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Document 21
Record of conversation between Mikhail Gorbachev and George Bush. White House, Washington D.C.
May 31, 1990
Source
Gorbachev Foundation Archive, Moscow, Fond 1, opis 1.[13]
In this famous “two anchor” discussion, the U.S. and Soviet delegations deliberate over the process of German unification and especially the issue of a united Germany joining NATO. Bush tries to persuade his counterpart to reconsider his fears of Germany based on the past, and to encourage him to trust the new democratic Germany. The U.S. president says, “Believe me, we are not pushing Germany towards unification, and it is not us who determines the pace of this process. And of course, we have no intention, even in our thoughts, to harm the Soviet Union in any fashion. That is why we are speaking in favor of German unification in NATO without ignoring the wider context of the CSCE, taking the traditional economic ties between the two German states into consideration. Such a model, in our view, corresponds to the Soviet interests as well.” Baker repeats the nine assurances made previously by the administration, including that the United States now agrees to support the pan-European process and transformation of NATO in order to remove the Soviet perception of threat. Gorbachev’s preferred position is Germany with one foot in both NATO and the Warsaw Pact—the “two anchors”—creating a kind of associated membership. Baker intervenes, saying that “the simultaneous obligations of one and the same country toward the WTO and NATO smack of schizophrenia.” After the U.S. president frames the issue in the context of the Helsinki agreement, Gorbachev proposes that the German people have the right to choose their alliance—which he in essence already affirmed to Kohl during their meeting in February 1990. Here, Gorbachev significantly exceeds his brief, and incurs the ire of other members of his delegation, especially the official with the German portfolio, Valentin Falin, and Marshal Sergey Akhromeyev. Gorbachev issues a key warning about the future: “if the Soviet people get an impression that we are disregarded in the German question, then all the positive processes in Europe, including the negotiations in Vienna [over conventional forces], would be in serious danger. This is not just bluffing. It is simply that the people will force us to stop and to look around.” It is a remarkable admission about domestic political pressures from the last Soviet leader.
Document 22
Letter from Mr. Powell (N. 10) to Mr. Wall: Thatcher-Gorbachev memorandum of conversation.
Jun 8, 1990
Source
Documents on British Policy Overseas, series III, volume VII: German Unification, 1989-1990. (Foreign and Commonwealth Office. Documents on British Policy Overseas, edited by Patrick Salmon, Keith Hamilton, and Stephen Twigge, Oxford and New York, Routledge 2010), pp 411-417
Margaret Thatcher visits Gorbachev right after he returns home from his summit with George Bush. Among many issues in the conversation, the center of gravity is on German unification and NATO, on which, Powell notes, Gorbachev’s “views were still evolving.” Rather than agreeing on German unification in NATO, Gorbachev talks about the need for NATO and the Warsaw pact to move closer together, from confrontation to cooperation to build a new Europe: “We must mould European structures so that they helped us find the common European home. Neither side must be afraid of unorthodox solutions.”
While Thatcher speaks against Gorbachev’s ideas short of full NATO membership for Germany and emphasizes the importance of a U.S. military presence in Europe, she also sees that “CSCE could provide the umbrella for all this, as well as being the forum which brought the Soviet Union fully into discussion about the future of Europe.” Gorbachev says he wants to “be completely frank with the Prime Minister” that if the processes were to become one-sided, “there could be a very difficult situation [and the] Soviet Union would feel its security in jeopardy.” Thatcher responds firmly that it was in nobody’s interest to put Soviet security in jeopardy: “we must find ways to give the Soviet Union confidence that its security would be assured.”
Document 23
Record of Conversation between Mikhail Gorbachev and Helmut Kohl, Moscow (Excerpts).
Jul 15, 1990
Source
Mikhail Gorbachev i germanskii vopros, edited by Alexander Galkin and Anatoly Chernyaev, (Moscow: Ves Mir, 2006), pp. 495-504
This key conversation between Chancellor Kohl and President Gorbachev sets the final parameters for German unification. Kohl talks repeatedly about the new era of relations between a united Germany and the Soviet Union, and how this relationship would contribute to European stability and security. Gorbachev demands assurances on non-expansion of NATO: “we must talk about the nonproliferation of NATO military structures to the territory of the GDR, and maintaining Soviet troops there for a certain transition period.” The Soviet leader notes earlier in the conversation that NATO has already began transforming itself. For him, the pledge of NATO non-expansion to the territory of the GDR in spirit means that NATO would not take advantage of the Soviet willingness to compromise on Germany. He also demands that the status of Soviet troops in the GDR for the transition period be “regulated. It should not hang in the air, it needs a legal basis.” He hands Kohl Soviet considerations for a full-fledged Soviet-German treaty that would include such guarantees. He also wants assistance with relocating the troops and building housing for them. Kohl promises to do so as long as this assistance is not construed as “a program of German assistance to the Soviet Army.”
Talking about the future of Europe, Kohl alludes to NATO transformation: “We know what awaits NATO in the future, and I think you are now in the know as well.” Kohl also emphasizes that President Bush is aware and supportive of Soviet-German agreements and will play a key role in the building of the new Europe. Chernyaev sums up this meeting in his diary for July 15, 1990: “Today – Kohl. They are meeting at the Schechtel mansion on Alexei Tolstoy Street. Gorbachev confirms his agreement to unified Germany’s entry into NATO. Kohl is decisive and assertive. He leads a clean but tough game. And it is not the bait (loans) but the fact that it is pointless to resist here, it would go against the current of events, it would be contrary to the very realities that M.S. likes to refer to so much.”[14]
Document 24
Memorandum of Telephone Conversation between Mikhail Gorbachev and George Bush
Jul 17, 1990
Source
George H.W. Bush Presidential Library, Memcons and Telcons ((https://bush41library.tamu.edu/)
President Bush reaches out to Gorbachev immediately after the Kohl-Gorbachev meetings in Moscow and the Caucasus retreat of Arkhyz, which settled German unification, leaving only the financial arrangements for resolution in September. Gorbachev had not only made the deal with Kohl, but he had also survived and triumphed at the 28th Congress of the CPSU in early July, the last in the history of the Soviet Party. Gorbachev describes this time as “perhaps the most difficult and important period in my political life.” The Congress subjected the party leader to scathing criticism from both conservative Communists and the democratic opposition. He managed to defend his program and win reelection as general secretary, but he had very little to show from his engagement with the West, especially after ceding so much ground on German unification.
While Gorbachev fought for his political life as Soviet leader, the Houston summit of the G-7 had debated ways to help perestroika, but because of U.S. opposition to credits or direct economic aid prior to the enactment of serious free-market reforms, no concrete assistance package was approved; the group went no further than to authorize “studies” by the IMF and World Bank. Gorbachev counters that given enough resources the USSR “could move to a market economy,” otherwise, the country “will have to rely more on state-regulated measures.” In this phone call, Bush expands on Kohl’s security assurances and reinforces the message from the London Declaration: “So what we tried to do was to take account of your concerns expressed to me and others, and we did it in the following ways: by our joint declaration on non-aggression; in our invitation to you to come to NATO; in our agreement to open NATO to regular diplomatic contact with your government and those of the Eastern European countries; and our offer on assurances on the future size of the armed forces of a united Germany – an issue I know you discussed with Helmut Kohl. We also fundamentally changed our military approach on conventional and nuclear forces. We conveyed the idea of an expanded, stronger CSCE with new institutions in which the USSR can share and be part of the new Europe.”
Document 25
September 12 Two-Plus-Four Ministerial in Moscow: Detailed account [includes text of the Treaty on the Final Settlement with Respect to Germany and Agreed Minute to the Treaty on the special military status of the GDR after unification]
Nov 2, 1990
Source
George H.W. Bush Presidential Library, NSC Condoleezza Rice Files, 1989-1990 Subject Files, Folder “Memcons and Telcons – USSR [1]”
Staffers in the European Bureau of the State Department wrote this document, practically a memcon, and addressed it to senior officials such as Robert Zoellick and Condoleezza Rice, based on notes taken by U.S. participants at the final ministerial session on German unification on September 12, 1990. The document features statements by all six ministers in the Two-Plus-Four process – Shevardnadze (the host), Baker, Hurd, Dumas, Genscher, and De Maiziere of the GDR – (much of which would be repeated in their press conferences after the event), along with the agreed text of the final treaty on German unification. The treaty codified what Bush had earlier offered to Gorbachev – “special military status” for the former GDR territory. At the last minute, British and American concerns that the language would restrict emergency NATO troop movements there forced the inclusion of a “minute” that left it up to the newly unified and sovereign Germany what the meaning of the word “deployed” should be. Kohl had committed to Gorbachev that only German NATO troops would be allowed on that territory after the Soviets left, and Germany stuck to that commitment, even though the “minute” was meant to allow other NATO troops to traverse or exercise there at least temporarily. Subsequently, Gorbachev aides such as Pavel Palazhshenko would point to the treaty language to argue that NATO expansion violated the “spirit” of this Final Settlement treaty.
Document 26U.S. Department of State, European Bureau: Revised NATO Strategy Paper for Discussion at Sub-Ungroup MeetingOct 22, 1990
Source
George H. W. Bush Presidential Library, NSC Heather Wilson Files, Box CF00293, Folder “NATO – Strategy (5)”
The Bush administration had created the “Ungroup” in 1989 to work around a series of personality conflicts at the assistant secretary level that had stalled the usual interagency process of policy development on arms control and strategic weapons. Members of the Ungroup, chaired by Arnold Kanter of the NSC, had the confidence of their bosses but not necessarily the concomitant formal title or official rank.[15] The Ungroup overlapped with a similarly ad hoc European Security Strategy Group, and this became the venue, soon after German unification was completed, for the discussion inside the Bush administration about the new NATO role in Europe and especially on NATO relations with countries of Eastern Europe. East European countries, still formally in the Warsaw Pact, but led by non-Communist governments, were interested in becoming full members of international community, looking to join the future European Union and potentially NATO.
This document, prepared for a discussion of NATO’s future by a Sub-Ungroup consisting of representatives of the NSC, State Department, Joint Chiefs and other agencies, posits that "
a potential Soviet threat remains and constitutes one basic justification for the continuance of NATO.” At the same time, in the discussion of potential East European membership in NATO, the review suggests that “In the current environment, it is not in the best interest of NATO or of the U.S. that these states be granted full NATO membership and its security guarantees.” The United States does not “wish to organize an anti-Soviet coalition whose frontier is the Soviet border” – not least because of the negative impact this might have on reforms in the USSR. NATO liaison offices would do for the present time, the group concluded, but the relationship will develop in the future. In the absence of the Cold War confrontation, NATO “out of area” functions will have to be redefined.
Document 27
James F. Dobbins, State Department European Bureau, Memorandum to National Security Council: NATO Strategy Review Paper for October 29 Discussion.
Oct 25, 1990
Source
George H. W. Bush Presidential Library: NSC Philip Zelikow Files, Box CF01468, Folder “File 148 NATO Strategy Review No. 1 [3]”[16]
This concise memorandum comes from the State Department’s European Bureau as a cover note for briefing papers for a scheduled October 29, 1990 meeting on the issues of NATO expansion and European defense cooperation with NATO. Most important is the document’s summary of the internal debate within the Bush administration, primarily between the Defense Department (specifically the Office of the Secretary of Defense, Dick Cheney) and the State Department. On the issue of NATO expansion, OSD “wishes to leave the door ajar” while State “prefers simply to note that discussion of expanding membership is not on the agenda….” The Bush administration effectively adopts State’s view in its public statements, yet the Defense view would prevail in the next administration.
Document 28
Ambassador Rodric Braithwaite diary, 05 March 1991
Mar 5, 1991
Source
Rodric Braithwaite personal diary (used by permission from the author)
British Ambassador Rodric Braithwaite was present for a number of the assurances given to Soviet leaders in 1990 and 1991 about NATO expansion. Here, Braithwaite in his diary describes a meeting between British Prime Minister John Major and Soviet military officials, led by Minister of Defense Marshal Dmitry Yazov. The meeting took place during Major’s visit to Moscow and right after his one-on-one with President Gorbachev. During the meeting with Major, Gorbachev had raised his concerns about the new NATO dynamics: “Against the background of favorable processes in Europe, I suddenly start receiving information that certain circles intend to go on further strengthening NATO as the main security instrument in Europe. Previously they talked about changing the nature of NATO, about transformation of the existing military-political blocs into pan-European structures and security mechanisms. And now suddenly again [they are talking about] a special peace-keeping role of NATO. They are talking again about NATO as the cornerstone. This does not sound complementary to the common European home that we have started to build.” Major responded: “I believe that your thoughts about the role of NATO in the current situation are the result of misunderstanding. We are not talking about strengthening of NATO. We are talking about the coordination of efforts that is already happening in Europe between NATO and the West European Union, which, as it is envisioned, would allow all members of the European Community to contribute to enhance [our] security.”[17] In the meeting with the military officials that followed, Marshal Yazov expressed his concerns about East European leaders’ interest in NATO membership. In the diary, Braithwaite writes: “Major assures him that nothing of the sort will happen.” Years later, quoting from the record of conversation in the British archives, Braithwaite recounts that Major replied to Yazov that he “did not himself foresee circumstances now or in the future where East European countries would become members of NATO.” Ambassador Braithwaite also quotes Foreign Minister Douglas Hurd as telling Soviet Foreign Minister Alexander Bessmertnykh on March 26, 1991, “there are no plans in NATO to include the countries of Eastern and Central Europe in NATO in one form or another.”[18]
Document 29Paul Wolfowitz Memoranda of Conversation with Vaclav Havel and Lubos Dobrovsky in Prague.
Apr 27, 1991
Source
U.S. Department of Defense, FOIA release 2016, National Security Archive FOIA 20120941DOD109
These memcons from April 1991 provide the bookends for the “education of Vaclav Havel” on NATO (see Documents 12-1 and 12-2 above). U.S. Undersecretary of Defense for Policy Paul Wolfowitz included these memcons in his report to the NSC and the State Department about his attendance at a conference in Prague on “The Future of European Security,” on April 24-27, 1991. During the conference Wolfowitz had separate meetings with Havel and Minister of Defense Dobrovsky. In the conversation with Havel, Wolfowitz thanks him for his statements about the importance of NATO and US troops in Europe. Havel informs him that Soviet Ambassador Kvitsinsky was in Prague negotiating a bilateral agreement, and the Soviets wanted the agreement to include a provision that Czechoslovakia would not join alliances hostile to the USSR. Wolfowitz advises both Havel and Dobrovsky not to enter into such agreements and to remind the Soviets about the provisions of the Helsinki Final Act that postulate freedom to join alliances of their choice. Havel states that for Czechoslovakia in the next 10 years that means NATO and the European Union.
In conversation with Dobrovsky, Wolfowitz remarks that “the very existence of NATO was in doubt a year ago,” but with U.S. leadership, and NATO allied (as well as united German) support, its importance for Europe is now understood, and the statements of East European leaders were important in this respect. Dobrovsky candidly describes the change in the Czechoslovak leadership’s position, “which had revised its views radically. At the beginning, President Havel had urged the dissolution of both the Warsaw Pact and NATO,” but then concluded that NATO should be maintained. “Off the record,” says Dobrovsky, “the CSFR was attracted to NATO because it ensured the U.S. presence in Europe.”
Document 30Memorandum to Boris Yeltsin from Russian Supreme Soviet delegation to NATO HQs
Jul 1, 1991
Source
State Archive of the Russian Federation (GARF), Fond 10026, Opis 1
This document is important for describing the clear message in 1991 from the highest levels of NATO – Secretary General Manfred Woerner – that NATO expansion was not happening. The audience was a Russian Supreme Soviet delegation, which in this memo was reporting back to Boris Yeltsin (who in June had been elected president of the Russian republic, largest in the Soviet Union), but no doubt Gorbachev and his aides were hearing the same assurance at that time. The emerging Russian security establishment was already worried about the possibility of NATO expansion, so in June 1991 this delegation visited Brussels to meet NATO’s leadership, hear their views about the future of NATO, and share Russian concerns. Woerner had given a well-regarded speech in Brussels in May 1990 in which he argued: “The principal task of the next decade will be to build a new European security structure, to include the Soviet Union and the Warsaw Pact nations. The Soviet Union will have an important role to play in the construction of such a system. If you consider the current predicament of the Soviet Union, which has practically no allies left, then you can understand its justified wish not to be forced out of Europe.”
Now in mid-1991, Woerner responds to the Russians by stating that he personally and the NATO Council are both against expansion—“13 out of 16 NATO members share this point of view”—and that he will speak against Poland’s and Romania’s membership in NATO to those countries’ leaders as he has already done with leaders of Hungary and Czechoslovakia. Woerner emphasizes that “We should not allow […] the isolation of the USSR from the European community.” The Russian delegation warned that any strengthening or expanding of NATO could “seriously slow down democratic transformations” in Russia, and called on their NATO interlocutors to gradually decrease the military functions of the alliance. This memo on the Woerner conversation was written by three prominent reformers and close allies of Yeltsin—Sergey Stepashin (chairman of the Duma’s Security Committee and future deputy minister of Security and prime minister), Gen. Konstantin Kobets (future chief military inspector of Russia after he was the highest-ranking Soviet military officer to support Yeltsin during the August 1991 coup) and Gen. Dmitry Volkogonov (Yeltsin’s adviser on defense and security issues, future head of the U.S.-Russian Joint Commission on POW-MIA and prominent military historian).
NOTES
[1] See Robert Gates, University of Virginia, Miller Center Oral History, George H.W. Bush Presidency, July 24, 2000, p. 101)
[2] See Chapter 6, “The Malta Summit 1989,” in Svetlana Savranskaya and Thomas Blanton, The Last Superpower Summits (CEU Press, 2016), pp. 481-569. The comment about the Wall is on p. 538.
[3] For background, context, and consequences of the Tutzing speech, see Frank Elbe, “The Diplomatic Path to Germany Unity,” Bulletin of the German Historical Institute 46 (Spring 2010), pp. 33-46. Elbe was Genscher’s chief of staff at the time.
[4] See Mark Kramer, “The Myth of a No-NATO-Enlargement Pledge to Russia,” The Washington Quarterly, April 2009, pp. 39-61.
[5] See Joshua R. Itkowitz Shifrinson, “Deal or No Deal? The End of the Cold War and the U.S. Offer to Limit NATO Expansion,” International Security, Spring 2016, Vol. 40, No. 4, pp. 7-44.
[6] See James Goldgeier, Not Whether But When: The U.S. Decision to Enlarge NATO (Brookings Institution Press, 1999); and James Goldgeier, “Promises Made, Promises Broken? What Yeltsin was told about NATO in 1993 and why it matters,” War On The Rocks, July 12, 2016.
[7] See also Svetlana Savranskaya, Thomas Blanton, and Vladislav Zubok, “Masterpieces of History”: The Peaceful End of the Cold War in Europe, 1989 (CEU Press, 2010), for extended discussion and documents on the early 1990 German unification negotiations.
[8] Genscher told Baker on February 2, 1990, that under his plan, “NATO would not extend its territorial coverage to the area of the GDR nor anywhere else in Eastern Europe.” Secretary of State to US Embassy Bonn, “Baker-Genscher Meeting February 2,” George H.W. Bush Presidential Library, NSC Kanter Files, Box CF00775, Folder “Germany-March 1990.” Cited by Joshua R. Itkowitz Shifrinson, “Deal or No Deal? The End of the Cold War and the U.S. Offer to Limit NATO Expansion,” International Security, Spring 2016, Vol. 40, No. 4, pp. 7-44.
[9] The previous version of this text said that Kohl was “caught up in a campaign finance corruption scandal that would end his political career”; however, that scandal did not erupt until 1999, after the September 1998 elections swept Kohl out of office. The authors are grateful to Prof. Dr. H.H. Jansen for the correction and his careful reading of the posting.
[10] See Andrei Grachev, Gorbachev’s Gamble (Cambridge, UK: Polity Press, 2008), pp. 157-158.
[11] For an insightful account of Bush's highly effective educational efforts with East European leaders including Havel – as well as allies – see Jeffrey A. Engel, When the World Seemed New: George H.W. Bush and the End of the Cold War (Houghton Mifflin Harcourt, 2017), pp. 353-359.
[12] See George H.W. Bush and Brent Scowcroft, A World Transformed (New York: Knopf, 1998), pp. 236, 243, 250.
[13] Published in English for the first time in Savranskaya and Blanton, The Last Superpower Summits (2016), pp. 664-676.
[14] Anatoly Chernyaev Diary, 1990, translated by Anna Melyakova and edited by Svetlana Savranskaya, pp. 41-42.
[15] See Michael Nelson and Barbara A. Perry, 41: Inside the Presidency of George H.W. Bush (Cornell University Press, 2014), pp. 94-95.
[16] The authors thank Josh Shifrinson for providing his copy of this document.
[17] See Memorandum of Conversation between Mikhail Gorbachev and John Major published in Mikhail Gorbachev, Sobranie Sochinenii, v. 24 (Moscow: Ves Mir, 2014), p. 346
[18] See Rodric Braithwaite, “NATO enlargement: Assurances and misunderstandings,” European Council on Foreign Relations, Commentary, 7 July 2016.
Record of conversation between Mikhail Gorbachev and George Bush. White House, Washington D.C.
May 31, 1990
Source
Gorbachev Foundation Archive, Moscow, Fond 1, opis 1.[13]
In this famous “two anchor” discussion, the U.S. and Soviet delegations deliberate over the process of German unification and especially the issue of a united Germany joining NATO. Bush tries to persuade his counterpart to reconsider his fears of Germany based on the past, and to encourage him to trust the new democratic Germany. The U.S. president says, “Believe me, we are not pushing Germany towards unification, and it is not us who determines the pace of this process. And of course, we have no intention, even in our thoughts, to harm the Soviet Union in any fashion. That is why we are speaking in favor of German unification in NATO without ignoring the wider context of the CSCE, taking the traditional economic ties between the two German states into consideration. Such a model, in our view, corresponds to the Soviet interests as well.” Baker repeats the nine assurances made previously by the administration, including that the United States now agrees to support the pan-European process and transformation of NATO in order to remove the Soviet perception of threat. Gorbachev’s preferred position is Germany with one foot in both NATO and the Warsaw Pact—the “two anchors”—creating a kind of associated membership. Baker intervenes, saying that “the simultaneous obligations of one and the same country toward the WTO and NATO smack of schizophrenia.” After the U.S. president frames the issue in the context of the Helsinki agreement, Gorbachev proposes that the German people have the right to choose their alliance—which he in essence already affirmed to Kohl during their meeting in February 1990. Here, Gorbachev significantly exceeds his brief, and incurs the ire of other members of his delegation, especially the official with the German portfolio, Valentin Falin, and Marshal Sergey Akhromeyev. Gorbachev issues a key warning about the future: “if the Soviet people get an impression that we are disregarded in the German question, then all the positive processes in Europe, including the negotiations in Vienna [over conventional forces], would be in serious danger. This is not just bluffing. It is simply that the people will force us to stop and to look around.” It is a remarkable admission about domestic political pressures from the last Soviet leader.
Document 22
Letter from Mr. Powell (N. 10) to Mr. Wall: Thatcher-Gorbachev memorandum of conversation.
Jun 8, 1990
Source
Documents on British Policy Overseas, series III, volume VII: German Unification, 1989-1990. (Foreign and Commonwealth Office. Documents on British Policy Overseas, edited by Patrick Salmon, Keith Hamilton, and Stephen Twigge, Oxford and New York, Routledge 2010), pp 411-417
Margaret Thatcher visits Gorbachev right after he returns home from his summit with George Bush. Among many issues in the conversation, the center of gravity is on German unification and NATO, on which, Powell notes, Gorbachev’s “views were still evolving.” Rather than agreeing on German unification in NATO, Gorbachev talks about the need for NATO and the Warsaw pact to move closer together, from confrontation to cooperation to build a new Europe: “We must mould European structures so that they helped us find the common European home. Neither side must be afraid of unorthodox solutions.”
While Thatcher speaks against Gorbachev’s ideas short of full NATO membership for Germany and emphasizes the importance of a U.S. military presence in Europe, she also sees that “CSCE could provide the umbrella for all this, as well as being the forum which brought the Soviet Union fully into discussion about the future of Europe.” Gorbachev says he wants to “be completely frank with the Prime Minister” that if the processes were to become one-sided, “there could be a very difficult situation [and the] Soviet Union would feel its security in jeopardy.” Thatcher responds firmly that it was in nobody’s interest to put Soviet security in jeopardy: “we must find ways to give the Soviet Union confidence that its security would be assured.”
Document 23
Record of Conversation between Mikhail Gorbachev and Helmut Kohl, Moscow (Excerpts).
Jul 15, 1990
Source
Mikhail Gorbachev i germanskii vopros, edited by Alexander Galkin and Anatoly Chernyaev, (Moscow: Ves Mir, 2006), pp. 495-504
This key conversation between Chancellor Kohl and President Gorbachev sets the final parameters for German unification. Kohl talks repeatedly about the new era of relations between a united Germany and the Soviet Union, and how this relationship would contribute to European stability and security. Gorbachev demands assurances on non-expansion of NATO: “we must talk about the nonproliferation of NATO military structures to the territory of the GDR, and maintaining Soviet troops there for a certain transition period.” The Soviet leader notes earlier in the conversation that NATO has already began transforming itself. For him, the pledge of NATO non-expansion to the territory of the GDR in spirit means that NATO would not take advantage of the Soviet willingness to compromise on Germany. He also demands that the status of Soviet troops in the GDR for the transition period be “regulated. It should not hang in the air, it needs a legal basis.” He hands Kohl Soviet considerations for a full-fledged Soviet-German treaty that would include such guarantees. He also wants assistance with relocating the troops and building housing for them. Kohl promises to do so as long as this assistance is not construed as “a program of German assistance to the Soviet Army.”
Talking about the future of Europe, Kohl alludes to NATO transformation: “We know what awaits NATO in the future, and I think you are now in the know as well.” Kohl also emphasizes that President Bush is aware and supportive of Soviet-German agreements and will play a key role in the building of the new Europe. Chernyaev sums up this meeting in his diary for July 15, 1990: “Today – Kohl. They are meeting at the Schechtel mansion on Alexei Tolstoy Street. Gorbachev confirms his agreement to unified Germany’s entry into NATO. Kohl is decisive and assertive. He leads a clean but tough game. And it is not the bait (loans) but the fact that it is pointless to resist here, it would go against the current of events, it would be contrary to the very realities that M.S. likes to refer to so much.”[14]
Document 24
Memorandum of Telephone Conversation between Mikhail Gorbachev and George Bush
Jul 17, 1990
Source
George H.W. Bush Presidential Library, Memcons and Telcons ((https://bush41library.tamu.edu/)
President Bush reaches out to Gorbachev immediately after the Kohl-Gorbachev meetings in Moscow and the Caucasus retreat of Arkhyz, which settled German unification, leaving only the financial arrangements for resolution in September. Gorbachev had not only made the deal with Kohl, but he had also survived and triumphed at the 28th Congress of the CPSU in early July, the last in the history of the Soviet Party. Gorbachev describes this time as “perhaps the most difficult and important period in my political life.” The Congress subjected the party leader to scathing criticism from both conservative Communists and the democratic opposition. He managed to defend his program and win reelection as general secretary, but he had very little to show from his engagement with the West, especially after ceding so much ground on German unification.
While Gorbachev fought for his political life as Soviet leader, the Houston summit of the G-7 had debated ways to help perestroika, but because of U.S. opposition to credits or direct economic aid prior to the enactment of serious free-market reforms, no concrete assistance package was approved; the group went no further than to authorize “studies” by the IMF and World Bank. Gorbachev counters that given enough resources the USSR “could move to a market economy,” otherwise, the country “will have to rely more on state-regulated measures.” In this phone call, Bush expands on Kohl’s security assurances and reinforces the message from the London Declaration: “So what we tried to do was to take account of your concerns expressed to me and others, and we did it in the following ways: by our joint declaration on non-aggression; in our invitation to you to come to NATO; in our agreement to open NATO to regular diplomatic contact with your government and those of the Eastern European countries; and our offer on assurances on the future size of the armed forces of a united Germany – an issue I know you discussed with Helmut Kohl. We also fundamentally changed our military approach on conventional and nuclear forces. We conveyed the idea of an expanded, stronger CSCE with new institutions in which the USSR can share and be part of the new Europe.”
Document 25
September 12 Two-Plus-Four Ministerial in Moscow: Detailed account [includes text of the Treaty on the Final Settlement with Respect to Germany and Agreed Minute to the Treaty on the special military status of the GDR after unification]
Nov 2, 1990
Source
George H.W. Bush Presidential Library, NSC Condoleezza Rice Files, 1989-1990 Subject Files, Folder “Memcons and Telcons – USSR [1]”
Staffers in the European Bureau of the State Department wrote this document, practically a memcon, and addressed it to senior officials such as Robert Zoellick and Condoleezza Rice, based on notes taken by U.S. participants at the final ministerial session on German unification on September 12, 1990. The document features statements by all six ministers in the Two-Plus-Four process – Shevardnadze (the host), Baker, Hurd, Dumas, Genscher, and De Maiziere of the GDR – (much of which would be repeated in their press conferences after the event), along with the agreed text of the final treaty on German unification. The treaty codified what Bush had earlier offered to Gorbachev – “special military status” for the former GDR territory. At the last minute, British and American concerns that the language would restrict emergency NATO troop movements there forced the inclusion of a “minute” that left it up to the newly unified and sovereign Germany what the meaning of the word “deployed” should be. Kohl had committed to Gorbachev that only German NATO troops would be allowed on that territory after the Soviets left, and Germany stuck to that commitment, even though the “minute” was meant to allow other NATO troops to traverse or exercise there at least temporarily. Subsequently, Gorbachev aides such as Pavel Palazhshenko would point to the treaty language to argue that NATO expansion violated the “spirit” of this Final Settlement treaty.
Document 26U.S. Department of State, European Bureau: Revised NATO Strategy Paper for Discussion at Sub-Ungroup MeetingOct 22, 1990
Source
George H. W. Bush Presidential Library, NSC Heather Wilson Files, Box CF00293, Folder “NATO – Strategy (5)”
The Bush administration had created the “Ungroup” in 1989 to work around a series of personality conflicts at the assistant secretary level that had stalled the usual interagency process of policy development on arms control and strategic weapons. Members of the Ungroup, chaired by Arnold Kanter of the NSC, had the confidence of their bosses but not necessarily the concomitant formal title or official rank.[15] The Ungroup overlapped with a similarly ad hoc European Security Strategy Group, and this became the venue, soon after German unification was completed, for the discussion inside the Bush administration about the new NATO role in Europe and especially on NATO relations with countries of Eastern Europe. East European countries, still formally in the Warsaw Pact, but led by non-Communist governments, were interested in becoming full members of international community, looking to join the future European Union and potentially NATO.
This document, prepared for a discussion of NATO’s future by a Sub-Ungroup consisting of representatives of the NSC, State Department, Joint Chiefs and other agencies, posits that "
a potential Soviet threat remains and constitutes one basic justification for the continuance of NATO.” At the same time, in the discussion of potential East European membership in NATO, the review suggests that “In the current environment, it is not in the best interest of NATO or of the U.S. that these states be granted full NATO membership and its security guarantees.” The United States does not “wish to organize an anti-Soviet coalition whose frontier is the Soviet border” – not least because of the negative impact this might have on reforms in the USSR. NATO liaison offices would do for the present time, the group concluded, but the relationship will develop in the future. In the absence of the Cold War confrontation, NATO “out of area” functions will have to be redefined.
Document 27
James F. Dobbins, State Department European Bureau, Memorandum to National Security Council: NATO Strategy Review Paper for October 29 Discussion.
Oct 25, 1990
Source
George H. W. Bush Presidential Library: NSC Philip Zelikow Files, Box CF01468, Folder “File 148 NATO Strategy Review No. 1 [3]”[16]
This concise memorandum comes from the State Department’s European Bureau as a cover note for briefing papers for a scheduled October 29, 1990 meeting on the issues of NATO expansion and European defense cooperation with NATO. Most important is the document’s summary of the internal debate within the Bush administration, primarily between the Defense Department (specifically the Office of the Secretary of Defense, Dick Cheney) and the State Department. On the issue of NATO expansion, OSD “wishes to leave the door ajar” while State “prefers simply to note that discussion of expanding membership is not on the agenda….” The Bush administration effectively adopts State’s view in its public statements, yet the Defense view would prevail in the next administration.
Document 28
Ambassador Rodric Braithwaite diary, 05 March 1991
Mar 5, 1991
Source
Rodric Braithwaite personal diary (used by permission from the author)
British Ambassador Rodric Braithwaite was present for a number of the assurances given to Soviet leaders in 1990 and 1991 about NATO expansion. Here, Braithwaite in his diary describes a meeting between British Prime Minister John Major and Soviet military officials, led by Minister of Defense Marshal Dmitry Yazov. The meeting took place during Major’s visit to Moscow and right after his one-on-one with President Gorbachev. During the meeting with Major, Gorbachev had raised his concerns about the new NATO dynamics: “Against the background of favorable processes in Europe, I suddenly start receiving information that certain circles intend to go on further strengthening NATO as the main security instrument in Europe. Previously they talked about changing the nature of NATO, about transformation of the existing military-political blocs into pan-European structures and security mechanisms. And now suddenly again [they are talking about] a special peace-keeping role of NATO. They are talking again about NATO as the cornerstone. This does not sound complementary to the common European home that we have started to build.” Major responded: “I believe that your thoughts about the role of NATO in the current situation are the result of misunderstanding. We are not talking about strengthening of NATO. We are talking about the coordination of efforts that is already happening in Europe between NATO and the West European Union, which, as it is envisioned, would allow all members of the European Community to contribute to enhance [our] security.”[17] In the meeting with the military officials that followed, Marshal Yazov expressed his concerns about East European leaders’ interest in NATO membership. In the diary, Braithwaite writes: “Major assures him that nothing of the sort will happen.” Years later, quoting from the record of conversation in the British archives, Braithwaite recounts that Major replied to Yazov that he “did not himself foresee circumstances now or in the future where East European countries would become members of NATO.” Ambassador Braithwaite also quotes Foreign Minister Douglas Hurd as telling Soviet Foreign Minister Alexander Bessmertnykh on March 26, 1991, “there are no plans in NATO to include the countries of Eastern and Central Europe in NATO in one form or another.”[18]
Document 29Paul Wolfowitz Memoranda of Conversation with Vaclav Havel and Lubos Dobrovsky in Prague.
Apr 27, 1991
Source
U.S. Department of Defense, FOIA release 2016, National Security Archive FOIA 20120941DOD109
These memcons from April 1991 provide the bookends for the “education of Vaclav Havel” on NATO (see Documents 12-1 and 12-2 above). U.S. Undersecretary of Defense for Policy Paul Wolfowitz included these memcons in his report to the NSC and the State Department about his attendance at a conference in Prague on “The Future of European Security,” on April 24-27, 1991. During the conference Wolfowitz had separate meetings with Havel and Minister of Defense Dobrovsky. In the conversation with Havel, Wolfowitz thanks him for his statements about the importance of NATO and US troops in Europe. Havel informs him that Soviet Ambassador Kvitsinsky was in Prague negotiating a bilateral agreement, and the Soviets wanted the agreement to include a provision that Czechoslovakia would not join alliances hostile to the USSR. Wolfowitz advises both Havel and Dobrovsky not to enter into such agreements and to remind the Soviets about the provisions of the Helsinki Final Act that postulate freedom to join alliances of their choice. Havel states that for Czechoslovakia in the next 10 years that means NATO and the European Union.
In conversation with Dobrovsky, Wolfowitz remarks that “the very existence of NATO was in doubt a year ago,” but with U.S. leadership, and NATO allied (as well as united German) support, its importance for Europe is now understood, and the statements of East European leaders were important in this respect. Dobrovsky candidly describes the change in the Czechoslovak leadership’s position, “which had revised its views radically. At the beginning, President Havel had urged the dissolution of both the Warsaw Pact and NATO,” but then concluded that NATO should be maintained. “Off the record,” says Dobrovsky, “the CSFR was attracted to NATO because it ensured the U.S. presence in Europe.”
Document 30Memorandum to Boris Yeltsin from Russian Supreme Soviet delegation to NATO HQs
Jul 1, 1991
Source
State Archive of the Russian Federation (GARF), Fond 10026, Opis 1
This document is important for describing the clear message in 1991 from the highest levels of NATO – Secretary General Manfred Woerner – that NATO expansion was not happening. The audience was a Russian Supreme Soviet delegation, which in this memo was reporting back to Boris Yeltsin (who in June had been elected president of the Russian republic, largest in the Soviet Union), but no doubt Gorbachev and his aides were hearing the same assurance at that time. The emerging Russian security establishment was already worried about the possibility of NATO expansion, so in June 1991 this delegation visited Brussels to meet NATO’s leadership, hear their views about the future of NATO, and share Russian concerns. Woerner had given a well-regarded speech in Brussels in May 1990 in which he argued: “The principal task of the next decade will be to build a new European security structure, to include the Soviet Union and the Warsaw Pact nations. The Soviet Union will have an important role to play in the construction of such a system. If you consider the current predicament of the Soviet Union, which has practically no allies left, then you can understand its justified wish not to be forced out of Europe.”
Now in mid-1991, Woerner responds to the Russians by stating that he personally and the NATO Council are both against expansion—“13 out of 16 NATO members share this point of view”—and that he will speak against Poland’s and Romania’s membership in NATO to those countries’ leaders as he has already done with leaders of Hungary and Czechoslovakia. Woerner emphasizes that “We should not allow […] the isolation of the USSR from the European community.” The Russian delegation warned that any strengthening or expanding of NATO could “seriously slow down democratic transformations” in Russia, and called on their NATO interlocutors to gradually decrease the military functions of the alliance. This memo on the Woerner conversation was written by three prominent reformers and close allies of Yeltsin—Sergey Stepashin (chairman of the Duma’s Security Committee and future deputy minister of Security and prime minister), Gen. Konstantin Kobets (future chief military inspector of Russia after he was the highest-ranking Soviet military officer to support Yeltsin during the August 1991 coup) and Gen. Dmitry Volkogonov (Yeltsin’s adviser on defense and security issues, future head of the U.S.-Russian Joint Commission on POW-MIA and prominent military historian).
NOTES
[1] See Robert Gates, University of Virginia, Miller Center Oral History, George H.W. Bush Presidency, July 24, 2000, p. 101)
[2] See Chapter 6, “The Malta Summit 1989,” in Svetlana Savranskaya and Thomas Blanton, The Last Superpower Summits (CEU Press, 2016), pp. 481-569. The comment about the Wall is on p. 538.
[3] For background, context, and consequences of the Tutzing speech, see Frank Elbe, “The Diplomatic Path to Germany Unity,” Bulletin of the German Historical Institute 46 (Spring 2010), pp. 33-46. Elbe was Genscher’s chief of staff at the time.
[4] See Mark Kramer, “The Myth of a No-NATO-Enlargement Pledge to Russia,” The Washington Quarterly, April 2009, pp. 39-61.
[5] See Joshua R. Itkowitz Shifrinson, “Deal or No Deal? The End of the Cold War and the U.S. Offer to Limit NATO Expansion,” International Security, Spring 2016, Vol. 40, No. 4, pp. 7-44.
[6] See James Goldgeier, Not Whether But When: The U.S. Decision to Enlarge NATO (Brookings Institution Press, 1999); and James Goldgeier, “Promises Made, Promises Broken? What Yeltsin was told about NATO in 1993 and why it matters,” War On The Rocks, July 12, 2016.
[7] See also Svetlana Savranskaya, Thomas Blanton, and Vladislav Zubok, “Masterpieces of History”: The Peaceful End of the Cold War in Europe, 1989 (CEU Press, 2010), for extended discussion and documents on the early 1990 German unification negotiations.
[8] Genscher told Baker on February 2, 1990, that under his plan, “NATO would not extend its territorial coverage to the area of the GDR nor anywhere else in Eastern Europe.” Secretary of State to US Embassy Bonn, “Baker-Genscher Meeting February 2,” George H.W. Bush Presidential Library, NSC Kanter Files, Box CF00775, Folder “Germany-March 1990.” Cited by Joshua R. Itkowitz Shifrinson, “Deal or No Deal? The End of the Cold War and the U.S. Offer to Limit NATO Expansion,” International Security, Spring 2016, Vol. 40, No. 4, pp. 7-44.
[9] The previous version of this text said that Kohl was “caught up in a campaign finance corruption scandal that would end his political career”; however, that scandal did not erupt until 1999, after the September 1998 elections swept Kohl out of office. The authors are grateful to Prof. Dr. H.H. Jansen for the correction and his careful reading of the posting.
[10] See Andrei Grachev, Gorbachev’s Gamble (Cambridge, UK: Polity Press, 2008), pp. 157-158.
[11] For an insightful account of Bush's highly effective educational efforts with East European leaders including Havel – as well as allies – see Jeffrey A. Engel, When the World Seemed New: George H.W. Bush and the End of the Cold War (Houghton Mifflin Harcourt, 2017), pp. 353-359.
[12] See George H.W. Bush and Brent Scowcroft, A World Transformed (New York: Knopf, 1998), pp. 236, 243, 250.
[13] Published in English for the first time in Savranskaya and Blanton, The Last Superpower Summits (2016), pp. 664-676.
[14] Anatoly Chernyaev Diary, 1990, translated by Anna Melyakova and edited by Svetlana Savranskaya, pp. 41-42.
[15] See Michael Nelson and Barbara A. Perry, 41: Inside the Presidency of George H.W. Bush (Cornell University Press, 2014), pp. 94-95.
[16] The authors thank Josh Shifrinson for providing his copy of this document.
[17] See Memorandum of Conversation between Mikhail Gorbachev and John Major published in Mikhail Gorbachev, Sobranie Sochinenii, v. 24 (Moscow: Ves Mir, 2014), p. 346
[18] See Rodric Braithwaite, “NATO enlargement: Assurances and misunderstandings,” European Council on Foreign Relations, Commentary, 7 July 2016.