Published online by Cambridge University Press: 27 January 2009
Nikita Khrushchev and Mikhail Gorbachev both pursued reformist policies during their respective periods as head of the CPSU. Although their policies were very different in substance, the political problems they faced in prosecuting reform were quite similar. The discussion here focuses on the obstacles facing reform-minded Soviet leaders and the options available for overcoming them. Both Khrushchev and Gorbachev were dependent for their position and for the implementation of their policies on a party-state apparat whose interests lay in opposing radical reform and in limiting the leader's power. As a result both men were in a particularly weak position from which to pursue reformist policies.
1 Boston: Little, Brown and Co., 1974, pp. 78–9.
2 Sherlock, Thomas, ‘Khrushchev Observed’, Report on the USSR, 8 06 1990, p. 17.Google Scholar
3 See, for example, Zubkova, E. Ya., ‘Uroki nezavershennykh povorotov 1956 i 1965 godov’, Voprosy istorii KPSS, 4 (04 1988)Google Scholar; Openkin, L. A., ‘Byli li povoroty v razvitii sovetskogo obshchestva v 50-kh i 60-kh godakh?’, Voprosy istorii KPSS, 8 (08 1988)Google Scholar; and Popov, Gavriil, ‘Dva tsveta vremeni, ili uroki Khrushcheva’, Ogonek, 42 (10 1989), p. 14.Google Scholar
4 This definition, as well as much of the discussion which follows, draws heavily on Gustafson. See Gustafson, Thane, Reform in Soviet Politics: Lessons of Recent Policies on Land and Water (Cambridge: Cambridge University Press, 1981), pp. ix–x.CrossRefGoogle Scholar The phrase ‘authoritative allocation of values’ is David Easton's; for an examination of its meaning and implications, see Easton, David, The Political System: An Inquiry into the State of Political Science (New York: Knopf, 1953), pp. 129–34.Google Scholar
5 Whitefield, Stephen, ‘Soviet Industrial Ministries as Political Institutions’ (doctoral thesis, Oxford University, 1991), p. 25.Google Scholar
6 The use of the term ‘regime’ in this discussion is quite deliberate. My analysis will proceed in terms of the Soviet regime rather than (as is the case with many similar discussions) the Soviet political system. Although the two phrases are sometimes used interchangeably, they are not the same thing. Unlike political systems, regimes are ‘wilful human agglomerations that actively implement policies’ and are capable of pursuing aims and of identifying and reacting to threats to their survival (Motyl, Alexander, Will the Non-Russians Rebel? State, Ethnicity and Stability in the USSR (New York: Cornell University Press, 1987), p. x).Google Scholar Focusing on the regime (on the actions and interests of individuals, groups and real institutions) rather than on the political system as a unit of analysis is intended to reduce the tendency towards over-abstraction.
7 Pravda, 13 01 1988Google Scholar; Gleason, Gregory, Federalism and Nationalism: The Struggle for Republican Rights in the USSR (Boulder, Colo.: Westview, 1990), pp. 5–6, 108, 130.Google Scholar
8 Gustafson, , Reform in Soviet Politics, p. x.Google Scholar
9 Masculine pronouns are used throughout this article when referring to a hypothetical reforming leader; this is done solely for the sake of economy of expression.
10 Stepan, Alfred, ‘State Power in the Southern Cone of Latin America’, in Evans, Peter B. et al. , eds, Bringing the State Back In (Cambridge: Cambridge University Press, 1985), pp. 319–20ff.Google Scholar
11 Whitefield, , Soviet Industrial Ministries, p. 17.Google Scholar
12 Popov, , ‘Dva tsveta vremeni’, pp. 16–17.Google Scholar
13 This is a simplification of William Riker's scheme of side payments; see The Theory of Political Coalitions (New Haven, Conn.: Yale University Press, 1962), pp. 109–13.Google Scholar
14 Starr, S. Frederick, ‘The Road to Reform’, in Brumberg, Abraham, ed., Chronicle of a Revolution: A Western-Soviet Inquiry into Perestroika (New York: Pantheon, 1990), p. 22.Google Scholar
15 Azrael, Jeremy, ‘Varieties of de-Stalinization’, in Johnson, Chalmers, ed., Change in Communist Systems (Palo Alto, Calif.: Stanford University Press, 1970), pp. 135–51, at p. 142.Google Scholar
16 Khrushchev, for example, privately acknowledged guilt for his role in the crimes of the Stalin era; see ‘Problemy istorii i sovremennosti’, Voprosy istorii KPSS, 2 (02 1989), p. 53.Google Scholar Gorbachev would appear to have felt genuine revulsion at the stagnation, corruption and injustice of the system of which he was a part; see Pravda, 20 05 1987, p. 1.Google Scholar
17 Niemi, Richard G., ‘Coalitions’, in Kuper, J., ed., Political Science and Political Theory (London: Routledge & Kegan Paul, 1987), pp. 25–7, at p. 26.Google Scholar
18 This is one of the reasons for rejecting accounts of Khrushchev's leadership like Carl Linden's, which treat Khrushchev as an embattled reformer fighting a losing struggle against the neo-Stalinists who surround him; matters were far more complicated than Linden's account implies. See Linden, Carl A., Khrushchev and the Soviet Leadership, 1957–1964 (Baltimore: Johns Hopkins University Press, 1966).Google Scholar For a critique of Linden's views, see Tompson, W. J., ‘Nikita Khrushchev and the Territorial Apparatus, 1953–1964’ (doctoral thesis, University of Oxford, 1991), pp. 284–90.Google Scholar
19 Sakwa, Richard, Gorbachev and His Reforms, 1985–1990 (Deddington, Oxon: Philip Allan, 1990), p. 40.Google Scholar
20 Gustafson, , Reform in Soviet Politics, p. x.Google Scholar
21 See, for example, Openkin, L. A., ‘Na istoricheskom pereput'e’, Voprosy istorii KPSS, 1 (01 1990)Google Scholar and Zubkova, E. Ya., ‘Khrushchev, Malenkov i “ottepel'”’, Kommunist, 9 (09 1990).Google Scholar
22 Hough, Jerry F. and Fainsod, Merle R., How the Soviet Union Is Governed (Cambridge, Mass.: Harvard University Press, 1979), pp. 192–3.Google Scholar
23 Gill, Graeme, ‘Khrushchev and Systemic Development’, in McCauley, Martin, ed., Khrushchev and Khrushchevism (London: Macmillan, 1987), pp. 30–45, at p. 33.Google Scholar
24 Hill, Ronald, ‘The CPSU in the 1990s’ (lecture given at St Antony's College, Oxford, 29 10 1990).Google Scholar
25 It would appear, however, that the 1953 leaders harboured such fears, at least in the immediate aftermath of Stalin's death. See Openkin, , ‘Na istoricheskom pereput'e’, p. 109Google Scholar, which hints at this. The tone of the leadership's pronouncements at the time of Stalin's death also suggested such a fear (see Pravda, 5–7 03 1953Google Scholar) as did their reactions to Beria's activities. See ‘Delo Beriia’, Izvestiia TsK KPSS, 1 & 2 (01 and 02 1991).Google Scholar
26 Pravda, 1 12 1990, p. 4.Google Scholar
27 Anecdotal evidence suggests that this enhanced the authority of local as well as central party leaders over the KGB (Karaulov, A., Vokrug Kremlya: kniga politicheskikh dialogov (Moscow: Novosti, 1990), p. 32).Google Scholar
28 Breslauer, George, Khrushchev and Brezhnev as Leaders: Building Authority in Soviet Politics (London: George Allen & Unwin, 1982), p. 40.Google Scholar See also Popov, , ‘Dva tsveta vremeni’, pp. 15, 17.Google Scholar
29 Stalin's nocturnal habits meant that state and party administrators often had to work extraordinarily long, late and irregular hours; failure to be in one's office when needed could be dangerous. As a result, the decree on working hours both improved administrators' quality of life and eased the pressure on them (Medvedev, R., N. S. Khrushchev: polilicheskaya biografiia (Moscow: Kniga, 1990), pp. 74–5Google Scholar; Adzhubei, Aleksei, ‘Krushenie nadezhd: Khrushchev, kakim ya ego pomniu’ (unpublished manuscript, 1991), pp. 139–40.Google Scholar
30 Azrael, , ‘Varieties of de-Stalinization’, p. 146Google Scholar; Popov, , ‘Dva tsveta vremeni’, pp. 14–17, especially p. 14.Google Scholar
31 Tompson, , ‘Khrushchev and the Territorial Apparatus’, pp. 257–60.Google Scholar
32 Tompson, , ‘Khrushchev and the Territorial Apparatus’, pp. 44, 67–8.Google Scholar
33 For a discussion of the implications of this shift in the regime's legitimation strategy for Soviet political life, see Miller, John, ‘The Communist Party: Trends and Problems’, in Brown, Archie and Kaser, Michael, eds, Soviet Policy for the 1980s (London: Macmillan, 1982). pp. 1–34, at pp. 1ffGoogle Scholar; also Zubkova, , ‘Khrushchev, Malenkov i “ottepel'”’, p. 87.Google Scholar
34 Breslauer, George, ‘Khrushchev Reconsidered’, Problems of Communism, 25, no. 5 (09–10 1976), 18–33, p. 23.Google Scholar
35 Breslauer, , ‘Khrushchev Reconsidered’, p. 24.Google Scholar
36 ‘Posle plenuma. Smeshchenie Khrushcheva: versiia dlya partaktiva’, Kommunist, 4 (03 1991), p. 110.Google Scholar
37 Tatu, Michel, Power in the Kremlin: From Khrushchev's Decline to Collective Leadership (London: Collins, 1969), pp. 244–9, 298–311, 316–19Google Scholar; Medvedev, , N. S. Khrushchev, pp. 144–8, 195–200, 245–62.Google Scholar
38 Sakwa, , Gorbachev and His Reforms, p. 29.Google Scholar
39 Breslauer, , Khrushchev and Brezhnev, p. 76.Google Scholar
40 Gorbachev in fact began pressing for political reform in 1985, but little headway was made until the January 1987 CC plenum. The fact that this plenum met only after three postponements attests to the strength of the opposition to this line of reform. See Gooding, John, ‘Gorbachev and Democracy’, Soviet Studies, 42 (1990), 195–231, p. 206.CrossRefGoogle Scholar
41 The Group of Seven's Plaza Accord of 1985 had a devastating effect on Soviet hard currency trade. Most Soviet exports were denominated in dollars, while imports tended to be in Deutschmarks; thus the fall in the dollar and the strengthening of the Deutschmark engineered by the G7 accord greatly weakened the Soviet Union's external accounts position. See Newman, Paul, ‘The USSR: A Banking and Financial Perspective’ (paper given at St Antony's College, Oxford, 14 05 1990).Google Scholar
42 Gooding, , ‘Gorbachev and Democracy’, p. 197.Google Scholar
43 John Gooding has traced the disappearance of all references to communism from Gorbachev's discourse; see, Gooding, , ‘Gorbachev and Democracy’, pp. 200–2.Google Scholar The link between the communist ideal and the CPSU's claim to power has been set out by T. H. Rigby; see Rigby, T. H., ‘Conclusion: The Gorbachev Era Launched’, in Miller, R. F., Miller, J. H. and Rigby, T. H., eds, Gorbachev at the Helm: A New Era in Soviet Politics? (London: Croom Helm, 1987), pp. 235–46.Google Scholar
44 Gooding, , ‘Gorbachev and Democracy’, pp. 197, 210–11Google Scholar; Breslauer, George, ‘Gorbachev: Diverse Perspectives’, in Hewett, Ed and Winston, Victor, eds, Milestones in Glasnost and Perestroyka: Politics and People (Washington, DC: The Brookings Institution, 1991), p. 490.Google Scholar
45 Gooding, John, ‘Perestroika as Revolution from Within: An Interpretation’, Russian Review, 51 (1992), p. 51.CrossRefGoogle Scholar
46 Hough, Jerry, ‘Gorbachev's Endgame’, in Dallin, Alexander and Lapidus, Gail, eds, The Soviet System in Crisis: A Reader of Western and Soviet Views (Boulder, Colo.: Westview, 1991), 224–50, at p. 235.Google Scholar
47 The phrase is Hough, 's (‘Gorbachev's Endgame’, p. 244).Google Scholar
48 Reddaway, Peter, ‘The Quality of Gorbachev's Leadership’Google Scholar, in Hewett, and Winston, , eds, Milestones in Glasnost and Perestroyka, pp. 431–45, at pp. 431, 434.Google Scholar
49 White, Stephen, Gorbachev in Power (Cambridge: Cambridge University Press, 1990), p. 183.Google Scholar
50 Sakwa, , Gorbachev and His Reforms, pp. 31–3.Google Scholar
51 Some recent Soviet observers have implied or argued that Khrushchev failed in part because he was not democratic enough. See Popov, , ‘Dva tsveta vremeni’, pp. 16–17Google Scholar; Openkin, , ‘Na istoricheskom pereput'e’, pp. 52–65.Google Scholar
52 Sakwa, , Gorbachev and His Reforms, p. 39.Google Scholar
53 Breslauer, , Khrushchev and Brezhnev, pp. 2–8.Google Scholar
54 Fairbanks, Charles H. Jr, ‘National Cadres in the Soviet System: The Evidence of Beria's Career’, in Azrael, Jeremy, ed., Soviet Nationality Policies and Practices (New York: Praeger, 1978), p. 181Google Scholar; Fairbanks, Charles H. Jr, ‘Soviet Bureaucratic Politics: The Role of Leaders and Lower Officials’, in Remington, Thomas F., ed., Politics and the Soviet System: Essays in Honour of Frederick C. Barghoorn (London: Macmillan, 1989), p. 109Google Scholar; Bialer, Seweryn, Stalin's Successors: Leadership, Stability and Change in the Soviet Union (Cambridge: Cambridge University Press, 1980), pp. 10, 16–17.Google Scholar
55 Popov, , ‘Dva tsveta vremeni’, p. 17.Google Scholar
56 Tompson, , ‘Khrushchev and the Territorial Apparatus’, chaps. 3–5.Google Scholar
57 Barsukov, N., ‘Kak byl “nizlozhen” N. S. Khrushchev’, Obshchestvennye nauki, 6 (11 1989), p. 136Google Scholar; Tompson, , ‘Khrushchev and the Territorial Apparatus’, pp. 280–4.Google Scholar
58 Breslauer, , Khrushchev and Brezhnev, pp. 35–8, 60, 78–9.Google Scholar
59 Popov, , ‘Dva tsveta vremeni’, p. 14.Google Scholar
60 Breslauer, , Khrushchev and Brezhnev, p. 110.Google Scholar
61 ‘Posle plenuma’, p. 110.Google Scholar
62 Adzhubei, Aleksei, Te desyat' let (Moscow: Sovetskaya Rossiia, 1989), p. 283Google Scholar; Popov, , ‘Dva tsveta vremeni’, p. 15Google Scholar; Komsomol'skayapravda, 2 06 1989, p. 2.Google Scholar
63 See, for example, Mikhailov, N., ‘Vozmozhen li segodnya Oktyabr' 1964 goda?’ Moskovskaya pravda, 18 08 1989, p. 2Google Scholar; Medvedev, R., ‘N. S. Khrushchev: 1964 god: Neozhidannoe smeshchenie’, in Aksiutin, Yu. V., ed., N. S. Khrushchev: Materialy k biografii (Moscow: Izdatel'stvo politicheskoi literatury, 1988), p. 199Google Scholar; Zubkova, E., ‘Oktyabr' 1964 goda: povorot ili perevorot?’ Kommunist, 13 (09 1989), pp. 93–4Google Scholar; Khrushchev, Sergei, Khrushchev on Khrushchev: An Inside Account of the Man and His Era (Boston, Mass.: Little, Brown, 1990) pp. 70–2, 75–6Google Scholar; Adzhubei, Aleksei, ‘Te desyat' let’, Znamya, 7 (07 1988), p. 130.Google Scholar
64 Miller, , ‘The Communist Party: Trends and Problems’, p. 1.Google Scholar
65 Reddaway, , ‘The Quality of Gorbachev's Leadership’Google Scholar, in Hewett, and Winston, , eds, Milestones in Glasnost and Perestroyka, p. 432.Google Scholar
66 Khrushchev, N. S., Stroitel'stvo kommunizma v SSSR i razvitie sel'skogo khozyaistva (Moscow: Gospolitizdat, 1963), vol. I, pp. 178, 402Google Scholar; vol. II, pp. 94–5, 376–7, 416, 425.
67 Barsukov, , ‘Kak byl “nizlozhen”’, p. 125.Google Scholar
68 ‘Posle plenuma’, pp. 110–11.Google Scholar
69 The reforming or transforming leader who sees a crisis before it actually occurs often faces great difficulties in generating a sense of urgency about the need for drastic action. See Tichy, Noel. M. and Devanna, Mary Ann, The Transformational Leader (New York: Wiley, 1986), pp. 29, 46–7.Google Scholar
70 Pravda, 23 08 1991, p. 2.Google Scholar
71 It is also likely that, after the coup, Gorbachev believed that resistance to reform within the party had been broken and that he could at last reform it into a social democratic party which would be dependent on him.
72 Jerry Hough has argued that much of Gorbachev's unwillingness to break decisively with the bureaucrats reflected his awareness that, in the long run, the bureaucrats would be his best friends, because there would be no satisfying the intellectuals. See Hough, Jerry, Russia and the West: Gorbachev and the Politics of Reform (New York: Simon & Schuster, 1990), pp. 177–9.Google Scholar
73 Gorbachev in early 1989 called on the intelligentsia to stop bickering and rally around perestroika (Pravda, 8 01 1989, pp. 2–4)Google Scholar. In Gorbachev's references to the intelligentsia's ‘responsibility to the people’ and the ‘distressed, bewildered, indignant’ mood of public opinion, John Gooding detects both a overt appeal and an implied threat (Gooding, , ‘Gorbachev and Democracy’, pp. 224–5).Google Scholar
74 Gorbachev also benefited from the fact that there was far more reformist thought/dialogue prior to 1985 than there had been prior to 1953. Many of the most important ideas of the perestroika period were developed by Soviet scholars and dissidents during the ‘years of stagnation’. See Starr, , ‘The Road to Reform’, pp. 17–29Google Scholar; Brown, Archie, ‘New Thinking on the Political System’, in Brown, Archie, ed., New Thinking in Soviet Politics (London: Macmillan, 1992), pp. 12–28, at especially pp. 12–15.CrossRefGoogle Scholar
75 Sakwa, , Gorbachev and His Reforms, p. 50.Google Scholar
76 At the April 1991 Central Committee plenum, a number of party leaders both harshly criticized Gorbachev and yet were remarkably frank in admitting that the party still needed him. See Pravda, 25 04 1991, pp. 1–2Google Scholar; 26 April 1991, p. 3; 27 April 1991, pp. 1–4; and 29 April 1991, p. 3.
77 Whitefield has argued that they were the dominant political actors; see Whitefield, , Soviet Industrial Ministries.Google Scholar
78 Katz, Abraham, The Politics of Economic Reform in the Soviet Union (New York: Praeger, 1972), p. 62.Google Scholar
79 Tatu, , Power in the Kremlin, pp. 284–5Google Scholar. There is some evidence that Khrushchev was moving towards acceptance of a genuinely economic reform before his fall but nothing of the sort was adopted until after his ouster (Khrushchev, , Khrushchev on Khrushchev, pp. 18–19).Google Scholar
80 These included the strengthening of systems of state control, the creation and subsequent strengthening of all-union State Committees, the reorganization of the economic councils themselves and the creation of all-union economic councils, and the strengtheining of the Soviet State Planning Committee. See Tompson, , ‘Khrushchev and the Territorial Apparatus’, pp. 227–57.Google Scholar
81 Personnel changes in Central Asia and elsewhere were geared to restoring central authority in areas which had been allowed under Brezhnev virtually to pass beyond the control of the centre. A number of union-republican ministries were shifted to all-union status (Nahaylo, Bohdan and Swoboda, Victor, Soviet Disunion: A History of the Nationalities Problem in the USSR (London: Hamish Hamilton, 1990), pp. 279–80).Google Scholar
82 Breslauer, , Khrushchev and Brezhnev, pp. 50, 55Google Scholar; Popov, , ‘Dva tsveta vremeni’, p. 14.Google Scholar
83 Popov, , ‘Dva tsveta vremeni’, p. 18.Google Scholar
84 Breslauer, , ‘Evaluating Gorbachev’, pp. 407–10Google Scholar; Tichy, and Devanna, , The Transformational Leader, chap. 1.Google Scholar
85 See Pravda and Izvestiia, 1 12 1990, p. 4.Google Scholar
86 Pravda, 1 12 1990, p. 4Google Scholar; italics added.
87 Gooding, , ‘Gorbachev and Democracy’, p. 197.Google Scholar
88 Pravda, 1 12 1990, p. 4.Google Scholar
89 Indeed, long after the coup, Gorbachev expressed his view that Lenin's revolution might have led to true socialism and democracy had it not been for Stalin, 's ThermidorGoogle Scholar; see Gorbachev, Mikhail. S., The August Coup (London: HarperCollins, 1991), p. 121.Google Scholar
90 Gooding, , ‘Perestroika as Revolution from Within’, p. 53.Google Scholar
91 Popov, , ‘Dva tsveta vremeni’, p. 15.Google Scholar
92 Popov, , ‘Dva tsveta vremeni’, p. 16.Google Scholar
93 Popov, , ‘Dva tsveta vremeni’, p. 16.Google Scholar
94 For an account of his fall, see Tompson, W J., ‘The Fall of Nikita Khrushchev’, Soviet Studies, 43 (1991), 1101–21CrossRefGoogle Scholar; for a discussion of the apparat's role specifically, see Tompson, , ‘Khrushchev and the Territorial Apparatus’, pp. 257–60.Google Scholar
95 Gustafson, Thane and Mann, Dawn, ‘Gorbachev's First Year: Building Power and Authority’, Problems of Communism, 35, No. 3 (03–06 1986), 1–19, at pp. 2–6Google Scholar; Gustafson, and Mann, , ‘Gorbachev's Next Gamble’, Problems of Communism, 36, No. 4 (07–08 1987), 1–20, at pp. 12–18.Google Scholar
96 Gustafson, and Mann, , ‘Gorbachev's Next Gamble’, p. 5.Google Scholar
97 Hough, described him as ‘modernizing westernizing Czar’Google Scholar on the model of Ataturk, Lee Kuan Yew and other Third World autocrats (Hough, , ‘Understanding Gorbachev’, p. 477).Google Scholar
98 Gooding, , ‘Gorbachev and Democracy’, pp. 212, 217.Google Scholar
99 Migranyan, Andranik has described this ‘steering crisis’Google Scholar which characterized post-1953 Soviet politics in terms similar to Popov's (Migranyan, A., ‘Mekhanizm tormozheniia v politicheskoi sisteme i puti ego preodoleniia’, in Afanas'ev, Yurii, ed., Inogo ne dano (Moscow: Progress, 1988), pp. 105–7.Google Scholar
100 Gooding, , ‘Perestroika as Revolution from Within’, p. 49.Google Scholar
101 The most prominent of the latter group was the historian Andranik Migranyan; see his ‘Dolgii put' k evropeiskomu domu’, Novyi mir, 7 (1989), 166–84Google Scholar; and ‘Gorbachev's Leadership: A Soviet View’, Soviet Economy, 6 (1990), 155–9.Google Scholar
102 Migranyan, , ‘Gorbachev's Leadership’, p. 155.Google Scholar