朱磊：新经济政策时期苏联国家安全机构的改革、活动及其作用初探（1921—1928）

　　摘 要

　　十月革命胜利后，俄国被推翻的地主资产阶级为夺回在政治制度剧变、生产资料国有化中失去的政治、经济利益，与代表其利益的政党组织了公开的武装叛乱，同时组织了破坏生产、怠工和反革命恐怖活动，富农、富裕的和中等农民以粮食投机和叛乱、暴动抵制损害了其利益的余粮收集制，加之匪盗猖獗等，新生的苏维埃政权处于生与死的考验之中。为了粉碎经济和政治领域的破坏活动，保卫新生的苏维埃政权，在列宁的倡议下成立了“全俄肃清反革命和怠工非常委员会（简称契卡）”这一应急的、非常设的、与法制关系不明确的临时性国家安全机构。契卡的主要任务是调查和肃清反革命阴谋活动,把怠工者和反革命分子送交革命法庭审判等。由于国内阶级斗争愈发尖锐激烈，1918年8月30日列宁遇刺，白色恐怖笼罩全国，契卡获权就地处决奸细、破坏者和政治敌人，恐怖手段成为契卡斗争的主要手段。契卡的活动粉碎了各种颠覆和破坏新生苏维埃政权的活动，为保卫第一个社会主义政权的生存立下了卓著的功勋。与此同时，由于契卡不适当地使用了恐怖手段，其和军事法庭不经调查和审判就判处“反革命”嫌疑人死刑，使一些具有不同意见的无辜者受到迫害。

　　新经济政策时期，由于公开的反革命武装叛乱、生产破坏和恐怖活动已基本被粉碎，国家转入和平恢复阶段，政治领域隐蔽的反苏活动以及思想文化领域不认同、反对布尔什维克党治国理念的活动等成为阶级斗争的主要形式；该时期由于运用市场机制，在经济领域出现了各种经济犯罪和领导干部腐败行为。为了应对国家安全斗争新形势和任务的变化，国家安全部门进行机构改革：在秘密行动局下增设了情报处，其首要任务是全面了解国内工人、农民、知识分子、军队、宗教人士、社会党派等各社会群体的情绪潜流、政治异见活动，以及境外反革命和白卫刊物的活动，形成系统的秘密国情报告，每天（周日除外）定期上报给党和国家政治、军事、安全、媒体部门的最高领导。中央对上述绝密情报进行研究后作出重大决策，国家安全部门协同其他相关部门执行中央的有关指示，完成维护国家安全的任务。为了保证对意识形态领域的监控，从1922年开始监督国外刊物入境，对全部文艺作品进行全面的政治审查。因此，新经济政策时期形成了以秘密行动局为国家安全机构体系的核心组成部分，秘密搜集情报、秘密行动、秘密与公开监控和政治检查为主要工作方式和特点的行动机制，使国家安全部门成为俄共/联共（布）全面了解各社会领域与共产党执政方针相悖的政治潜流和活动的眼睛与耳朵，执行俄共/联共（布）指示的得力臂膀。国家安全部门在进行上述机构和职能改革后展开的多方面的活动，适应了新经济政策时期需完成更趋复杂艰巨任务的要求，维护了国家安全，共产党领导和共产主义意识形态一元化新的政治和思想秩序的建立。

　　十月革命后出于保卫国家安全应急目标建立的契卡由于与法制关系不明确，在处理与革命法庭、司法人民委员部、内务人民委员部相互关系中经常出现越权，与党和其他国家机关之间也经常发生冲突。新经济政策时期进入和平恢复阶段，苏维埃国家有条件着手国内的法制化建设。在列宁关于限制全俄肃反委员会的权限和职能，法制是建立新社会秩序和劳动秩序最主要杠杆的指导原则下，开始对国家安全机构进行改革。第一，规范国家安全机构与法制的关系，缩小和取消了全俄肃反委员会凌驾于法制之上的权力；第二，取消具有临时、应急性质的全俄肃反委员会，组建常设性的国家安全机构国家政治保卫局，苏联成立后组建国家政治保卫总局；第三，1924年颁布的宪法和后来出台的国家政治保卫局条例等一系列法令，规范了国家安全机构在国家政治体系中的地位。

　　列宁在世时期，其关于国家安全机关活动纳入法制轨道的原则较好地得到落实，国家安全机构的权限受到限制；但1923年国家政治保卫总局建立之后，其权限又逐步扩大，被取消的国家安全机关法律外镇压权再次被恢复；尤其1924年列宁逝世，斯大林开始建立中央集权以后，法院、检察院的地位再次被削弱。新经济政策时期国家政治保卫部门机构与法制关系的演变，反映了列宁和斯大林关于在俄国建设社会主义两种主张和道路模式的分野，是苏维埃国家逐步走向斯大林中央高度集权体制的缩影和重要组成部分。

　　新经济政策时期全俄肃反委员会——国家政治保卫局——国家政治保卫总局通过改革机构设置和功能，增强了作为苏联国家秘密专政工具的能力，完成了由当时阶级斗争新形势提出的更为复杂的新任务。同时，其改革后的机构和功能的设置更为完善，奠定了日后苏联国家安全机关机构和功能设置的基础。这是新经济政策时期国家安全机关活动的主流方面。但另一方面，由于1920年代中期后国家安全机关活动逐步溢出了列宁规定的在法制框架内活动的原则，无端怀疑和打击了一些无辜者，同时为1930年代凌驾于法制之上的大清洗埋下了伏笔。

　　ABSTRACT

　　After the victory of the October Revolution, the overthrown Russian landlords and the bourgeoisie with the political parties which represent their interests organized an open armed rebellion for the recapture their interests in the drastic changes of the political system, including nationalization of the means of production, loss of political and economic interests. At the same time, they organized the destruction of production, sabotage and counter-revolutionary terrorist activities. The kulaks, the rich and middle peasants resist the interests′ damage in the surplus-appropriation system in the aspect of grain speculation and rebellion, insurrection. The new Soviet regime in the test of life and death coupled with rampant banditry, etc.. In order to crush the Sabotage activities in economic and political spheres, to protect the newborn Soviet regime, under Lenin's initiation they set up a counter-revolution and sabotage of the "All Russia eliminate Commission (Cheka) of this contingency. The relationship of law was not clear and temporary. Cheka's main task is to investigate and root out counter-revolutionary conspiracy and sent to the saboteurs and counterrevolutionaries to the revolutionary court. Due to the sharp and intense domestic class struggle, Lenin was assassinated on August 30, 1918, White Terror covered the country, the Cheka won the right to punish executions, spies, saboteurs and political enemies, and terrorism become the primary measures of Cheka′s struggle. Cheka's activities shattered subversion and sabotage activities of the newborn Soviet regime, and it has achieved a remarkable feat for defending the survival of a socialist regime. At the same time, due to the Cheka inappropriate use of terror. Military courts combined with Cheka did not through investigation and trial to sentenced "counterrevolutionary" to death. So some innocent people who have different opinions has been persecuted.

　　During the New Economic Policy period, due to the open counter-revolutionary armed rebellion, destruction and terror activities have basically been shattered, the state transferred to a peaceful recovery phase. The hidden anti-Soviet activities in political area as well as ideological and cultural fields do not agree with and oppose the idea of running the country through the activities of the Bolshevik Party become the main form of class struggle. Due to the using of market mechanisms in this period, a variety of economic crimes and corrupt behavior of leading cadres in the economic field was appeared. Institutional reform has been taken for responsing the changes in the new situation and tasks of the struggle for national security. Information department was added to the secret action bureau. Its primary task is to comprehensive search the information of domestic workers, peasants, intellectuals, military, religious people, socialist parties the emotional undercurrent of the various social groups, activities of political dissidents, and overseas counter-revolutionary and white Methodist publication activities. Then they have made a secret nation reports. Daily (except Sunday) regularly report to the top leadership of party and the country's political, military, security, media. The Central government to make major decisions based on the above top-secret intelligence. The national security sector worked together with other relevant departments of the implementation of the relevant central instructions to complete the task of national security. In order to ensure the monitoring of the ideological field, from 1922 began to monitor the entry of foreign publications. A comprehensive political review of all literary and artistic works has been taken. In the New Economic Policy period, therefore, the secret action bureau became the core component of the National Security Agency covert operations bureau system, secretly gather intelligence, covert operations, secret and open monitoring and political censorship of the work and characteristics of the mechanisms of action. So that the national security sector became the eyes and ears of the Russian Communist Party / Alliance Party (Bolshevik), a comprehensive understanding of the political undercurrents and activities of the various social fields which is on the contrary of the Communist Party policy. And it is also an effective arm to implement the Russian Communist Party / Alliance Party (Bolshevik) indicates. National security departments to carry out the above-mentioned institutions and functions of the reform carried out after a wide range of activities. They adapt to the requirements of the New Economic Policy period to complete more complex and difficult task of safeguarding national security, unified leadership of the Communist Party and communist ideology in the new political establish and ideological order.

　　After the October Revolution, the relationship between legal system and Cheka which was established for defending national security emergency goal is not clear in dealing with the Revolutionary Court, the People's Commissariat of Justice, the NKVD mutual relations often appear ultra vires. Cheka often has conflicted with party and state organs, when the New Economic Policy period came into the peaceful recovery phase, the Soviet state has conditions to proceed with the domestic legal system construction. The restrictions of powers and functions of on the All-Russian Cheka, Lenin, legal system is to establish the guiding principles of the main levers of the new social order and labor order. Under this principle, Lenin began to reform the national security agencies. First, reform the relationship between norms of national security institutions and legal system, in order to reduce and cancel the power over the All-Russian Cheka which above the law. Second, abolish the All-Russian Cheka which is temporary and for emergency use, and set up national political defense bureau which is belong to a permanent national security agencies. After the establishment of the Soviet Union, they set up the national politics defense bureau. Third, the Constitution and the introduction of the national political Protection Agency regulations promulgated in 1924 regulated the national security agencies in the country's political system status. During the period of Lenin alived, the principle of the activities of the state security organs set into the legal system better implemented. The rights of National Security Agency were limited. But after the National Political Defense Bureau was established in 1923, their rights were gradually expanded. The canceled laws of the NSA who can suppress the right once again be restored. Particularly after the death of Lenin in 1924, Stalin began to establish a centralized position. The courts and procuratorates were once again being undermined. During the New Economic Policy period, the changes in the aspects of the country's political security sector institutions and the relationship of legal systems, reflected the distinction of two propositions and road mode between Lenin and Stalin in Russia in building a socialist. This is the microcosm and an important component in the Soviet state which highly centralized in Stalin parts.

　　During the New Economic Policy period, the All-Russian Cheka — the National Political Defense Bureau — the Genaral National Political Defense Administration through the reform of institutional settings and features enhanced the ability of the Soviet state secrets dictatorship tool. They also completed the more complex task in the class struggle under the new situation. At the same time, the set of institutions and functions was more perfect after the reform, and laid the foundation of the future institutions of the Soviet state security organs and the feature set. This is the mainstreaming of the activities of the state security organs in the New Economic Policy period. But on the other hand, in the mid-1920s due to the activities of the state security organs, gradually overflow Lenin provisions of the Principles Governing the Activities within the framework of the rule of law. Some innocent suspected persons were unwarranted and blew, as well as foreshadowed the Great Purge which was surpassed the legal system in the 1930s.