The Sword and the Shield: The Mitrokhin Archive and the Secret History of the KGB

Stalin continued to doctor his own pre-Revolutionary record during the 1920s, changing even the day and year of his birth; the correct date (December 6, 1878) was not made public until 1996.²⁴ During a visit to the secret section of the Moscow Main Archives Directorate (Glavarkhiv), Mitrokhin was once shown an Okhrana file on Dzhugashvili. The file cover and title followed standard Okhrana format, but, on looking inside, Mitrokhin discovered that the contents had been entirely removed. The probability is that the Okhrana had compromising materials on the young Dzhugashvili, and that at the first opportunity Stalin arranged for the file to be gutted. In typical Soviet bureaucratic fashion, however, the cover was preserved since the existence of the file was indelibly recorded in the secret registers. Mitrokhin suspects that whoever emptied the file, presumably on Stalin’s instructions, was later eliminated to preserve the dark secret of its missing contents.²⁵ What Stalin was most anxious to destroy may well have been evidence that he had been an Okhrana informer. Though it falls well short of conclusive proof, a possible trace of that evidence still survives. According to reports from an Okhrana agent discovered in the State Archive of the Russian Federation, Baku Bolsheviks before the First World War “confronted Dzhugashvili-Stalin with the accusation that he was a provocateur and an agent of the Security Police. And that he had embezzled Party funds.”²⁶

From almost the beginning of the civil war in 1918, in keeping with the Bolshevik tradition of operating under false identities, the Cheka began sending officers and agents under various disguises and pseudonyms behind enemy lines to gather intelligence. By June 1919 the number of these “illegals” was sufficiently large to require the foundation of an illegals operations department (later to become Directorate S of the KGB First Chief Directorate).²⁷ KGB classified histories note that henceforth “illegal” operations became “an inseparable part of foreign intelligence.” On December 20, 1920, the third anniversary of the Cheka’s foundation, a new foreign department (Innostranyi Otdel or INO) was set up to direct all operations beyond Soviet borders. During the early years of Soviet Russia, when the Communist regime remained an international pariah, it had few official missions abroad capable of providing official cover for “legal” intelligence stations (“residencies” in Cheka jargon) and thus relied chiefly on illegals. As diplomatic and trade missions were established in foreign capitals, each was given a “legal residency” headed by a “resident” whose identity was officially communicated only to the ambassador or head of the mission. Illegals, sometimes grouped in “illegal residencies,” operated without the benefit of diplomatic or official cover and reported directly to INO in Moscow.²⁸

During the civil war of 1918-20, foreign intelligence collection was of minor importance by comparison with the Cheka’s role in assisting the victory of the Red Army over its White enemies. Like the KGB later, the Cheka liked to quantify its successes. In the autumn of 1919, probably the turning point in the civil war, it proudly claimed that during the first nineteen months of its existence it had discovered and neutralized “412 underground anti-Soviet organizations.”²⁹ The Cheka’s most effective method of dealing with opposition was terror. Though its liking of quantification did not extend to calculating the number of its victims, it is clear that the Cheka enormously outstripped the Okhrana in both the scale and the ferocity of its onslaught on political opposition. In 1901, 4,113 Russians were in internal exile for political crimes, of whom only 180 were on hard labor. Executions for political crimes were limited to those involved in actual or attempted assassinations. During the civil war, by contrast, Cheka executions probably numbered as many as 250,000, and may well have exceeded the number of deaths in battle.³⁰