Early Cold War evolution of British and US defector policy and practice

ABSTRACT

The British and US governments entered World War II without policies or defined practices for handling, interrogating, and disposing of Soviet defectors. This gradually changed, necessitated by a post-war surge of defectors and deserters. Although the United States and Great Britain initially took different paths toward defector policies, diverging and evolving at different rates, both countries ultimately arrived at nearly the same destination. By 1950 their policies were founded on two broad benefits of defectors: they were sources of valuable intelligence; and they presented opportunities for propaganda, hopefully positive, for the West.

KEYWORDS:

• Defector
• deserter
• Soviet Union
• interrogation

Notes

¹ Ismail Akhmedov, In and Out of Stalin’s GRU: A Tatar’s Escape from Red Army Intelligence (Frederick, MD: University Publications of America, 1984), 159.

² Ibid., 168–71.

³ Ibid., 189.

⁴ ‘Encouragement of Deserters,’ Minutes of the 116th meeting of JIC(Germany), 2 October 1951, DEFE 41/66, The National Archives (TNA), Kew, UK.

⁵ ‘Propaganda Defection Campaign,’ Minutes of the 124th meeting of JIC(Germany), 24 March 1952, DEFE 41/67, TNA.

⁶ See, for example, Spying on Science: Western Intelligence in Divided Germany, 1945–1961 (Oxford: Oxford University Press, 2006), and ‘The Western Secret Services, the East German Ministry of State Security and the Building of the Berlin Wall,’ in Intelligence Crises and Security: Prospects and Retrospects, ed. Len Scott and R. Gerald Hughes (London: Routledge, 2008), 177–95.

⁷ The term ‘deserter’ was usually applied to these individuals regardless of their status, and the term ‘defector’ only came into regular usage in the late 1940s. The JIC first proposed a formal distinction between ‘deserters’ and ‘defectors’ in 1947. See JIC Working Party report, ‘Protection of Certain Foreign Nationals,’ 30 June 1947, enclosure to JIC/610/47, 30 June 1947, CAB 176/15, TNA. US definitions were not firmly established until even later, and the State Department Policy Planning Staff still used the two terms interchangeably in March 1948. See State Department Policy Planning Staff memo, ‘Utilization of Refugees from the Soviet Union in the U.S. National Interest,’ 4 March 1948, CIA FOIA, website, https://www.cia.gov/library/readingroom/home (accessed 5 November 2018).

⁸ Cairo telegram to Foreign Office, 24 January 1942, FO 371/32962, TNA.

⁹ Foreign Office telegram to Cairo, 11 February 1942, FO 371/32962, TNA.

¹⁰ Foreign Office minute, 26 January 1942, FO 371/32962, TNA.

¹¹ Foreign Office telegram to Cairo, 11 February 1942, FO 371/32962, TNA; British Embassy Athens memo, 3 October 1947, FO 371/66450, TNA.

¹² Edward Moore Bennett, Franklin D. Roosevelt and the Search for Security: American-Soviet Relations, 1933–1939 (Lanham, MD: Rowman & Littlefield, 1985), 121.

¹³ Elizabeth Kimball Maclean, Joseph E. Davies: Envoy to the Soviets (Westport, CT: Praeger, 1992), 125–6.

¹⁴ DMI memo, 1 May 1946, enclosure to JIC/567/4, ‘Interrogation and Disposal of Individuals Entering the British Zone in Germany,’ CAB 176/10, TNA.

¹⁵ JIC, A Study of Defectors from the U.S.S.R., August 1948, 22–3, FO 1093/551, TNA. Volkov’s true name is unknown. Christopher Andrew and Vasili Mitrokhin give his patronymic as Dmitryevich rather than Petrovich, see The Sword and the Shield: The Mitrokhin Archive and the Secret History of the KGB (New York: Basic Books, 1999), 138–40.

¹⁶ Gordon Brook-Shepherd, The Storm Birds: Soviet Post-War Defectors (New York: Weidenfeld & Nicolson, 1989), 60–1.

¹⁷ S. N. Lebedev, Очерки истории Российской внешней разведки [Essays on the history of Russian foreign intelligence] (Moscow: Mezhdunarodniye Otnosheniya, 2003), vol. 5, 69; Christopher Andrew, Defend the Realm: The Authorized History of MI5 (New York: Alfred A. Knopf, 2009), 344–5, 517. For a more detailed description of Philby’s delay tactics, see William Stevenson, Intrepid’s Last Case (New York: Willard Books, 1983), 203–9.

¹⁸ Peter Wright, Spycatcher: The Candid Autobiography of a Senior Intelligence Officer (New York: Viking Penguin, 1987), 287.

¹⁹ Foreign Office Memo, 26 October 1946, FO 1093/424, TNA.

²⁰ Foreign Office Memo, 22 December 1947, enclosure to JIC/1555/47, ‘Soviet Deserters in Germany,’ 24 December 1947, CAB 176/15, TNA.

²¹ Weekly Letter, Berlin Operations Base, 17 November 1947, reproduced in David E. Murphy, Sergei A. Kondrashev, and George Bailey, Battleground Berlin: CIA vs. KGB in the Cold War (New Haven: Yale University Press, 1999), 9.

²² ‘Allied Control Council for Germany,’ International Organization 2, no. 3 (September 1948): 552–4.

²³ Swedish Justice Department memo, 8 November 1946, Hemliga Archivet, F4, Volume 11, Swedish National Archives (SUK), Stockholm, Sweden.

²⁴ Kevin C. Ruffner, ‘On the Trail of Nazi Counterfeiters,’ Studies in Intelligence 51, no. 46 (2002), 41–53.

²⁵ CIA Chief of Station, Karlsruhe, Germany, ‘Transmittal of Report on Berlin Operations Base,’ 8 April 1948, in Donald P. Steury (ed.), On the Front Lines of the Cold War: Documents on the Intelligence War in Berlin, 1946-1961 (Washington, DC: CIA Historical Review Program, 1999), 20 (available at https://www.cia.gov/library/center-for-the-study-of-intelligence/csi-publications/books-and-monographs/on-the-front-lines-of-the-cold-war-documents-on-the-intelligence-war-in-berlin-1946-to-1961/1-2.pdf) (accessed 5 November 2018).

²⁶ JIC Working Party report, ‘Protection of Certain Foreign Nationals,’ 30 June 1947, enclosure to JIC/610/47, 30 June 1947, CAB 176/15, TNA.

²⁷ JIC/105/48, 15 January 1948. The full text of this document is not publicly available, but it is referenced in Minutes of the 62nd Meeting of JIC(Germany), 3 August 1948, DEFE 41/63, 5, TNA.

²⁸ Foreign Office minute, 27 April 1948, FO 1095/550, TNA.

²⁹ Foreign Office minute, 13 May 1948, FO 1095/550, TNA. Ironically, Tasoyev was Ossetian, not a Slav.

³⁰ House of Commons Debates, 24 June 1948, vol. 452, cc1537-40; 1 July 1948, vol. 452, cc2342-4; and 7 July 1948, vol. 453, cc538-48 (available at http://hansard.millbanksystems.com/commons/1948/) (accessed 5 November 2018).

³¹ Sir Orme Sargent memo to Percy Sillitoe, 4 June 1948, FO 1095/550, TNA.

³² Telegram from Vienna to Foreign Office, 4 November 1948, enclosure to JIC(48)124, 20 November 1948, CAB 158/5, TNA.

³³ O. S. Smyslov, Генерал Абакумов. Палач или жертва? [General Abakumov: executioner or victim) (Moscow: Veche, 2012) (available at http://www.e-reading.me/chapter.php/1015673/54/Smyslov_-_General_Abakumov._Palach_ili_zhertva.html) (accessed 5 November 2018).

³⁴ CIA Information Report, ‘Purchase of Materials by Wismut AG,’ dated 24 August 1950, CIA CREST Program, available at CIA FOIA https://www.cia.gov/library/readingroom/home (accessed 5 November 2018); and Harry Rositzke, The CIA’s Secret Operations: Espionage, Counterespionage, and Covert Action (Boulder, CO: Westview Press, 1977), 141.

³⁵ Joint Scientific and Joint Technical Intelligence Committee (JS/JTIC) Meeting Notes, dated 8 March 1951, DEFE 41/10, TNA; see also Michael S. Goodman, Spying on the Nuclear Bear: Anglo-American Intelligence and the Soviet Bomb (Stanford: Stanford University Press, 2007), 139.

³⁶ Smyslov, General Abakumov: Executioner or Victim?

³⁷ Nikita Petrov, Почетные граждане ГУЛага [Honored citizens of the GULAG] (Moscow: International ‘Memorial’ Foundation), 2015 (available at http://ipvnews.org/hegemon_article13042011.php) (accessed 5 November 2018).

³⁸ ‘Minutes of the Working Party on Russian and Satellite Defectors and Refugees,’ 26 April 1950, CAB 301/136, TNA.

³⁹ Letter from Carmel Offie, HQ U.S. European Command, to Jacob Beam, US Department of State, 9 March 1948, RG 59, Decimal File 1945–49, box 6651, serial 861.2226/3–948, National Archives and Records Administration, College Park, Maryland, USA (NARA) .

⁴⁰ A. I. Romanov, Nights Are Longest There (Boston: Little Brown, 1972), 241–5.

⁴¹ He was naturalised as a British subject in 1960; The London Gazette, Issue 42170, 18 October 1960 (London), 7021 (available at https://www.thegazette.co.uk/London/issue/42170/page/7021/data.pdf) (accessed 5 November 2018).

⁴² JIC, A Study of Defectors from the U.S.S.R., 29–30.

⁴³ 7970th CIC Group memo, ‘MGB Interpreter – Progress Report No. 1,’ 20 September 1948, RG 319, Entry 134B, Box 830, Vorontzov,NARA.

⁴⁴ CIC interrogation report, dated 7 September 1948, RG 319, Entry 134A, Box 107, Soviet Army Counterintelligence Directorate, Vol. 1, NARA. This interrogation report is mixed in the file with debriefing reports from Goldfarb, but it describes a different defector. This is probably an individual partially identified in a the list of defectors provided by Artush Hovanesyan; see ‘KGB Wanted List,’ Entry number 21, Vladislav Krasnov Writings file, Hoover Institution Archive.

⁴⁵ Minutes of the 62nd Meeting of JIC(Germany), 3 August 1948, 5, DEFE 41/63, TNA.

⁴⁶ JIC report, ‘Russian and Satellite Defectors and Refugees,’ JIC(49)107, 21 February 1952, CAB 301/136, TNA.

⁴⁷ CIA Chief of Station, Karlsruhe, Germany, ‘Transmittal of Report on Berlin Operations Base,’ 8 April 1948, 20, CIA Historical Review Program (available at https://www.cia.gov/library/center-for-the-study-of-intelligence/csi-publications/books-and-monographs/on-the-front-lines-of-the-cold-war-documents-on-the-intelligence-war-in-berlin-1946-to-1961/1-2.pdf) (accessed 5 November 2018).

⁴⁸ ‘Report on Visit by Mr. Roy S. Tod, Operational Consultant to WD ID, G.S., USA,’ 15 March 1950, WO 208/5015, TNA.

⁴⁹ ‘Encouragement of Deserters,’ Minutes of the 89th meeting of JIC(Germany), 14 March 1950, DEFE 41/65, TNA.

⁵⁰ Letter from Carmel Offie, HQ US European Command, to Jacob Beam, US Department of State, 9 March 1948, RG 59, Decimal File 1945–49, box 6651, serial 861.2226/3–948, NARA.

⁵¹ State Department Policy Planning Staff memo, ‘Utilization of Refugees from the Soviet Union in the U.S. National Interest,’ 4 March 1948, CIA FOIA site.

⁵² JIC report, ‘Russian and Satellite Defectors and Refugees,’ JIC(49)107, 21 February 1952, 2, CAB 301/136, TNA.

⁵³ Ibid., 5.

⁵⁴ Ibid., Annex ‘A’.

⁵⁵ JIC/1240/48, ‘Policy Regarding Encouragement of Defectors,’ 3 July 1948, CAB 176/19, TNA.

⁵⁶ Minutes of the 2nd meeting of the Joint Scientific and Joint Technical Intelligence Committees, 30 June 1948, DEFE 10/493 TNA.

⁵⁷ JIC report, ‘Russian and Satellite Defectors and Refugees,’ JIC(49)107, 21 February 1952, 7, CAB 301/136, TNA.

⁵⁸ ‘Encouragement of Deserters,’ Minutes of the 90th meeting of JIC(Germany), 4 April 1950, DEFE 41/65, TNA.

⁵⁹ NSCID 13, Exploitation of Soviet and Satellite Defectors Outside the United States, 19 January 1950, CIA FOIA site.

⁶⁰ NSCID 14, Exploitation of Defectors and Other Aliens Within the United States, 3 March 1950, CIA FOIA site.

⁶¹ Joint Secretaries’ memo, ‘Policy on Defectors,’ 26 September 1950, RG 59, Entry A1 1583D, Box 117, NARA.

⁶² Letter to Secretary of State, ‘NSC 86, United States Policy on Defectors,’ 11 October 1950, RG 59, Entry A1 1586E, Box 12, NARA.

⁶³ Barrett to Under Secretary of State, ‘Status of Defector Program,’ 26 March 1951, RG 59, Entry A1 1586E, Box 12, NARA.

⁶⁴ Douglas Keane and Michael Warner, eds., Foreign Relations of the United States, 1950–1955, The Intelligence Community, 1950–1955, document 17 (Washington, DC: Government Printing Office, 2007), 21.

⁶⁵ Trueheart letter to Sohm, 31 May 1951, RG 59, Entry A1 1586E, Box 12, NARA.

⁶⁶ ‘Disposal Outside Germany of Russian Defectors,’ in Minutes of the 103d Meeting of JIC(Germany), 2 January 1951, DEFE 41/66 TNA. The precise date of the Sub-Committee’s creation is not available in declassified materials, but this minute implies that it was recent.

⁶⁷ 441st CIC Detachment memo to G2, AFFE, 27 January 1954, RG 319, Entry A1 314B, Box 627, NARA.

⁶⁸ 441st CIC Detachment memo to G2, AFFE, 7 February 1954, RG 319, Entry A1 314B, Box 627, NARA.

⁶⁹ Serge F. Kovaleski, ‘The Most Dangerous Game,’ Washington Post, 15 January 2006.

⁷⁰ Kukowitsch file, RG 319, Entry A1 314B, Box 443, NARA.

⁷¹ Hoover letter to Dulles, 19 May 1954, CIA CREST Program.

⁷² FBI Liaison Representative, Heidelberg memo to FBI Headquarters, 11 March 1954, FBI file number 65–62536 serial 1.

⁷³ A. H. Belmont to Leland V. Boardman, 25 May 1954, FBI 65–62536.

⁷⁴ Memo for the Secretary of Defense, ‘Policy on Defectors,’ 26 September 1950, RG 59, Entry A1 1583D, Box 117 (received by FOIA), NARA.

⁷⁵ Lt Col David L. Jones, ‘Communist Defection,’ Military Review, March 1966, 22–3.

⁷⁶ Joint Secretaries’ memo, ‘Policy on Defectors,’ 26 September 1950, RG 59, Entry A1 1583D, Box 117, NARA.

⁷⁷ ‘Appendix B: Practical Problems Involved in a Large-Scale Defector Program,’ in NSC 86/1, ‘United States Policy on Soviet and Satellite Defectors,’ 3 April 1951, Dwight D. Eisenhower Library (available at https://www.eisenhower.archives.gov/research/online_documents/declassified/fy_2010/1953_07_02.pdf) (accessed 5 November 2018).

⁷⁸ ‘Progress Report on Psychological Operations Plan for Soviet Orbit Escapees – Phase “A” (PSB D-18a),’ 31 July 1952.

⁷⁹ ‘Status Report of the Psychological Strategy Board to the National Security Council,’ 13 July 1953, CIA CREST Program.

⁸⁰ ‘Testimony of Eastern European Political Refugees of Necessity of Fleeing Because of Intolerable Conditions Under Communism,’ dated 19 February 1953, RG 59 Entry A1 5498, Box 28, Bureau of Security and Consular Affairs, Office of Refugee and Migration Affairs, Subject Files, 1953–1957, Escapee-Defectors, 1952–53, NARA.

⁸¹ Charles W. Thayer, ‘MVD Man’s Declaration of Independence,’ Life, 5 July 1954, 80.

⁸² ‘Encouragement of Deserters,’ Minutes of the 85th meeting of JIC(Germany), 20 December 1949, DEFE 41/64, TNA.

⁸³ ‘Encouragement of Deserters,’ Minutes of the 125th meeting of JIC(Germany), 17 April 1952, DEFE 41/67, TNA.

⁸⁴ JIC/2319/49, ‘Exploitation of Defectors and Deserters,’ 29 December 1949, CAB 1767/24, TNA.

⁸⁵ Naturalisation Certificate: Vadim Ivanovich Shelaputin. Certificate BNA50316 issued 14 April 1958, HO 334/415/50316, TNA.

⁸⁶ Minutes of the 65th Meeting of JIC(Germany), 5 October 1948, DEFE 41/63, TNA.

⁸⁷ JIC report, ‘Russian and Satellite Defectors and Refugees,’ JIC(49)107, 21 February 1952, 3, CAB 301/136, TNA.

⁸⁸ JIC Working Party report, ‘Protection of Certain Foreign Nationals,’ 30 June 1947, enclosure to JIC/610/47, 30 June 1947, CAB 176/15, TNA.

⁸⁹ JIC (48)65(0), 21 June 1948, CAB 158/4, TNA, referred to in JIC(48)124, 20 November 1948, CAB 158/5, TNA.

⁹⁰ NSCID 13, Exploitation of Soviet and Satellite Defectors Outside the United States.

⁹¹ ‘Research Aid: Cryptonyms and Terms in Declassified CIA Files, Nazi War Crimes and Japanese Imperial Government Records Disclosure Acts,’ NARA (available at https://www.archives.gov/files/iwg/declassified-records/rg-263-cia-records/second-release-lexicon.pdf (accessed 8 November 2018)).

⁹² Telegrams from the Secretariat of the Commander-in-Chief Committee in Germany to Ministry of Defence, 17 and 21 January 1952; Telegram from Wannerheide to Foreign Office, 18 January 1952, FO 371/97963, TNA.

⁹³ ‘KGB Wanted List,’ entry number 275, Vladislav Krasnov Writings File, Hoover Institution Archive.

⁹⁴ Minutes of JIC meetings on 21 and 31 January; 7 and 28 February; 6 March 1952, CAB 159/11, TNA.

⁹⁵ Telegram from Wannerheide to Foreign Office, 13 March 1952, FO 371/97963, TNA.

⁹⁶ Foreign Office minute, 17 January 1952, FO 371/97963, TNA.

⁹⁷ JIC(Germany) memo, 13 June 1949, enclosure to JIC/1056/49, 15 June 1949, CAB 176/22, TNA.

⁹⁸ Telegram from the UK High Commission in Germany to Foreign Office, 5 April 1952, FO 371/97963, TNA.

⁹⁹ Telegram from Wannerheide to Foreign Office, 7 April 1952, FO 371/97963, TNA.

¹⁰⁰ SIS report, ‘Effects of Recent Soviet Defections and Desertions,’ 25 May 1954, KV 5/107, serial 89a, TNA.

Additional information

Notes on contributors

Kevin P. Riehle

Kevin P. Riehle is an assistant professor at the National Intelligence University. He spent over 25 years in the U.S. government as a counterintelligence analyst studying on the activities of foreign intelligence services. He is completing a PhD thesis at King’s College London on the topic of Soviet intelligence officer defectors, and has written on a variety of intelligence and counterintelligence topics.