胡贝图斯•柯纳比（Hubertus Knabe）Jun 2014 易翀 译
演讲视频地址：
http://www.amara.org/en/videos/OphI6r8TkLu0/info/the-dark-secrets-of-a-surveillance-state/
https://www.ted.com/talks/hubertus_knabe_the_dark_secrets_of_a_surveillance_state
图1
今年，德国正在庆祝东德和平革命25周年。在1989年，共产主义政权垮台，柏林墙倒塌，一年之后，东边的德意志民主共和国，简称GDR，与西边的德意志联邦共和国统一，成立了今天的德国。两德统一有很多其它的事项，其中包括德国继承了东德秘密警察即史塔西（Stasi）的档案。在史塔西解散后仅两年，它的文档向公众开放，然后像我这样的历史学家开始研究这些文档，以了解更多关于GDR监控国是如何运作的。
可能你看过「窃听风暴」这部电影。这部电影使史塔西闻名世界，因为在我们生活的时代，新闻首页会出现诸如「监控」或「窃听」这种字眼，所以我想谈一下史塔西实际上是如何运作的。
图2
首先，让我们简短回顾一下史塔西的历史，因为理解它的自我概念真的很重要。它起源于俄国。1917年，俄国共产党人建立了肃清反革命和消除怠工紧急委员会，简称契卡（肃反委员会）。它的领导人是费利克斯・捷尔任斯基。契卡是共产党人恐吓群众和处死敌人从而建立政权的一个工具。后来它演变为著名的KGB（克格勃，即苏联国家安全委员会）。契卡是史塔西特工的楷模，他们自称是契卡成员，如你在这里所见，甚至连它们的徽章也非常相似（见图2）。事实上，俄国秘密警察是史塔西的创造者和指导者。1945年，当红色军队占领了东德之后，契卡马上在这里扩张，并且不久之后它便开始训练德国共产党人建立他们自己的秘密警察。顺便提一下，我们现在所在的大厅正是1946年东德执政党成立的地方。
图3
五年之后，史塔西成立了，然后肮脏的压迫工作便逐步移交给它。例如，关押政治犯的中央监狱是俄国人建立的，由史塔西接管和使用，直到共产主义的终结。你看到的就是这个监狱（见图3）。刚开始，每个重要步骤的进行都有俄国人在场。但是德国人因高效闻名，所以史塔西成长非常迅速，早在1953年，它的雇员数量已经超过了盖世太保，纳粹德国的秘密警察。这个数字每十年翻一倍。1989年，超过9万名雇员为史塔西工作。这意味着每位雇员负责180位居民，这在世界上是非常罕见的。
在这庞大的机构顶端，有一个叫埃里希・米尔克的男人，他掌管国家安全部超过30年。他是一个严谨的官员 — 他过去曾在离这里不远的地方杀了两名警察 — 事实上是他定位了史塔西。
图4
但是史塔西为什么这么独特？主要是它拥有庞大的权力，因为它把不同的功能合并到一个组织中。首先，史塔西是一个情报机构。它使用所有可以想象的工具来秘密地获取情报，例如线人或者窃听电话，从这张图片你可以看到（见图4）。还有它不仅活跃在东德，而且也活跃在全世界。第二，史塔西是秘密警察。它可以在大街上拦人并拘捕他们进自己的监狱。第三，史塔西的运作有点像公共检查机构。它有权启动初步调查并正式地审问人民。最后，但也同样重要的是，史塔西拥有自己的军事力量。超过1万1千名士兵在它所谓的警卫团中服役。它被建立来镇压抗议和暴动。由于这种集权，史塔西被称为国家中的国家。
图5
图6
然而，让我们来看看史塔西工具的更多细节。请记住当时互联网和智能手机还没发明。当然，史塔西使用各式各样的技术工具来监视人民。电话被窃听，包括西德总理的电话，而且也常常包括其住所的电话。每天有9万封信被这些机器（见图5）打开。史塔西也跟踪成千上万的人，它利用特殊训练的特工和秘密相机来记录人们所走的每一步。在这张照片里（见图6），你可以看见我还是一个年轻人的样子，刚好在我们现在所在的这个建筑物前面，照片是一名史塔西特工拍的。史塔西甚至收集人们的气味。它把样本保存在密封的罐子里，这些罐子在和平革命后被发现。以上所有任务，由高度专业化部门负责。窃听电话的部门和掌管信件的部门是完全分开的，这样做是有充分理由的，因为如果有特工离开史塔西，他所知道的东西很少。举个例子，把这个情况和斯诺登的情况对比一下就知道了（爱德华・斯诺登，泄露美国棱镜计划）。但是纵向分工也很重要，用于防止对观察对象的各种同情。跟踪我的特工并不知道我是谁或者我为什么会被监视。事实上，我从西德向东德走私了禁书。
图7
但对于史塔西更典型的是利用人力情报，即秘密向史塔西报告的人。对国家安全部来说，这些所谓的非正式雇员是最重要的工具。从1975年起，将近20万人和史塔西长期合作，人数多于国家人口的百分之一。在某种程度上，安全部是对的，因为技术工具只能记录人们在做什么，但是特工和间谍也能报告人们在计划做什么以及他们在想什么。因此，史塔西招募了大量线人。如它所言，如何招募线人以及如何教育线人的方法是非常复杂的。史塔西有自己的大学，离这里不远，他们在那里探索并教授特工这些方法。假如你想要说服人们背叛他们的公民同胞，这本指引（见图7）给出了你必须采取的每个步骤的详细描述。有时，有人说告密者是被迫成为其中一员的，但这在大部分情况下并不真实，因为被强迫的告密者是糟糕的告密者。只有想要给你所需信息的人才是一个有效的告密者。人们和史塔西合作的主要原因是政治信仰和物质利益。特工人员也尝试在他们和告密者之间建立一种私人关系。说实话，史塔西的案例显示要赢得某人背叛他人并不太难。甚至一些东德的高层异议分子与史塔西有合作，例如伊布拉西・博梅。在1989年，他是和平革命的领袖，而且几乎就成为了东德首位自由选举产生的总理，直到他被揭穿是个线人。
间谍网络非常广泛。几乎在每一个机构，甚至在教堂或者西德都有大量间谍存在。我记得告诉过一个史塔西特工领导，“如果你向我派一个告密者，我肯定能认出他。”他的回答是，“我们没有派任何人。我们使用的是那些在你身边的人。”事实上，我的两个最好的朋友向史塔西报告关于我的情况。线人是非常亲近的人，并不只发生在我的身上。例如，另一个异议分子领袖，薇拉・雷恩斯菲尔德，在她的案例中，她丈夫是暗中监视她的人。一位著名作家被他的兄弟背叛。这令我想起乔治・奧威尔写的小说「1984」，小说里仅有的看起来可以信任的人是一名告密者。
但是为什么史塔西将所有的这些信息收集到它的档案里？主要目的是控制社会。史塔西部长几乎在每次讲话中都会下令弄清楚谁是谁，即每个人在想什么。他不想等到某人尝试反抗这个政权。他想提前知道人们在想什么和计划什么。在一个制造不信任和普遍恐惧状态的极权主义政权下，东德人当然知道他们被告密者包围，告密者在任何一个独裁国家都是压迫人民的最重要的工具。
图8
这就是为什么尝试与共产主义政权作斗争的东德人并不多。如果这样做，史塔西经常使用一种非常残忍的方法。它被称为‘分解’（Zersetzung），在另一本指引（见图8）中有所描述。这个单词很难翻译，因为它的原意是“生物降解”。但实际上，这是相当精确的描述。它的目的是秘密地破坏人们的自信，例如损害他们的名声，在他们工作中安排失败，以及破坏他们的个人关系。考虑到这一点，东德是一个非常现代的独裁国家。史塔西没有尝试拘捕每一个异议分子。它更喜欢瘫痪他们，它之所以能够这么做是因为它可以利用大量的个人信息和大量的机构。逮捕某人只是作为一种最后的手段。为此，史塔西拥有17座羁押监狱，每个地区都有一个。在这里，史塔西也发明了非常现代的拘留方法。通常，审讯官并不拷问犯人。相反，他使用的是一种复杂的心理施压方法，其核心是严格隔离。几乎没有囚犯能忍住不招供。如果你有机会，请参观柏林的前史塔西监狱，并且参与一次由前政治犯作向导的游览，他们会向你解释这一切是怎么运作的。
还有一个问题需要解答：如果史塔西组织得这么好，为什么共产主义政权崩塌了？首先，在1989年，东德的领导层不知道怎么应对不断增长的民众抗议。它非常困惑，因为在社会主义的诞生地苏联出现了一个更加自由化的政策。另外，这个政权依赖来自西德的贷款。所以，史塔西并没有收到镇压暴动的命令。其次，在共产主义的意识形态里，没有批判主义的位置。相反地，领导层坚信社会主义是一个完美的体系。当然，史塔西必须证实这个信念。结果是尽管拥有所有信息，这个政权却不能分析出自己真正的问题，因此它解决不了问题。最后，史塔西因它负责保护的体系而灭亡。
史塔西的结局是悲剧的，因为这些特工人员在和平革命期间只忙于一件事：销毁他们几十年来生产的文件。幸运的是，人权活动家制止了他们。这就是为什么今天我们能利用这些文档来更好地了解一个监控国是如何运作的原因。
谢谢。
（掌声）
Bruno Giussani（以下简称BG）：谢谢。非常感谢你。所以胡贝图斯，我想问你一些问题，因为我这里有上一周的明镜周刊。"Mein Nachbar NSA."「我的邻居，NSA」（美国国家安全局）。而你刚刚告诉我们关于我的邻居，东德间谍和线人。所以这两个故事之间有没有直接联系？作为一名历史学家，当你看到这个时你是如何看待的呢？
胡贝图斯•柯纳比（Hubertus Knabe）：我觉得有几个方面要提。首先，我觉得收集这些数据的原因不一样。你做这件事的原因是为了保护你的人民远离恐怖袭击还是为了压迫你的人民？所以这会是一个本质上的区别。但另一方面，在民主国家中，这些工具也有可能被滥用，这是我们必须真正注意并制止的地方，还有情报机构也要遵守我们已有的规则。第三点，可能我们能生活在民主国家真的很幸福，因为你能确定俄罗斯和中国正在做同样的事，但是没有人提及它，因为没有人能够那样做。
（掌声）
BG：去年七月，当这个新闻报道首次出现的时候，你向德国法庭递交了一份刑事起诉书。为什么？
HK：是的，我这么做是因为我所提到的第二点，我觉得规则是对每个人而言的，尤其是在民主国家。因为规则是为每个人制定的，所以任何机构都必须遵守这些规则。德国的刑法规定没有法官的许可不能窃听某个人。很幸运，德国的刑法有这一条，所以如果它不被遵守，那么我觉得有必要展开调查，然后花了很长时间德国的检察官才启动调查，而且他只在安吉拉・默克尔的案件中启动调查，而不是所有其他生活在德国的人。
BG：这没让我惊讶，因为
—（掌声）— 因为你告诉我们的故事。从外界来看，我住在德国以外的地方，我期望德国马上给出更强力更及时的反应，然而，仅当默克尔总理被揭露在被窃听时这个反应才真正出现。为什么这样？
HK：我认为这是个好迹象，因为人们在这个民主国家中感觉很安全。他们没有因为会被拘捕而害怕，而且如果你在会议后离开这个大厅，没人需要害怕秘密警察站在外面等着拘捕你。所以我觉得这是一个好的迹象。人们没有真的害怕，像他们可能的那样。但是当然，我认为，相关机构有责任去制止（窃听的）非法行为，无论是发生在德国还是发生在其它什么地方。
BG：问一个私人问题，这是最后一个。关于给爱德华・斯诺登提供政治庇护，德国国内有争论。你会赞成还是反对呢？
HK：噢，这是一个很难的问题，但如果你问我，并且如果我如实回答的话，我会给他庇护，因为我觉得他所做的事情真的很勇敢，他毁掉了自己一生和他的家庭以及一切。所以我觉得，对于这些人，我们应该做一些事情，特别是如果你回顾德国历史，有很多人不得不逃离，他们向其它国家请求庇护而不得，所以给他提供庇护会是一个好的迹象。
（掌声）
BG：胡贝图斯，非常感谢你。
附演讲原文：
This year, Germany
is celebrating the 25th anniversary of the peaceful revolution in East Germany Germany Germany
Perhaps you have watched the movie "The
Lives of Others." This movie made the Stasi known worldwide, and as we
live in an age where words such as "surveillance" or "wiretapping"
are on the front pages of newspapers, I would like to speak about how the Stasi
really worked.
At the beginning, let's have a short look at
the history of the Stasi, because it's really important for understanding its
self-conception. Its origins are located in Russia Russia East Germany
Five years later, the Stasi was
established, and step by step, the dirty job of oppression was handed over to
it. For instance, the central jail for political prisoners, which was established
by the Russians, was taken over by the Stasi and used until the end of
Communism. You see it here. At the beginning, every important step took place
under the attendance of the Russians. But the Germans are known to be very
effective, so the Stasi grew very quickly, and already in 1953, it had more
employees than the Gestapo had, the secret police of Nazi Germany. The number
doubled in each decade. In 1989, more than 90,000 employees worked for the
Stasi. This meant that one employee was responsible for 180 inhabitants, which
was really unique in the world.
At the top of this tremendous apparatus, there
was one man, Erich Mielke. He ruled the Ministry of State Security for more
than 30 years. He was a scrupulous functionary —in his past, he killed two
policemen not far away from here —who in fact personalized the Stasi.
But what was so exceptional about the
Stasi? Foremost, it was its enormous power, because it united different
functions in one organization. First of all, the Stasi was an intelligence
service. It used all the imaginable instruments for getting information
secretly, such as informers, or tapping phones, as you can see it on the
picture here. And it was not only active in East Germany
But let's look in more and more detail at
the tools of the Stasi. Please keep in mind that at that time the web and smart
phones were not yet invented. Of course, the Stasi used all kinds of technical
instruments to survey people. Telephones were wiretapped, including the phone
of the German chancellor in the West, and often also the apartments. Every day,
90,000 letters were being opened by these machines. The Stasi also shadowed
tens of thousands of people using specially trained agents and secret cameras to
document every step one took. In this picture, you can see me as a young man
just in front of this building where we are now, photographed by a Stasi agent.
The Stasi even collected the smell of people. It stored samples of it in closed
jars which were found after the peaceful revolution. For all these tasks,
highly specialized departments were responsible. The one which was tapping
phone calls was completely separated from the one which controlled the letters,
for good reasons, because if one agent quit the Stasi, his knowledge was very
small. Contrast that with Snowden, for example. But the vertical specialization
was also important to prevent all kinds of empathy with the object of
observation. The agent who shadowed me didn't know who I was or why I was
surveyed. In fact, I smuggled forbidden books from West to East Germany
But what was even more typical for the
Stasi was the use of human intelligence, people who reported secretly to the
Stasi. For the Minister of State Security, these so-called unofficial employees
were the most important tools. From 1975 on, nearly 200,000 people collaborated
constantly with the Stasi, more than one percent of the population. And in a
way, the minister was right, because technical instruments can only register
what people are doing, but agents and spies can also report what people are
planning to do and what they are thinking. Therefore, the Stasi recruited so
many informants. The system of how to get them and how to educate them, as it
was called, was very sophisticated. The Stasi had its own university, not far
away from here, where the methods were explored and taught to the officers. This
guideline gave a detailed description of every step you have to take if you
want to convince human beings to betray their fellow citizens. Sometimes it's
said that informants were pressured to becoming one, but that's mostly not
true, because a forced informant is a bad informant. Only someone who wants to
give you the information you need is an effective whistle blower. The main
reasons why people cooperated with the Stasi were political conviction and
material benefits. The officers also tried to create a personal bond between
themselves and the informant, and to be honest, the example of the Stasi shows that
it's not so difficult to win someone in order to betray others. Even some of
the top dissidents in East
Germany
The net of spies was really broad. In
nearly every institution, even in the churches or in West Germany
But why did the Stasi collect all this
information in its archives? The main purpose was to control the society. In
nearly every speech, the Stasi minister gave the order to find out who is who, which
meant who thinks what. He didn't want to wait until somebody tried to act
against the regime. He wanted to know in advance what people were thinking and
planning. The East Germans knew, of course, that they were surrounded by
informers, in a totalitarian regime that created mistrust and a state of
widespread fear, the most important tools to oppress people in any
dictatorship.
That's why not many East Germans tried to
fight against the Communist regime. If yes, the Stasi often used a method which
was really diabolic. It was called Zersetzung,
and it's described in another guideline. The word is difficult to translate
because it means originally "biodegradation." But actually, it's a
quite accurate description. The goal was to destroy secretly the
self-confidence of people, for example by damaging their reputation, by organizing
failures in their work, and by destroying their personal relationships. Considering
this, East Germany Berlin
One more question needs to be answered: If
the Stasi were so well organized, why did the Communist regime collapse? First,
in 1989, the leadership in East
Germany Soviet Union , a more
liberal policy took place. In addition, the regime was dependent on the loans
from the West. Therefore, no order to crash down the uprising was given to the
Stasi. Secondly, in the Communist ideology, there's no place for criticism. Instead,
the leadership stuck to the belief that socialism is a perfect system, and the
Stasi had to confirm that, of course. The consequence was that despite all the
information, the regime couldn't analyze its real problems, and therefore it
couldn't solve them. In the end, the Stasi died because of the structures that
it was charged with protecting.
The ending of the Stasi was something
tragic, because these officers were kept busy during the peaceful revolution with
only one thing: to destroy the documents they had produced during decades. Fortunately,
they had been stopped by human rights activists. That's why today we can use
the files to get a better understanding of how a surveillance state functions.
Thank you.
(Applause)
Bruno Giussani: Thank you. Thank you very
much. So Hubertus, I want to ask you a couple of questions because I have here
Der Spiegel from last week. "Mein Nachbar NSA." My neighbor, the NSA.
And you just told us about my neighbor, the spies and the informant from East Germany
Hubertus Knabe: I think there are several
aspects to mention. At first, I think there's a difference of why you are
collecting this data. Are you doing that for protecting your people against
terrorist attacks, or are you doing that for oppressing your people? So that
makes a fundamental difference. But on the other hand, also in a democracy,
these instruments can be abused, and that is something where we really have to
be aware to stop that, and that also the intelligence services are respecting
the rules we have. The third point, probably, we really can be happy that we live in a democracy, because you can be
sure that Russia and China
(Applause)
BG: When the story came out first, last
July, last year, you filed a criminal complaint with a German tribunal. Why? HK:
Yeah, I did so because of the second point I mentioned, that I think especially
in a democracy, the rules are for everybody. They are made for everybody, so
it's not allowed that any institution doesn't respect the rules. In the
criminal code of Germany Germany , so if it's not respected, then I think an
investigation is necessary, and it took a very long time that the public
prosecutor of Germany
started this, and he started it only in the case of Angela Merkel, and not in
the case of all the other people living in Germany
BG: That doesn't surprise me because
—(Applause) —because of the story you told. Seen from the outside, I live
outside of Germany
HK: I take it as a good sign, because
people feel secure in this democracy. They aren't afraid that they will be
arrested, and if you leave this hall after the conference, nobody has to be
afraid that the secret police is standing out and is arresting you. So that's a
good sign, I think. People are not really scared, as they could be. But of
course, I think, the institutions are responsible to stop illegal actions in Germany
BG: A personal question, and this is the
last one. There has been a debate in Germany
HK: Oh, that's a difficult question, but if
you ask me, and if I answer honestly, I would give him the asylum, because I
think it was really brave what he did, and he destroyed his whole life and his
family and everything. So I think, for these people, we should do something, and
especially if you see the German history, where so many people had to escape and
they asked for asylum in other countries and they didn't get it, so it would be
a good sign to give him asylum.
(Applause)
BG: Hubertus,
thank you very much.
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