Stalin

On the afternoon of September 26, Stalin and Voroshilov spoke on the phone to discuss military shipments to Spain; they noted that no Soviet trademarks should be discernible on the tanks.¹⁹¹ Stalin also directed Voroshilov to read out the Sochi phonegram about Yagoda’s dismissal to Yagoda at a Council of People’s Commissars meeting. The commander of the Moscow military district and other officers accompanied Yagoda to Lubyanka to turn over his portfolio.¹⁹² That day, Stalin dictated a second note for Yagoda, which the bodyguard Vlasik read to him over the phone, informing him of his transfer to the commissariat of communications: “It is a defense-oriented commissariat. I have no doubt you will be able to put this commissariat back on its feet. I urge you to agree”—as if Yagoda could decline.¹⁹³ The symbolism was ominous: Yagoda would be replacing Rykov, the disgraced rightist with whom his own name had been linked. Yagoda evidently hurtled to Sochi, where Pauker, the NKVD bodyguard directorate head, blocked his suddenly former boss from Stalin’s compound.¹⁹⁴ Meanwhile, on September 27, Yagoda’s photograph as the new people’s commissar for communications appeared alongside Yezhov’s in all the newspapers.

Yagoda would spend the next two months on sick leave; he did not make a run for it or try to organize an “accident” to eliminate Yezhov (let alone Stalin).

This was the first removal of an NKVD chief (Dzierżyński and Mężyński had died in office). “This wonderful, wise decision of our parent was ripe,” Kaganovich wrote to Orjonikidze of the appointment of his former party underling. “Things will likely go well with Yezhov at the helm.”¹⁹⁵ The middle and lower NKVD ranks also saluted the changeover, and not only from a careerist perspective: many perceived that Yezhov would restore Chekist professionalism (which speaks to their illusions). “The majority of old Chekists were convinced that with the coming to the NKVD of Yezhov we would at last return to the traditions of Dzierżyński, overcome the unhealthy atmosphere and the careerist, degenerating, and fabricating tendencies introduced in the organs during the last years of Yagoda,” one operative recalled. “We thought that now the firm and reliable hand of the Central Committee would rein in the organs.”¹⁹⁶ Yezhov moved into his new office at Lubyanka, 2, on September 29, 1936, and that very day Stalin approved a politburo resolution, drafted by his new NKVD chief, “On the Attitude Toward Counter-Revolutionary Trotskyite-Zinovievite Elements,” which designated the latter as “foreign agents, spies, subversives, and wreckers on behalf of the foreign bourgeoisie in Europe.”¹⁹⁷

ARMING SPAIN, EYEING NAZI GERMANY

Soviet cargo traveled to Spain via the Black Sea, Bosporus, and Mediterranean, or, in a few instances, the Baltic and North seas, in disguised ships, with sailors wearing the tropical clothing of South Asia or the leisure wear of British cruise lines.¹⁹⁸ Spanish ports were blockaded, and ships were being attacked by the Nationalists; the undersized Soviet navy would be challenged.¹⁹⁹ Still, not a single ship with Soviet arms for Spain would be lost. On October 4, 1936, the first Soviet-supplied but not Soviet-manufactured war matériel secretly arrived at Cartagena: 150 light machine guns, 240 grenade throwers, 100,000 grenades, 20,000 rifles, 16.5 million bullets. Some of these arms turned out to be Great War relics. The rifles were from at least eight different countries of origin (Canada to Japan), of ten different types with six different calibers, making maintenance with spare parts difficult. Some of the best weaponry arrived in insufficient quantities (a mere six excellent Vickers light howitzers, with 6,000 shells). Still, overall the value for the weapons-starved Republic was substantial.²⁰⁰ Three days later, the Soviet Union formally demanded an end to German, Italian, and Portuguese violations of the Non-Intervention Agreement or else the USSR would consider itself not bound by it.²⁰¹

On October 11, Kaganovich sent Stalin a phonegram reminding him that “we have not communicated anything to Largo Caballero about our [weapons] shipments. We think we should have Gorev inform Largo Caballero officially, but conspiratorially, about the aid . . . that has already arrived, in detail, and when ships arrive in future.” Stalin agreed.²⁰²

The next day, 50 Soviet-made light tanks and 51 “volunteer” tank specialists arrived at Cartagena—and the Spaniards raised their fists and shouted hurrah.²⁰³ “It erupted to the point of mass hysteria from joy,” wrote Gorev, the Soviet military attaché, in a report that reached Stalin via Voroshilov. “You needed to see it to feel it. Despite the fact that we were ready and are generally calm people, this affected even my subordinates. The euphoria was just exceptional.”²⁰⁴ The T-26B1 tanks, a heavier copy of the British Vickers six-ton model, updated with a Soviet turret and 45-millimeter dual-purpose gun, as well as the Polikarpov I-15 and I-16 aircraft, were of the highest international standards.²⁰⁵ Three days later, fast Soviet Tupolev SB-2 bombers, which had only just gone into full production in early 1936 and were among the most powerful in their class in the world, arrived.²⁰⁶ In the face of such hardware, it was easy to forget that the Soviet Union was in many ways still a poor country: as of October 1936, more than 33,000 young commanders beyond their tours of duty lacked apartments.²⁰⁷

The Soviets were keen to observe German and Italian weaponry in action, and to test their own in battle conditions. Nonetheless, Voroshilov would write privately to Stalin about the “pain” of parting with up-to-date Soviet aircraft, even at world market prices.²⁰⁸

The Spanish Republic had essentially no armaments industry, and even with Soviet production assistance it would need quite some time to produce its own tanks, armored vehicles, or planes.²⁰⁹ Soviet advisers were especially aghast that anarchist-controlled factories produced not the most necessary military items but the most profitable.²¹⁰ A lack of Spanish government unity frustrated Soviets in-country. “There is no unified security service, since the [Republic] government does not consider this to be very moral,” the NKVD liaison bureau in Spain reported (October 15, 1936). “Each [political] party has therefore created its own security apparatus. In the present government, there are many former policemen with pro-fascist sentiments. Our help is accepted politely, but the vital work that is necessary for the country’s security is sabotaged.”²¹¹ Dimitrov and the Italian Communist Palmiro Togliatti were pushing for “an antifascist state” and a “new kind of democracy,” which implied a pathway for transition to socialism in the Soviet sense.²¹² But Stalin opposed even backdoor Sovietization.

In an open letter to Largo Caballero (also October 15) published in Soviet and Spanish newspapers, Stalin boasted of Soviet aid that “the workers of the USSR are doing no more than their duty in giving the help they are able to give to the Spanish revolutionary masses.”²¹³ But he paid close attention to the economic costs. The Soviets had recently been informed about the Spanish gold. The Republic’s finance minister, Juan Negrín, negotiated with Ambassador Rosenberg to hand off a large part of the gold reserves stashed in Cartagena for current and future payments. Rosenberg reported (October 15) that the matter had been agreed upon in principle.²¹⁴ In strictest secrecy, with Negrín on-site, the NKVD’s English-speaking Orlov, posing as a representative of the U.S. Federal Reserve, oversaw the transfer from the caves, evidently enlisting the Soviet tankists who had arrived a few days earlier. On October 25, the same day Stalin was back in Moscow, they loaded 510 metric tons—around 7,800 crates, each weighing 145 pounds—collectively valued at $518 million, onto four ships bound for Odessa.²¹⁵

Litvinov, for his part, lamented to Rosenberg that “the Spanish question has ruined our relations with England and France and sowed doubts in Bucharest and even Prague.”²¹⁶ But Stalin would not be cowed: on October 23, the Soviet Union—without relinquishing membership in the Non-Intervention Committee—announced that because of others’ violations, it was not bound by the Non-Intervention Agreement.²¹⁷ The French were incredulous. “Stalin has no ideals,” complained the secretary general of the French foreign ministry to the British.²¹⁸ For Stalin, of course, everything was the other way around: the inactions of France and Britain, in the face of blatant Italian fascist and Nazi German violations, had soured him on the Western powers.²¹⁹

That October of 1936, the German ambassador, Schulenburg, returned from summer leave—and encountered extraordinary warmth, from the Soviet border to the capital, “as if nothing whatsoever had happened.” He informed Berlin that Krestinsky was “extremely friendly and did not refer to events at Nuremberg at all.”²²⁰ Stalin’s shopping list for Germany included armored plating, aircraft catapults, underwater listening devices, and warships (costing 200 million reichsmarks), for which the Soviets were offering to pay largely in manganese and chromium ores on the basis of world prices, according to a German memo (October 19).²²¹ On October 20, Hitler bestowed plenipotentiary powers on Hermann Göring to implement the Four-Year Plan by prioritizing weapons production, tightening state controls on exports, and achieving self-sufficiency in essential raw materials, all to reduce imports (costing scarce hard currency) and the impact of a possible blockade. Soviet trade officials were hopeful, as Göring appeared poised to assume a direct role in bilateral trade.²²²

HAPPY BIRTHDAY, SERGO

Orjonikidze’s poor health was deteriorating further, and his autumn rest away from Moscow was proving relentlessly stressful, thanks to Stalin. Whereas a mere 11 of the 823 highest officials of the heavy industry commissariat who belonged to the nomenklatura (those officials who could not be removed without Central Committtee approval) had been fired during the party card verification campaign of spring–summer 1936—with just 9 of them suffering arrest—during the last four months of 1936, 44 senior officials would be fired, 37 of whom would lose their party cards and, with three exceptions, be arrested.²²³ In October 1936, Stalin had Orjonikidze’s elder brother Papuliya arrested, a first for a relative of a sitting politburo member. Orjonikidze demanded to see his brother, but Lavrenti Beria, the policeman turned party boss in Georgia, where Papuliya worked, said he could allow that only after concluding the investigation.²²⁴ Orjonikidze understood that it was not Beria but Stalin who was behind the incarceration.²²⁵ On October 8, Stalin had Kaganovich’s deputy Yakov Livshits removed as deputy commissar of railways and, six days later, arrested.²²⁶

On October 24, the country effusively celebrated “Comrade Sergo’s” fiftieth birthday in a Union-wide extravaganza. But the industry commissar did not attend the gala, staged near his holiday dacha in Kislovodsk. (His wife went on his behalf.)²²⁷ Stalin ordered the arrests of Orjonikidze’s former Caucasus associates Stepan Vardanyan, now party boss in Taganrog and the former leader of reconquered Bolshevik Georgia, and Levan Gogoberidze, party secretary at a factory in the Azov–Black Sea territory and a former party boss of Georgia.²²⁸ Happy birthday, Sergo.

How far Stalin would go remained to be seen. On October 25—after two and a half months away—he returned to Moscow to discover an inquiry from the Associated Press in Moscow about rumors that he was ill or perhaps dead. Normally very touchy about discussions of his health, that very day he responded playfully. “As far as I know from the foreign press, I long ago left this sinful world and moved on to the next,” Stalin wrote to the correspondent. “As it is impossible not to trust the foreign press, if one does not want to be crossed out of the list of civilized people, I ask you to believe this report and not to disturb my peace in the silence of that other world.” The delighted AP man dispatched a telegram to the United States on October 26, to the effect that “Stalin refused to deny the rumors of his death.”²²⁹

The bulk of Spain’s gold, reaching Odessa by November 2, went by train to Moscow, accompanied by Orlov’s cousin, Ukraine NKVD operative Zinovy Katznelson. Another $155 million (some 2,000 crates) was shipped to Marseilles, as an advance for weapons the Spaniards hoped to purchase from France. A small remainder was taken to a cave in southern Spain. Some of the lot that arrived in the USSR was evidently deposited in the finance commissariat’s precious metal vaults on Nastasinsky Lane on November 6, 1936, in time for Revolution Day.²³⁰ Orlov, having accompanied the shipment to Soviet shores, was back in Spain already and, on November 7, celebrated the Bolshevik anniversary in the company of, among others, Koltsov and Gorev, in the latter’s suite at Madrid’s Palace Hotel.²³¹ In parallel, Trotsky had ordered his son in Paris to transfer his archives to the International Institute of Social History, on Rue Michelet in Amsterdam, headed by the Menshevik émigré Boris Nicolaevsky, but Zborowski tipped off the Soviets, and a few days later, on the night of November 6–7, the papers were stolen (cash was left untouched)—another Revolution Day gift for Stalin.

On November 6, Stalin took in the customary Revolution Day performance at the Bolshoi in the imperial box, and the next day he presided over the parade atop the Mausoleum. Bukharin, with his lover, the twenty-three-year-old Anna Larina, was living in Stalin’s old Kremlin apartment, where Nadya had killed herself. He possessed a gun—given to him by Voroshilov, with the ironic inscription TO THE LEADER OF THE GREAT PROLETARIAN REVOLUTION—but did not attempt suicide. He was still listed on the masthead of Izvestiya as editor, so he received a pass to the Revolution Day celebration, in his case for the lowest level of the reviewing stand. Stalin caught sight of him and sent a guard to invite him and Larina up to the Mausoleum, a gesture for all to see—and misread as reconciliation. Not long thereafter, another story has it, Bukharin was being served with an eviction notice for the Kremlin apartment when, suddenly, the apartment’s special Kremlin line rang: it was Stalin, just inquiring how things were going. Bukharin informed him of the eviction, and Stalin appeared to react angrily; the eviction was halted. Stalin was torturing him psychologically.²³²

Orjonikidze had returned to Moscow for Revolution Day, but on November 9 he would suffer a heart attack and lose consciousness for a time. Stalin responded by intensifying the pressure, driving a public trial of “Trotskyite” saboteurs for a mine explosion in Siberia, which would be afforded expansive press coverage and directly contravene Orjonikidze’s stance on the causes behind industrial mishaps. Treason was made to appear ubiquitous. On November 5, Malenkov had reported to Stalin that 62 former “Trotskyites” had been found to be working in the central army apparatus and military academies. Ten days later, Gamarnik, head of the army’s political administration, and deputy defense commissar, received a list of 92 “Trotskyites” in the Red Army. Altogether, 212 “Trotskyites” were arrested in the military between August and December 1936, but that included just 32 officers, very few of whom were ranked as a major or higher. Despite party pressure and the flow of denunciations, the command staff, concerned with destabilization, exhibited caution.²³³

NO PASARÁN!

Molotov and other speakers on Revolution Day had blustered about standing up to bullies and how, when confronted, the fascists would desist from further expansionism. But Hitler, after having decided, on emotional grounds, to assist Franco, had quickly imposed limits on his own. He had supplied some 100 planes (fighters, bombers) and nearly 6,500 well-equipped military personnel, the so-called Condor Legion, but he refused the massive troop commitments that Mussolini had made, instead allowing the Nazi intervention to become utterly subordinated to the German war economy. Germany found a place to sell its products and, thanks to monopoly positions with the putschists, obtained desperately needed raw materials and goods (iron ore, pyrites, copper, wolfram, foodstuffs) without having to sacrifice dwindling foreign exchange.²³⁴

On November 8, 1936, Franco’s troops began their assault on Madrid from the south. He had put off the offensive, while working to make himself caudillo, a kind of Spanish equivalent of Führer or duce. The delay had allowed the Soviet military adviser Gorev to organize defenses. That day, the first troops of the International Brigades arrived in Madrid. But German and Italian planes had been bombing Spain for a hundred days and, with the Madrid front close to breaking, the Republic government had hastily fled for safety to Valencia. The capital, however, was to be defended. Banners were hung: NO PASARÁN (“They shall not pass”), a Spanish translation of the French slogan of Pétain at Verdun in 1916. Mola’s army, meanwhile, had begun to converge on Madrid from the northwest. Back in October 1936, when asked on the radio which of his four columns would take the capital, he had replied, “The fifth column.” Mola meant that sympathizers to the Nationalists would subvert the Republic from within.²³⁵

Fear of such subversion had occurred naturally to Soviet personnel.²³⁶ Koltsov had recorded in his diary (November 4–6, 1936) worries about “8,000 fascists who are locked up in several prisons around Madrid,” although the Spanish Republic’s interior minister seemed unconcerned and evacuated himself.²³⁷ The logistics of evacuating several thousand prisoners were daunting. Inmates were tied together without their possessions and loaded onto transport—but then, down the road, forced off the buses, verbally abused, and executed by squads of Communists, anarchists, and regular-army men; villagers were press-ganged to dig mass-grave ditches. The executions, in fits and starts over several weeks, killed more than 2,000 prisoners from Madrid jails, without trial, in the worst of the many massacres in the Republic’s zone perpetrated by leading Spanish Communists and their Soviet advisers, Gorev, Orlov, and Koltsov.²³⁸ How many of these prisoners were Nationalist sympathizers prepared to take up arms if somehow given them will never be known. In the event, no fifth column materialized, but Mola’s attempted witticism became immortal.²³⁹

Madrid came under withering assault for ten days as shrapnel and incendiary shells exploded in its plazas. But Soviet planes had broken the Nationalists’ monopoly of the skies: there was no more bombing of Madrid from low altitude with impunity.²⁴⁰ The Italian Fiat CR-32 and the German Heinkel He-51 proved no match for the more maneuverable I-15 and I-16, while the Soviet SB bomber outperformed the famed Junkers Ju 52. Soviet pilots demonstrated stamina and courage (while gaining invaluable experience: they had had little flight time in training back home). No less crucially, Soviet-led mechanized units, using the T-26, rendered any attempted advance by the Nationalists costly. Soviet tank men would suffer high casualties in Spain: thirty-four killed and nineteen missing in action, casualties of one in seven.²⁴¹ On November 18, Germany and Italy formally recognized Franco’s Nationalist government, but five days later Franco called off his direct assault on Madrid.²⁴² Morale shifted. “We are finished,” a Nationalist officer told a German military observer. “We cannot stand at any point if the Reds are capable of undertaking counterattacks.”²⁴³ In fact, the Republic’s side was too depleted to mount what might have been the decisive counteroffensive.

However much he was motivated by his Trotsky fixation, the high-quality Soviet hardware Stalin sold to Spain showed a desire to strut his stuff.²⁴⁴ In preventing Franco’s seizure of Madrid, the Red Army had indeed demonstrated its mettle for all the world’s skeptics. The French took notice of Soviet aircraft performance in Madrid’s defense; the British, of the overall Soviet effort. “The Soviet government has saved the government in Madrid which everyone expected to collapse,” concluded the undersecretary of state at the foreign office. “The Soviet intervention has indeed completely changed the situation.”²⁴⁵ The Soviet mood was ebullient. “And today,” crowed Koltsov on November 25, 1936, “Franco did not enter the capital.”

SOCIALIST “DEMOCRACY”

That same day, an Eighth Extraordinary Congress of Soviets, attended by 2,016 voting delegates (409 female), opened in the Grand Kremlin Palace in Moscow. Stalin’s lengthy oration—broadcast live on Soviet radio for the first time, revealing his soft Georgian accent to millions—concerned a draft text of a new constitution, motivated, he argued, by changes in social structure.²⁴⁶ He had started thinking about a new constitution no later than summer 1934. (On holiday then, he had requested a copy of the current 1924 constitution.)²⁴⁷ He had had a commission approved, which he chaired and which studied foreign constitutions.²⁴⁸ “Behind the Kremlin walls, work is going on to replace the Soviet constitution with a new one, which, according to the declarations of Stalin, Molotov, and others, will be the ‘most democratic in the world,’” Trotsky had written in May 1936, adding that “no one is acquainted with the draft of the constitution as yet.”²⁴⁹ But in June 1936, Stalin had had the draft published for months of public commentary. Soviet propaganda delivered saturation coverage, and claimed that by fall 1936 half a million meetings had been held, encompassing 51 million people.

The new constitution ended legal discrimination against “former people” (kulaks, priests), to considerable complaint from the party rank and file.²⁵⁰ It altered the electoral system for soviets from indirect to direct, from restricted to universal suffrage (returning the vote to former kulaks), and from open to secret balloting.²⁵¹ Most remarkable, it enumerated a plethora of individual and social rights (pensions, free medical care, education).²⁵² The Menshevik émigré press acknowledged that the terroristic Communist dictatorship was not going to self-liquidate, but nonetheless speculated that the constitution might unleash new political forces.²⁵³

Soviet officials worked to orchestrate the public discussions, but some people seized the moment. Collective farmers expressed hatred of the in-kind system of remuneration according to days worked and demanded to be paid in cash, like urban workers. One proposed that instead of the slogan “He who does not work does not eat,” they substitute “He who works should eat.”²⁵⁴ A student at a medical school in Zaporozhie (Ukraine) was reported to have said, “In the USSR we have no democracy and will not have it; everything is done and will be done as Stalin dictates. We will be given neither freedom of the press nor freedom of speech.” After his arrest, some fellow students tried to pass a letter to him in prison praising his courage.²⁵⁵ The constitution’s article on freedom of religion sparked petitions from Orthodox believers to reopen churches. Wishful misunderstandings abounded: that the constitution was reintroducing private property, that kulaks would be allowed to return to their villages, that farmers would “live as before,” that Stalin might abolish the party, because he could not trust it, and institute presidential rule, which would provoke even more political terror (along the lines of Kirov’s murder).²⁵⁶

The draft text omitted the category “the proletariat” in favor of “the people,” which Trotsky disparaged as additional evidence of a retreat from socialism and consolidation of a new ruling class of functionaries (concealed in the term “intelligentsia”).²⁵⁷ “In a private conversation Stalin admitted that we did not have a dictatorship of the proletariat,” Molotov would later recall. “He told me that personally, but not firmly.” ²⁵⁸ Stalin’s Eighth Congress speech was categorical, however. “In 1917, the peoples of the USSR overthrew the bourgeoisie and established a dictatorship of the proletariat, established Soviet power,” he explained. “That is a fact, not a promise. Then the Soviet government eliminated the landlord class and transferred more than 150 million hectares of former landlord, state, and monastery lands to the peasants, and that was in addition to those lands already in peasant hands. That is a fact, not a promise. Then the Soviet government expropriated the capitalist class, took away their banks, factories, railroads, and other means of production, declared them socialist property, and put at the head of these enterprises the best members of the working class. That is a fact, not a promise.” He added that industrialization and collectivization further transformed the social structure, giving the USSR two nonantagonistic classes (workers and peasants) and one stratum (the intelligentsia). This was the first fully authoritative analysis of Soviet society in class terms.

The constitution aspired to reinforce socialist legality—rule by law—a triumph for USSR procurator general Vyshinsky. It also further centralized the state machinery (this was largely omitted in public discussions). Successive drafts had stipulated that the USSR government would exercise jurisdiction over land, water, and natural resources, while decisions of the USSR Council of People’s Commissars would be binding on the republics. The constitution replaced the periodic Congress of Soviets with a permanent USSR Supreme Soviet, to which all republic laws were to be subordinated. (Criminal codes remained the prerogative of republics.) Physically, the Russian Soviet Federated Socialist Republic was significantly shrunk as two of its autonomous ethnic republics became full-fledged Union republics—Kazakhstan and Kyrgyzstan—while a third (Karakalpak) was transferred to the Uzbek republic. This brought the number of Central Asian Union republics to five. Also, the South Caucasus Federation was dissolved in favor of the self-standing republics of Georgia, Armenia, and Azerbaijan, bringing the total number of Union republics to eleven. For the first time, a Soviet constitution also enshrined the Communist party as “the vanguard of the working people in their struggle to strengthen and develop the socialist system,” and as “the leading core of all organizations of the working people, both public and state.” This appeared not in the section on the state but the one on “public organizations.”

In his speech, Stalin aimed to rebut criticisms in the “bourgeois” press, broadcasting damning views otherwise unavailable to the Soviet populace. Fascist critics, he revealed, dismissed the Soviet constitution as “an empty promise, calculated to pull off a well-known maneuver and deceive people.” Stalin further revealed that “bourgeois” critics on the left were asserting a Soviet shift to the right, away from a dictatorship of the proletariat and toward the same camp as bourgeois countries. He countered that there had been not a shift but a “transformation . . . into a more flexible, . . . more powerful system of leadership of the state by society.” Above all, Stalin said, “bourgeois” critics “talk about democracy. But what is democracy? Democracy in capitalist countries, where there are antagonistic classes, is, in the final analysis, democracy for the strong, democracy for the propertied minority. Democracy in the USSR, by contrast, is democracy for the toilers, that is, democracy for all.” Thus, he concluded, “the USSR constitution is the only thoroughly democratic constitution in the world.”²⁵⁹

EVERYTHING UNRAVELS

On the morning of the Congress’s launch, Pravda had proclaimed Stalin the “genius of the new world, the wisest man of the epoch, the great leader of Communism,” and then deemed his constitution speech a breakthrough for all humanity. While Stalin’s report to the 16th Party Congress (1930) had been published in 11 million copies (twenty-four languages) and the one to the 17th Congress (1934) in 14 million copies (fifty languages), his Congress of Soviets speech was printed in 20 million copies. “No book in the world,” Pravda added, “has ever been published in that kind of print run.”²⁶⁰

In Berlin, on the very same day Stalin delivered his spirited constitution speech, Joachim von Ribbentrop, German ambassador to the UK but also minister plenipotentiary, formally signed an Anti-Comintern Pact with Japanese ambassador Kintomo Mushanokōji. The signing took place not in the foreign ministry but in the Büro Ribbentrop, to stress the pact’s ideological salience.²⁶¹ Ribbentrop read a statement to the press (the eyewitness William Shirer called it a “harangue”) declaring Germany and Japan “unwilling to tolerate any longer the machinations of the Communist agitators,” and their pact “a turning point in the struggle of all law-abiding and civilized nations against the forces of disintegration.”²⁶²

For Japan, keen to contain the Soviet Union while obtaining a free hand in China, this was its first major accord with a European power since abrogation of the Anglo-Japanese alliance, in 1920. Indeed, given the infighting, poor communications, deception, and jurisdictional ambiguity inside the Japanese government, the agreement constituted a mini miracle. Japanese newspapers conveyed a lack of enthusiasism (“making lukewarm friends at the expense of red-hot enemies,” wrote Nichi Nichi).²⁶³ Above all, Japan’s army had zealously sought firm military commitments against the USSR, but had gotten only “consultations.” Still, it did forge an intelligence liaison with the German staff, focused on the Red Army.²⁶⁴

Hitler relished the propaganda breakthrough, and hoped it would bring along Britain. According to Count Ciano, who had gone on his first official visit to Germany in October 1936, Hitler told him, “If England sees the gradual formation of a group of Powers which are willing to make common front with Germany and Italy under the banner of anti-Bolshevism, if England has the feeling that we have a common organized force in the Far East . . . , not only will she refrain from fighting against us, but she will seek means of agreement and common ground with this new political system.”²⁶⁵ For Stalin, the irony of such a pact was extreme, given how he had bridled the Comintern in both Spain and China.²⁶⁶

Stalin knew beforehand. Colonel Eugen Ott, the German military attaché in Tokyo, had learned in spring 1936, from his Japanese army contacts, of the secret negotiations under way in Berlin. Ott confided in Richard Sorge, the Soviet military intelligence spy in the German embassy in Tokyo, who had informed Moscow. The published text consisted of two short articles.²⁶⁷ But Sorge had been reporting that it contained a secret article. Wrongly, he initially thought this pertained to a military alliance. But he would manage to photograph the full text and get it to Shanghai, whence it was picked up by a Soviet courier.²⁶⁸ The secret section specified that, should either Germany or Japan “become the object of an unprovoked attack by the USSR,” each “obliges itself to take no measures that would tend to ease the situation in the USSR.” Most significantly, the secret clause also enjoined the two powers “to conclude no political treaties with the USSR contrary to the spirit of this agreement without mutual consent.”²⁶⁹

Soviet-German relations sank to a nadir. Stalin had ordered arrest sweeps of German nationals in the USSR in November and seems to have contemplated a separate Moscow trial of some of them. Molotov, on November 29, told the delegates to the Congress of Soviets, “We have no feelings for the great German people other than friendship and genuine respect, but the gentlemen fascists would best be included in that nation, or ‘nation,’ or ‘higher order,’ which is called the ‘nation’ of modern cannibals.”²⁷⁰

Goebbels, the day before Molotov’s address, had crowed to a secret gathering of the Nazi press that Nazism and Bolshevism could never coexist: one must perish.²⁷¹ “There is no going back,” he confided in his diary (December 1), apropos of Hitler’s thinking. “He outlines the tactics of the Reds. Spain is elevated to a global question. France the next victim. Blum a convinced agent of the Soviets. Zionist and world destroyer. Whoever is victorious in Spain secures the prestige for himself. . . . The authoritarian states (Poland, Austria, Yugoslavia, Hungary) are not secure. The only committed anti-Bolshevik states are Germany, Italy, Japan. Therefore, agreements with them. England will come over when the crisis breaks out in France. Not a love match with Poland but a reasonable relationship.”²⁷²

The British foreign office produced an internal memorandum in late November on the expropriation and collectivization of British firms in the Spanish Republic, concluding that it “shows quite clearly that the alternative to Franco is Communism tempered by anarchy; and . . . [it is] further believed that if this last regime is triumphant in Spain it will spread to other countries, notably France.”²⁷³ Blum’s Popular Front government, for its part, was engaged in heated internal debate about the future of the Franco-Soviet alliance, and Potyomkin, the Soviet envoy, cautioned patience to the foreign affairs commissariat. But Stalin’s spies had supplied him with General Schweisguth’s memorandum denigrating the Red Army. “On the basis of very reliable information in our possession, I have to inform you for your guidance that the French military authorities are vehemently opposed to a Franco-Soviet [military] pact and speak openly about it,” Litvinov had written to Potyomkin. “We in no way want to speed up negotiations, nor do we wish them to suspect that we are backing away.”²⁷⁴ An unsigned editorial—written by Molotov—in Izvestiya condemned the Anti-Comintern Pact and defiantly noted, “We must believe exclusively in our own strength.”²⁷⁵

ENIGMATIC PLENUM

In the face of the German-Japanese Anti-Comintern Pact, as well as the British and French efforts at accommodating Hitler, Mussolini, and now possibly Franco, on December 4, Stalin convoked a Central Committee plenum. It was, however, devoted not to the deepening challenges of foreign policy—something he almost never allowed to be discussed by the country’s nominal policy-making body—but to virulent charges of treason. The day before, Yezhov had delivered a lengthy address to a conference of NKVD operatives in the capital, itself a telling assembly, and noted ominously, “I think we have not investigated the military Trotskyite line to the fullest. . . . You well know the efforts of imperialist intelligence HQ to create agent networks in our army. . . . We are uncovering diversionary-wrecking organizations in industry. What grounds are there to believe that it is impossible to carry out diversionary acts in the army? There are more opportunities, not fewer, here than in industry.”²⁷⁶

Stalin assigned the main plenum report (“On Trotskyite and Rightist Anti-Soviet Organizations”) to Yezhov, and during his excoriation of the Zinovievites and Trotskyites, someone interjected, “What about Bukharin?” Yezhov took up the prompt, which in turn almost immediately provoked Stalin to interrupt, “We need to talk about them [the rightists].” Beria interjected, “There’s a scoundrel for you!” Stalin, in the July 29, 1936, secret circular, had denied any positive political program to the Trotskyites, but now he asserted that the leftist Trotskyites shared the rightists’ “program” of capitalist restoration.²⁷⁷ Bukharin plaintively asked how he could defend himself against such slanderers. “Do you really believe I could have anything in common with these subversives, with these saboteurs, with these scum, after thirty years in the party?” he exclaimed at Stalin. “This is nothing but madness.” When Bukharin pointed out that he physically could not have been at the alleged meetings with the Zinovievites and Trotskyites, Molotov countered, “You are acting like a lawyer.”²⁷⁸

When Yezhov referred to a transport official as “an enemy,” Stalin interrupted to specify that the accused was “a German spy—he in fact got money for information from German intelligence—he was a spy.” Addressing Bukharin, Stalin ridiculed suicide as opposition blackmail. “Here is one of the easiest means by which, right before death, leaving this world, one can spit in the face of the party, deceive the people, one last time,” Stalin stated, mentioning Tomsky.²⁷⁹ Another was the thirty-two-year-old apparatchik Veniamin Furer, who had committed suicide at a dacha in Osinki, outside Moscow, in fall 1936 after his friend Yakov Livshits—Kaganovich’s top deputy at the railroad commissariat—had been arrested as a “Trotskyite.” Furer, the rising star who had delivered a stirring ode to the Stalinist leadership style at the 17th Party Congress, left behind a long letter praising the Soviet leader while defending Livshits, who, like Furer, had briefly sided with Trotsky in 1923. Because Stalin was on holiday in Sochi, the letter had been brought to Kaganovich. “He walked up and down and then began to sob” out loud, Nikita Khrushchev, another Kaganovich protégé, would recall. “He was unable to collect himself for a long time after he read it.” Kaganovich ordered the letter circulated to all politburo members. Now, at the plenum, Stalin cruelly mocked Kaganovich. “What a letter he left behind,” he noted of Furer. “You read it and tears well up in your eyes.”²⁸⁰

Also on December 4, 1936, in a memo circulated to all politburo members, Stalin dressed down Orjonikidze for having hidden long-ago correspondence with Beso Lominadze, who had been pronounced a posthumous enemy after committing suicide, while party boss, in Magnitogorsk the year before. The accusation of having concealed information from “the Central Committee” was one of Stalin’s most threatening. What also rankled was that Lominadze’s suicide note had been read over the telephone to Orjonikidze by Lominadze’s deputy in Magnitogorsk, and that Orjonikidze was providing a pension to Lominadze’s widow and money to their son (named Sergo, in Orjonikidze’s honor). Stalin had reports that Orjonikidze was bad-mouthing him behind his back to his cronies Mamiya Orakhelashvili and Shalva Eliava.²⁸¹ At the plenum, Orjonikidze joined in the vicious attacks against Bukharin.

On the evening of December 5, the Congress of Soviets concluded by adopting the new constitution unanimously. The next day was devoted to a mass celebration of the adoption on Red Square. On December 7, the plenum resumed. Despite the venom, it ended without expulsions, let alone arrests. Stalin proposed “considering the matter of Bukharin and Rykov unfinished” and postponing a decision until the next plenum.²⁸² Adding to the mystery, this plenum, uniquely for the 1930s, went unmentioned in the press. That same press took to slandering Bukharin and Rykov still more ferociously. Especially noteworthy was that much of the bile flowed in Izvestiya, where Bukharin remained listed as editor. “My morale,” Bukharin wrote in a letter (December 15), “is in such a state that I am half-alive.”²⁸³

KIDNAP

Stalin judged that a Communist takeover in China would never produce a regime strong enough to hold off the Japanese military. After the Chinese comrades formed revolutionary soviets, against Moscow’s advice, he had Dimitrov insist on “soviets—only in the cities, but not as organs of power, rather of organization of the masses. Without confiscations.”²⁸⁴ But the “united front” resembled a sandcastle on the beach. The Nationalists were not interested, either.²⁸⁵ A Japanese envoy arrived on a warship at Nanking, the Nationalist capital, and demanded that China grant Japan the right to place troops anywhere in China to fight Communists. Chiang Kai-shek refused to conduct negotiations himself over the request, and the envoy’s talks with Chiang’s foreign minister went nowhere. (Chiang insisted that Japan respect China’s administrative integrity in northern China, which Japan continued to violate.) But rumors of a possible Chinese entry into the Anti-Comintern Pact had alarmed Stalin. Chiang was also pressing his campaign to eradicate the Chinese Communist base in Shaanxi, while demanding, in negotiations with them in Shanghai, that they bring their Red Army strictly under his Nanking government.²⁸⁶

Events on the ground, however, had their own dynamic—and their import potentially exceeded that of Spain, for Stalin and for the world.

The warlord Zhang Xueliang, known as the Young Marshal, had traveled to Italy, then Germany, courting Mussolini, then Hitler and Göring, for help against Japan. In France he had met Litvinov, asking to be received by Stalin in Moscow; Stalin declined, concerned about not complicating his relations with Japan.²⁸⁷ Zhang had returned to China and eventually entered into negotiations with the Chinese Communists; one of his interlocutors was Zhou Enlai, who got the Young Marshal not only to cease operations against the Chinese Communists but to supply them with weapons. The Communists contemplated trying to secretly admit Zhang to the party.²⁸⁸ In November 1936, Zhang wrote to Chiang Kai-shek, imploring him to pursue a united front with the Communists against Japan in earnest. In December, Zhang traveled to Nanking in person to report about the mutinous moods of his troops in Shaanxi, who were supposed to pursue the Communists, and renewed his pleading. Chiang told him, according to Zhang, that if the government pulled back from fighting the Chinese Communists to take on Japan, the Communists would eventually win hold of the nation.²⁸⁹

Chiang ordered Zhang to intensify the “bandit suppression” campaign to finish off the Communists.²⁹⁰ But Zhang urged Chiang to go to Xi’an and talk to the Shaanxi and Manchurian soldiers. Chiang’s entourage warned against such a trip, but exposure to danger had typically enhanced Chiang’s stature, and he agreed to go. Back in Xi’an, Zhang reported on the conversation, in general terms, by radiogram to Mao, whose “party center” was holed up in dank caves (one bodyguard was stung by a scorpion).²⁹¹ Chiang flew off to Xi’an with an extra guard detail and contingent of officers, moving into a hot-springs resort, a small walled enclave ten miles outside the district town of Lintong. In an ancient one-story pavilion once used by the Tang emperor Xuanzong, Chiang received delegations of the Shaanxi and Northeast (Manchurian) armies.²⁹² At dawn on December 12, his scheduled day of departure, a 200-man contingent of Zhang’s personal guard stormed the walled compound. A gun battle killed many of Chiang’s bodyguards. He heard the shots, was told the attackers wore fur caps (the headgear of the Manchurian troops), crawled out a window, scaled the compound’s high wall, and ran along a dry moat up a barren hill, accompanied by one bodyguard and one aide. He slipped and fell, losing his false teeth and injuring his back, and sought refuge in a cave on the snow-covered mountain. The next morning, the leader of China—shivering, toothless, barefoot, a robe over his nightshirt—was captured.

Whether Zhang acted on his own or in a conspiracy with the Communists remains uncertain. He was an opium-addled playboy—one mistress was Mussolini’s daughter—but also an anti-Japanese patriot. Perhaps in his earnestness for a united front he had gotten caught up in the intrigues of Zhou and Mao. The wily Chiang, for his part, had been negotiating in bad faith with Zhou Enlai (Chiang’s former political commissar at the Soviet-financed 1920s Whampoa Military Academy).²⁹³ News of Chiang’s pending arrest—or admonishment—in Xi’an had reached Mao’s makeshift headquarters via the dilapidated village of Bao’an in the early-morning hours of December 12. His secretary passed him the radiogram. “After reading it, [he] joyfully exclaimed, ‘How about that! Time for bed. Tomorrow there will be good news!’”²⁹⁴