1989- The Struggle to Create Post-Cold War Europe Read online

  NOTES

  ADDITIONAL ABBREVIATIONS IN THE NOTES

  BPL

  George H. W. Bush Presidential Library

  BP

  Baker Papers (Mudd Library, Princeton University)

  BRD

  Bundesrepublik Deutschland (German name for West Germany)

  BStU

  Bundesbeauftragte für die Unterlagen des Staatssicherheitsdienstes der ehemaligen Deutschen Demokratischen Republik (German name for the Stasi Archive, Germany)

  CAB

  Cabinet Office (United Kingdom)

  CWIHPPC

  Cold War International History Project Paris Conference

  DCI

  Director of Central Intelligence (United States)

  DDR

  Deutsche Demokratische Republik (German name for East Germany)

  DESE

  Deutsche Einheit Sonderedition (German Unity Special Edition, published West German documents)

  FCO

  Foreign and Commonwealth Office (United Kingdom)

  FOI, FOIA

  Freedom of Information (United Kingdom), Freedom of Information Act (United States)

  GC

  Georgia Conference (see bibliography for details)

  GDE

  Geschichte der Deutschen Einheit (History of German Unity, four-volume official history)

  JAB

  James A. Baker III

  KADE

  Kabinettausschuß Deutsche Einheit (West German Cabinet Committee on Germany Unity)

  KASPA

  Konrad Adenauer Stiftung Pressearchiv (Konrad Adenauer Foundation Press Archive, Germany)

  Memcon

  Memorandum of Conversation (United States)

  MfS

  Ministerium für Staatssicherheit (Ministry for State Security, official name of the East German Stasi)

  МГ

  Михаил Горбачев и германский вопрос (Mikhail Gorbachev and the German Question, published Soviet documents)

  NIC

  National Intelligence Council (United States)

  PC

  Prague Conference (see bibliography for details)

  RHG

  Robert-Havemann Gesellschaft (Robert Havemann Foundation, archive of the former East German dissident movement)

  SAPMO

  Stiftung/Archiv der Parteien und Massenorganisationen der DDR (Archive of Former GDR Parties and Mass Organizations)

  ZRT

  Zentraler Runder Tisch (Central Round Table, East Germany)

  ZRT-WD

  Der Zentrale Runde Tisch der DDR: Wortprotokolle und Dokumente (Central Round Table of the GDR, transcripts and published documents)

  NOTES TO PREFACE

  1. Francis Fukuyama originally published “The End of History?” as a National Interest article in summer 1989, but subsequently expanded it into a book, The End of History and the Last Man (New York: Penguin Books, 1992). Detailed popular accounts have come from Michael R. Beschloss and Strobe Talbott, At the Highest Levels: The Inside Story of the End of the Cold War (Boston: Little, Brown, 1993); James Mann, The Rebellion of Ronald Reagan: A History of the End of the Cold War (New York: Viking, 2009); Don Oberdorfer, The Turn: From the Cold War to a New Era (New York: Simon and Schuster, 1991). Some of the more interesting scholarly accounts are the following: Frédéric Bozo, Mitterrand, la fin de la guerre froide et l’unification allemande: De Yalta à Maastricht (Paris: Odile Jacob, 2005); Stephen G. Brooks and William Wohlforth, “Power, Globalization, and the End of the Cold War,” International Security 25, no. 3 (Winter 2000–2001): 5–53, and “From Old Thinking to New Thinking,” International Security 26, no. 4 (Spring 2002): 93–111; Archie Brown, “Perestroika and the End of the Cold War,” Cold War History 7, no. 1 (February 2007): 1–17, and Seven Years That Changed the World: Perestroika in Perspective (New York: Oxford University Press, 2007); Robert D. English, Russia and the Idea of the West: Gorbachev, Intellectuals, and the End of the Cold War (New York: Columbia University Press, 2000), and “Power, Ideas, and New Evidence on the Cold War’s End: A Reply to Brooks and Wohlforth,” International Security 26, no. 4 (Spring 2002): 70–92; John Lewis Gaddis, The Cold War (New York: Penguin, 2006); Timothy Garton Ash, In Europe’s Name: Germany and the Divided Continent (New York: Vintage Books, 1993); Richard K. Herrmann and Richard Ned Lebow, eds., Ending the Cold War (New York: Palgrave Macmillan, 2004); Hans-Hermann Hertle, Der Fall der Mauer: Die unbeabsichtigte Selbstauflösung des SED-Staates (Opladen: Westdeutscher Verlag, 1996); see also Hans-Hermann Hertle, Chronik des Mauerfalls: Die dramatischen Ereignisse um den 9. November 1989 (Berlin: Links, September 1996), “The Fall of the Wall: The Unintended Self-Dissolution of East Germany’s Ruling Regime,” Cold War International History Project Bulletin 12–13 (Fall–Winter 2001): 131–40, “Germany in the Last Decade of the Cold War,” in The Last Decade of the Cold War: From Conflict Escalation to Conflict Transformation, ed. Olav Njølstad, 265–87 (London: Frank Cass, 2004), and his television documentary, When the Wall Came Tumbling Down, Sender Freies Berlin, 1999. The Njølstad volume contains a number of useful papers resulting from a conference on the end of the Cold War, as does Odd Arne Westad, ed., Reviewing the Cold War (London: Routledge, 2000); Westad was editing, together with Melvyn P. Leffler, a multivolume history of the entire Cold War for Cambridge University Press as this book went to press. Robert L. Hutchings, American Diplomacy and the End of the Cold War: An Insider’s Account of US Policy in Europe, 1989–1992 (Washington, DC: Wilson Center, 1997); Konrad Jarausch, The Rush to German Unity (New York: Oxford University Press, 1994); Mark Kramer, “Ideology and the Cold War,” Review of International Studies 25 (1999): 539–76; Melvyn P. Leffler, For the Soul of Mankind: The United States, the Soviet Union, and the Cold War (New York: Hill and Wang, 2007); Charles S. Maier, Dissolution: The Crisis of Communism and the End of East Germany (Princeton, NJ: Princeton University Press, 1997); Gerhard A. Ritter, Der Preis der deutschen Einheit: Die Wiedervereinigung und die Krise des Sozialstaats (Munich: Beck, 2006), which is a popular version of his 1989–1994 Bundesrepublik Deutschland: Sozialpolitik im Zeichen der Vereinigung, vol. 11, Geschichte der Sozialpolitik in Deutschland seit 1945 (Baden-Baden: Nomos Verlag, 2007); Andreas Rödder, Deutschland Einig Vaterland (Munich: Beck, 2009), see also his “Zeitgeschichte als Herausforderung: Die deutsche Einheit,” Historische Zeitschrift 270 (2000): 669–87, “‘Breakthrough in the Caucasus’? German Reunification as a Challenge to Contemporary Historiography,” German Historical Institute London Bulletin 24, no. 2 (November 2002): 7–34, Die Bundesrepublik Deutschland, 1969–1990 (Munich: Oldenbourg Verlag, 2004); Angela Stent, Russia and Germany Reborn: Unification, the Soviet Collapse, and the New Europe (Princeton, NJ: Princeton University Press, 1999); Bernd Stöver, Der Kalte Krieg, 1947–1991: Geschichte eines radikalen Zeitalters (Munich: Beck, 2007); Stephen Szabo, The Diplomacy of German Unification (New York: St. Martin’s Press, 1992); Philip Zelikow and Condoleezza Rice, Germany Unified and Europe Transformed: A Study in Statecraft (Cambridge, MA: Harvard University Press, 1995). There is also a multivolume study that was produced by a group of German professors who received early access to West German documents. Their resulting publication runs to a cumulative 3,008 pages. See Geschichte der deutschen Einheit (hereafter GDE) (Stuttgart: Deutsche Verlags-Anstalt, 1998): Karl-Rudolf Korte, vol. 1, Deutschlandpolitik in Helmut Kohls Kanzlerschaft: Regierungsstil und Entscheidungen 1982–1989; Dieter Grosser, vol. 2, Das Wagnis der Währungs-, Wirtschafts- und Sozialunion: Politische Zwänge im Konflikt mit ökonomischen Regeln; Wolfgang Jäger, vol. 3, Die Überwindung der Teilung: Der innerdeutsche Prozeß der Vereinigung 1989/90; most relevant to this study and also the longest, at 952 pages, Werner Weidenfeld, Peter M. Wagner, and Elke Bruck, vol. 4, Außenpolitik für die deutsche Einheit: Die Entscheidungsjahre 1989/90. An online chronology is available in both English and German at http://www.chronik-der-mauer.de, produced by Hertle at the Zentrum für Zeitgeschichtliche Forschung in Potsdam together
with the Bundeszentrale für politische Bildung and Deutschlandradio; see also, in a similar vein, http://www.chronik-der-wende.de. On the first George Bush era more generally, see Christopher Maynard, Out of the Shadow: George H. W. Bush and the End of the Cold War (College Station: Texas A&M Press, 2008). Finally, a collection of documents and essays about 1989 edited by Thomas Blanton, Svetlana Savranskaya, and Vladislav Zubok was forthcoming as this book went to press.

  2. John Lewis Gaddis, “History, Theory, and Common Ground,” International Security 22, no. 1 (Summer 1997): 84.

  3. Ikenberry himself has produced one of the finest studies of major international reordering moments in After Victory (Princeton, NJ: Princeton University Press, 2001). See also his article, together with Daniel Deudney, “Who Won the Cold War?” Foreign Policy 87 (Summer 1992): online.

  4. Ellen Schrecker, ed., Cold War Triumphalism: The Misuse of History after the Fall of Communism (New York: New Press, 2004), 2.

  5. Particularly useful was the video archive of the West German television station ARD in Hamburg and the Robert Havemann-Gesellschaft (hereafter RHG) in Berlin, to which a number of former East German dissidents have donated their private materials.

  6. A limited number of issues of the edited Gorbachev documents were published in Moscow in late 2006: Михаил Горбачев и германский вопрос (hereafter МГ) (Moscow: Весь Мир, 2006). The documents, however, have since become available online at http://rodon.org/other/mgigv/index.htm; I am grateful to Victor Grinberg for calling my attention to this site. Gorbachev’s aide, Chernyaev, has made materials available both via the Gorbachev Foundation and online via the National Security Archive. Chernyaev’s memoirs are also available in an excellent translation: Anatoly Chernyaev, My Six Years with Gorbachev, trans. and ed. Robert English and Elizabeth Tucker (University Park: Pennsylvania State University Press, 2000). There is also a German version: Die letzten Jahre einer Weltmacht (Stuttgart: Deutsche-Verlagsanstalt, 1993); however, I have relied on the English-Tucker translation. The Fond 89 is now available in various archives and libraries. I have used the copy at Harvard University, in the U.S. Government Documents section of Lamont Library; I am grateful to Mark Kramer for his help with this collection and other sources. I must also thank Dr. Alexander (Sasha) Polunov of Moscow State University and particularly Mariya Grinberg of the University of Southern California for their help in processing Russian sources.

  7. Some of Kohl’s papers on the process of German unification, or to be more precise, the records of the Bundeskanzleramt from late 1989 to late 1990 on the subject, were released and published in the truly remarkable volume edited by Hanns Jürgen Küsters and Daniel Hoffman, Dokumente zur Deutschlandpolitik: Deutsche Einheit, Sonderedition (hereafter DESE) aus den Akten des Bundeskanzleramtes 1989/90 (Munich: R. Oldenbourg Verlag, 1998). Despite the use of small fonts and the combination of many pages of original documents into shorter continuous typescripts, the volume still runs to 1,667 pages. While it does not contain every single item produced by the Bundeskanzleramt in this time period, it represents a remarkable selection of 430 central documents, many involving bilateral contacts with countries that have kept their own copies from the same meetings still secret. On top of this, the decision of the Bundeskanzleramt and the Bundesarchiv to grant me access to still-closed documents allowed me to read the published items in fuller context, although I could not cite the unpublished sources. These sources will inform the analysis that follows without explicit mention. The Bundesarchiv staff in Koblenz and the Bundeskanzleramt staff in Berlin have been helpful in this process; I am grateful to Jörg Filthaut, Katja Neuman, and Dr. Claudia Zenker-Oertel in particular. For more on the published documents, see Hartmut Mayer, Review of Dokumente zur Deutschlandpolitik: Deutsche Einheit, International Affairs 74, no. 4 (October 1998): 952–53.

  8. Especially useful were the FOIA requests filed by James Goldgeier and Christian Ostermann. Ostermann essentially requested all of the documents cited in Zelikow and Rice, Germany Unified, so that independent scholars can assess them. I am grateful to the staff of the Bush Presidential Library (hereafter BPL) for their help with these and other relevant FOIA requests. In particular, I appreciate their assistance in filing hundreds of mandatory review requests (covering every redacted or removed document in the relevant FOIAs). On the Zelikow and Rice account, already cited in note 1, see also Zelikow and Rice, “German Unification,” in Kiron K. Skinner, Turning Points in Ending the Cold War (Stanford, CA: Hoover Institution Press, 2008), 229–54.

  9. I would like to thank Secretary Baker for granting me both an interview and permission to view and copy his papers, which are held by the Mudd Library of Princeton University. Furthermore, I am grateful to Daniel Linke and Daniel Santamaria for their help with these materials. Emphasis in the original Baker documents, whether shown via the use of underlining or italics, is shown with italics in this text.

  10. I am grateful to Patrick Salmon of the Foreign and Commonwealth Office (FCO) for a number of consultations on these sources. I also thank Shajaat Jalil of the FCO for his help with my numerous British FOI requests. At the Cabinet Office (CAB) I am grateful to John Jenkins for his aid. Ian Brown of the UK Information Commissioner’s office helped with my successful appeal of a CAB denial, and I thank him for his support.

  11. The documents published by Mitterrand will be cited in the text to follow, when they are quoted. French historian Frédéric Bozo succeeded in his attempt to receive early access to extensive Mitterrand records; see Bozo, Mitterrand. My own petition (or dérogation) for an early viewing of the documents succeeded as well, although mostly too late for incorporation into this book, and will be the subject of future writing. I thank Bozo and Pascal Geneste for their help with French sources.

  12. Andrew J. Nathan, Perry Link, and “Zhang Liang,” eds., The Tiananmen Papers: The Chinese Leadership’s Decision to Use Force against Their Own People—in Their Own Words (New York: Public Affairs, 2001). Zhang Liang is the pseudonym of the Chinese collaborator who supplied the Western scholars with document copies. It is worth noting the concerns raised about these smuggled document copies, voiced by China scholar Jonathan Spence, “Inside the Forbidden City,” New York Times Book Review, January 21, 2001, 10–11. Spence suggests that the name chosen by the Chinese collaborator may be a hint. The real Zhang Liang was a historical figure from the third century BC who, according to Spence, was “a strategist of the highest order, a man whose subtlety at analyzing the nuances of political life, military realities and personal relationships was exceptional.” He was also known to sometimes “sharpen” stories, however, by writing lengthy confidential dialogue as if he were repeating it verbatim. As a result, Spence guesses that while the gist of the documents may be accurate, the “verbatim” quotations may not be as reliable.

  13. The translations from French, German, and Russian are my own unless otherwise indicated. For other languages, I often relied on the translations provided by these two organizations, and sometimes used them for German and Russian if I agreed with their translations.

  14. A full list of interviews starts on p. 290.

  15. As Jack Levy has pointed out, narrative is a method. Jack Levy, “Too Important to Leave to the Other,” International Security 22, no. 1 (Summer 1997): 22–33.

  16. Alexander L. George, “Case Studies and Theory Development: The Method of Structured Focused Comparison,” in Diplomacy: New Approaches in History, Theory, and Policy, ed. Paul Gordon Lauren (New York: Free Press, 1979), 43–68. See also Alexander L. George, “The ‘Operational Code’: A Neglected Approach to the Study of Political Decision-Making,” International Studies Quarterly 12 (June 1969): 190–222.

  17. Theda Skocpol, States and Social Revolutions: A Comparative Analysis of France, Russia, and China (Cambridge: Cambridge University Press, 1979), 36.

  18. John Lewis Gaddis, Strategies of Containment: A Critical Appraisal of Postwar American National Security Policy (Oxford: Oxford Unive
rsity Press, 1982). It is a testament to the durability of this work that the publisher issued a twenty-fifth anniversary edition in 2007, with additions by the author; see the discussion of the revised version in Robert L. Jervis, “Containment Strategies in Perspective,” Journal of Cold War Studies 8, no. 4 (Fall 2006): 92–97. Paul Kennedy, The Rise and Fall of the Great Powers (New York: Random House, 1987). Odd Arne Westad, The Global Cold War: Third World Interventions and the Making of Our Times (Cambridge: Cambridge University Press, 2005).

  NOTES TO INTRODUCTION

  1. Barack Obama, “A World That Stands as One” (speech delivered in Berlin, Germany, July 24, 2008), video and text at http://my.barackobama.com/page/content/berlinvideo; Jana Hensel, Zonenkinder (Reinbek bei Hamburg: Rowohlt, 2004), 160.

  2. Nicholas Kulish and Jeff Zeleny, “Prospect of Obama at Brandenburg Gate Divides German Politicians,” New York Times, July 10, 2008, online. For the content of the speech, see Obama, “A World That Stands as One.”

  3. “Transcript of Barack Obama’s Victory Speech,” November 5, 2008, available at http://www.npr.org; also available on a number of other news websites. For insightful analysis focusing on the power of memory about the collapse of the Berlin Wall, see the chapter by Mel Leffler in Jeffrey Engel, ed. The Fall of the Berlin Wall: The Revolutionary Legacy of 1989 (Oxford: Oxford University Press, 2009).

  4. As Stephen Kotkin has concluded, 1989 signaled the end of “the death agony of an entire world comprising non-market economics and anti-liberal institutions.” Stephen Kotkin, Armageddon Averted: The Soviet Collapse, 1970–2000 (New York: Oxford University Press, 2001), 2. For more on the collapse of the Soviet Union, see Michael Ellman and Vladimir Kontorovich, eds., The Disintegration of the Soviet Economic System (New York: Routledge, 1992), and The Destruction of the Soviet Economic System: An Insiders’ History (Armonk, NY: M. E. Sharpe, 1998). On the discrediting of Marxism-Leninism, see Mark Kramer, “The Collapse of East European Communism and the Repercussions within the Soviet Union (Part 2),” Journal of Cold War Studies 6, no. 4 (Fall 2004): 3–64. For more on the decline of Communism and socialism generally, see François Furet, The Passing of an Illusion: The Idea of Communism in the Twentieth Century (Chicago: University of Chicago Press, 1999); Tina Rosenberg, The Haunted Land: Facing Europe’s Ghosts after Communism (New York: Random House, 1995); Adam B. Ulam, The Communists: The Story of Power and Lost Illusions, 1948–1991 (New York: Scribner’s, 1992). See also the personal account in Slavenka Drakulic´, How We Survived Communism and Even Laughed (New York: Harper Perennial, 1993); see also Alan Greenspan, The Age of Turbulence (New York: Penguin, 2007), 12. Greenspan argues that 1989 was the most significant single year in the history of the global economy. “The defining moment for the world’s economies was the fall of the Berlin Wall in 1989, revealing a state of economic ruin behind the iron curtain,” and this event, more so than any other, exposed Communism “as an unredeemable failure.”