Hill; Mr. Eric Schuster of DePaul University; Mr. George Shriver; and Mr. John Sexton of the Reuter Agency. My study required extensive exploration in quite a number of archives and libraries in several countries. I am grateful to all the people who helped me in my research in Russia, the United States, the People's Republic of China, the United Kingdom, France, and Taiwan. Special appreciation is due to Dr. Alexander Chechevishnikov ofMoscow State University and Dr. Konstantin Sheveliev of the Institute of Far Eastern Studies at the Russian Academy of Sciences; Professor Zhao Mingyi of Shandong University and Dr. Mi Zhenbo of Nankai University; Professor Emeritus Pierre Broue of Institute Leon Trotsky; Professor Emeritus Morris Slavin and his wife Sophie; Professor Woodford McClellan and his wife Irina; Mr. John Sexton and his wife Jane; Mrs. Dora Benton; Professor Gregor Benton; Professor William Pelz; Rev. Thomas Croak, C.M. of DePaul University; Professors VII The Bolsheviks and the Chinese Revolution _ Ch'en San-ching, Ch'en Yung-fa and Dr. Yu Miin-ling of the Institute of Modern History, Academia Sinica, Taiwan; Mrs. Zeya Krasko and her husband Gennadii; and Mrs. Svetlana Sheinina and her husband Dmitrii. I have profited from my personal contacts with those who witnessed and encountered the events which are being described in this book. I will always gratefully remember Mr. Wang Fanxi, Mrs. Nadezhda Adolfovna Joffe, Mrs. Tatyana Invarovna Smilga, Mr. Ivan Yakovlevich Vrachev. Professors Gregor Benton, Pierre Brow~, Morris Slavin, William Pelz, and Woodford McClellan, as well as Mr. Wang Fanxi, Dr. Wang Danzhi (son of CCP activists Wang Ming and Meng Qingshu), Dr. Yuri Felshtinsky, Mrs. Rozaliya Ephraimovna Belenkaya (daughter of Russian repressed Trotsky­ ist Ephraim Moiseevich Landau), and Mrs. Lin Yin (granddaughter of the Chinese Trotskyist Fan Wenhui), were particularly generous in lending and giving me unique materials from their private archives and libraries. I am also grateful to Mr. Nikolai Semenovich Kardashiev, son of the ECCI official Simon Karlovich Brike. I also deeply appreciate the friendly attitude to my work expressed by fellows of the Russian Center for the Preservation and Study of the Records of Modern History and the Archives of the Russian Academy of vi Sciences. In particular, I would like to thank Drs. Kirill Anderson and Valery Shepeliev, as well as Svetlana Rozental, Larisa Rogovaya, Ludmila Kosheleva, Liudmila Karlova, and Yuri Tutochkin. I wish, further, to thank Director Richard Wendorf and the staff of the Houghton Library at Harvard University, and the staff of the Bureau of Investigation, Taipei, Taiwan for their generous assistance. I must also mention my teachers of Chinese history and politics at the Institute ofAsian and African Studies at Moscow State University and the Institute of Comparative Political Science at Russian Academy of Sciences to whom I will never be able to fully repay my debts, notably the late Professor Mikhail F. Yuriev and Professor Vilia G. Gelbras. A number of colleagues read sections of the manuscript and were charitable in making very helpful comments. Among them I am particularly grateful to Academician Boris Koval of the Russian Association of Political Science, Dr. Elena Belozerova of the Institute of Comparative Political Science at the Russian Academy of Sciences, Professor Lev Delyusin of the Institute of World Politics and Economy at the Russian Academy of Sciences, Professor Fridrikh Firsov, Professor Arlen Meliksetov of the Institute of African and Asian Studies at Moscow State University, Professor Moisei Persits, Professor Alexander Grigoriev of the Institute of Far Eastern Studies at the Russian Academy of Sciences, and Professor Georgii Cherniavsky. The technical contribution of Professor Alexei Maslov of the Institute of Far Eastern Studies at the Russian Academy of Sciences and Mr. Daniel