Notes. Preface. Introduction

Notes Preface 1. MacKillop (Riga) to Foreign Office, July 26, 1940, FO 371/24761, The National Archives, UK. 2. “Russian on the Baltic,” Times, July 2...
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Notes Preface 1. MacKillop (Riga) to Foreign Office, July 26, 1940, FO 371/24761, The National Archives, UK. 2. “Russian on the Baltic,” Times, July 25, 1940.

Introduction 1. Sir I. Campbell of the Washington Embassy to Foreign Office, August 7, 1942, FO 371/31524, The National Archives, UK (hereafter TNA). 2. Churchill to Eden, August 9, 1942, ibid. 3. Prime minister to president, August 9, 1942, ibid. See also Brendan Bracken to Eden, August 12, 1942, in which the minister for information suggests the use of the anniversary of the Atlantic Charter “simply as a news item,” ibid. 4. Gladwyn Jebb’s comments of December 17, 1942, about the Ministry of Information report on public feeling on postwar reconstruction, dated November 1942, FO 371/35339, TNA. 5. William Roger Louis, Imperialism at Bay: The United States and the Decolonization of the British Empire, 1941–1945 (New York: Oxford University Press, 1978); Patrick J. Hearden, Architects of Globalism: Building a New World Order during World War II (Fayetteville: University of Arkansas Press, 2002), 93–118; Auriol Weigold, Churchill, Roosevelt and India: Propaganda during World War II (London: Routledge, 2012). 6. Prime Minister Winston Churchill in a speech to the House of Commons on September 5, 1940, Documents on Polish–Soviet Relations, 1939–1945, vol. 1 (London: Heinemann, 1961), 49–51; William L. Langer and S. E. Gleason, The Undeclared War, 1940–1941 (London: Royal Institute of International Affairs, 1953), 557; Harley A. Notter, Postwar Foreign Policy Preparation, 1939–1945 (Washington, DC: Government Printing Office, 1949), 41. 7. David Carlton, Churchill and the Soviet Union (Manchester: Manchester University Press, 2000); John Lewis Gaddis, We Now Know: Rethinking Cold War History (Oxford: Oxford University Press, 1997), 198; Wilson

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8. 9.

10.

11.

12.

13.

14.

15.

D. Miscamble, “Franklin Roosevelt’s [Partially] Flawed Paradigm: Postwar Planning during World War II,” February 26–28, 2009, http://www.sanford .duke.edu/centers/tiss/documents/MiscambleConf.Final.Draft.pdf (retrieved on November 22, 2010). Elisabeth Barker, Churchill and Eden at War (London: Macmillan, 1978), 133. Jonathan H. L’Hommedieu, “Exiles and Constituents: Baltic Refugees and American Cold War Politics, 1948–1960” (doctoral thesis, University of Turku, 2011), 266–68. Maris A. Mantenieks, “FDR and the Baltic States,” in Thomas C. Howard and William D. Pederson (eds.), Franklin D. Roosevelt and the Formation of the Modern World (Armonk, NY: M. E. Sharpe, 2003), 98. Cordell Hull, The Memoirs of Cordell Hull (London: Hodder & Stoughton, 1948), 1170–74; Robert E. Sherwood, Roosevelt and Hopkins: An Intimate History (New York: Harper & Brothers, 1948), 526; Steven Merritt Miner, Between Churchill and Stalin: The Soviet Union, Great Britain, and the Origins of the Grand Alliance (Chapel Hill: University of North Carolina Press, 1988); Detlef Brandes, Grossbritannien und seine Osteuropäischen Alliierten 1939–1943: die Regierungen Polens, der Tschechoslowakei und Jugoslawiens im Londoner Exil vom Kriegsausbruch bis zur Konferenz von Teheran (München: R. Oldenbourg, 1988), 267–82; Warren F. Kimball, Forged in War: Churchill, Roosevelt and the Second World War (London: Harper Collins, 1997), 137–42; Dennis J. Dunn, Caught Between Roosevelt & Stalin: America’s Ambassadors to Moscow (Lexington: University Press of Kentucky, 1998), 158–67; John Lewis Gaddis, The United States and the Origins of the Cold War, 1941–1947 (New York: Columbia University Press, 2000), 15–16. The group’s Baltic experiences have not been thoroughly analyzed. Yergin focuses on their Moscow period after 1933, Daniel Yergin, Shattered Peace: The Origins of the Cold War and the National Security State (Boston: Houghton Mifflin Company, 1977), 17–41. DeSantis briefly discusses the influence of the Baltic states on their views, Hugh DeSantis, The Diplomacy of Silence: The American Foreign Service, the Soviet Union, and the Cold War, 1933–1947 (Chicago; London: University of Chicago Press, 1980), 29–30, 57–60. Tina Tamman has also treated the perspective of a Baltic diplomat, the Estonian minister August Torma in London, but focusing on Torma as an individual actor rather than on his views of the Allied policies and diplomacy. Tina Tamman, The Last Ambassador: August Torma, Soldier, Diplomat, Spy (Amsterdam; New York: Rodopi, 2011). E. J. Hobsbawm, Nations and Nationalism since 1780: Programme, Myth, Reality (Cambridge, New York: Cambridge University Press, 1992), 131–62. Glenda Sluga, Internationalism in the Age of Nationalism (Philadelphia: University of Pennsylvania Press, 2013), 79.

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16. Carsten Holbraad, Internationalism and Nationalism in European Political Thought (New York: Palgrave Macmillan, 2003), 111. 17. Edgar Anderson, “British Policy toward the Baltic States, 1940–41,” Journal of Baltic Studies, vol. 11, no. 4 (1980): 325–33. 18. Jonathan L’Hommedieu, “Roosevelt and the Dictators: The Origins of the US Non-Recognition of the Soviet Annexation of the Baltic States,” in John Hiden, Vahur Made, and David J. Smith (eds.), The Baltic Question During the Cold War (London: Routledge, 2008), 33–44; Kari Alenius, “A Baltic Prelude to the Cold War: The United States and the Soviet Annexation of the Baltic States, 1939–1941,” in Olaf Mertelsmann and Kaarel Piirimäe (eds.), The Baltic Sea Region and the Cold War (Frankfurt am Main: Peter Lang, 2012), 13–30; David Crowe, “American Foreign Policy and the Baltic State Question, 1940–1941,” East European Quarterly, 4 (1983): 401–15. There is also a master’s thesis written at the University of Helsinki back in 1969 by Jyrki Vesikansa, “Baltian kysymys Yhdysvaltain poliitikassa v. 1940–45” (master’s dissertation: University of Helsinki, 1969). 19. Miner, Between Churchill and Stalin; Antonijs Zunda, “The Baltic States and Great Britain during the Second World War,” in Patrick Salmon and Tony Barrow (eds.), Britain and the Baltic: Studies in Commercial, Political and Cultural Relations 1500−2000 (Sunderland: University of Sunderland Press, 2003), 267–92; see also David Kirby, “Morality or Expediency? The Baltic question in British−Soviet relations, 1941−1942,” in V. Stanley Vardis and Romuald J. Misiunas (eds.), The Baltic States in Peace and War, 1917−1945 (Pennsylvania: Pennsylvania State University Press, 1978), 159−72. 20. The same view is taken by Mantenieks, “FDR and the Baltic States,” 93–121; but see a different approach in Donal O’Sullivan, Stalin’s “Cordon Sanitaire”: die Sowjetische Osteuropapolitik und die Reaktionen des Westen, 1939–1949 (Paderborn: Schöningh, 2003), 161–68. 21. Arieh J. Kochavi, “Britain, the Soviet Union, and the Question of the Baltic States in 1943,” Journal of Baltic Studies, vol. 22, no. 2 (1991): 173–82. 22. Edmund R. Padvaiskas, “World War II Russian–American Relations and the Baltic States: A Test Case,” Lituanus, vol. 28, no. 2 (1982): 5–27; Eero Medijainen, “On the Razor’s Edge: The US Foreign Policy and the Baltic Issue in 1940–45,” in Olaf Mertelsmann and Kaarel Piirimäe (eds.), The Baltic Sea Region and the Cold War (Frankfurt am Main: Peter Lang, 2012), 31–62. 23. Lawrence Juda, “United States’ Non-Recognition of the Soviet Union’s Annexation of the Baltic States: Politics and Law,” Journal of Baltic Studies, vol. 6, no. 4 (1975): 272–90. See also Medijainen, “On the Razor’s Edge.” 24. Juda, “United States’ Non-Recognition,” 279. 25. For general attitudes toward the Baltic states toward the end of the war, see Craig Gerrard, “The USSR and the Baltic States at the End of World War II: The View from London,” in Olaf Mertelsmann (ed.), The Sovietization of the Baltic States, 1940–1956 (Tartu: Kleio, 2003), 43–54. The British recognition de facto has been discussed by Tina Tamman, “Wartime Diplomacy in London: How Britain Came to Partially Recognize the Soviet Annexation

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26.

27.

28.

29. 30.

of Estonia, Latvia and Lithuania,” in James S. Corum, Olaf Mertelsmann, and Kaarel Piirimäe (eds.), The Second World War and the Baltic States (Frankfurt am Main: Peter Lang, 2014), 87–98. Dokumenty Vneshnei Politiki, 1939 god (Moskva: Mezhdunarodnye Othnosheniia, 1992); Dokumenty Vneshnei Politiki 1940—22 Iiunia 1941 (Moskva: Izdatel’stvo Gumanitarnoi Literatury, 1995); V. G. Komplektov (ed.), Polpredy Soobshchaiut: Sbornik Dokumentov ob Otnosheniiakh SSR s Latviei, Litvoi i Estoniei: Avgust 1939g (Moskva: Mezhdunarodnye othnosheniia, 1990). Correspondence between the Chairman of the Council of Ministers of the USSR and the Presidents of the USA and the Prime Ministers of Great Britain during the Great Patriotic War of 1941–1945 (Moscow: Progress Publishers, 1977); G. P. Kynin, Jochen Laufer (eds.), 1941–1949: SSSR i Germanskii Vopros: Sokumenty iz Archiva Vneshnei Politiki Rossiiskoi Federatsii (Moscow: Nauka, 1996). Oleg A. Rzheshevsky, War and Diplomacy: The Making of a Grand Alliance: Documents from Stalin’s Archives (Amsterdam: Harwood Academic Publishers, 1996) includes useful commentaries by the editor. Documents on Polish–Soviet Relations, 1939–1945, vols. 1–2 (London: Heinemann, 1961); Katyn: British Reactions to the Katyn Massacre, 1943–2003: Published by the FCO Historians to Commemorate the 60th Anniversary of the Discovery of the Katyn Massacre on 13th April 1943 (London: Foreign and Commonwealth Office, 2003); T. V. Volokitina (ed.), Sovetskii Faktor v Vostochnoi Evrope, 1944–1953: Dokumenty: v Dvukh Tomakh. T. 1, 1944–1948 (Moskva: Rosspen, 1999); T. V. Volokitina (ed.), Vostochnaia Evropa v Dokumentakh Rossiiskikh Arkhivov: 1944–1953gg (Moscow, Novosibirsk: Sibirskii Khronograf, 1997); Lev F. Sotskov (ed.), Pribaltika i Geopolitika. 1935–1945 gg. Rasskrechennyi Dokumenty Sluzhby Vneshneii rasvedki Rossiiskoii Federatsii (Moskva: Ripol Klassik, 2010). Warren Kimball, Churchill & Roosevelt: The Complete Correspondence (Princeton, NJ: Princeton University Press, 1984); Stalin’s Correspondence with Churchill, Attlee, Roosevelt and Truman, 1941–45 (London: Lawrence & Wishart, 1958); US Department of State: Foreign Relations of the United States (Washington, DC: Government Printing Office, 1953–. Graham Ross, The Foreign Office and the Kremlin: British Documents on Anglo–Soviet Relations: 1941–45 (Cambridge, NY: Cambridge University Press, 1984). Roger Bullen and M. E. Pelly (eds.), Documents on British Policy Overseas, series 1, vol. 2 (London: HMSO, 1985). Mart Orav, and Enn Nõu (eds.), Tõotan Ustavaks Jääda . . . Eesti Vabariigi Valitsus 1940–1992 (Tartu: Eesti Kirjanduse Selts, 2004).

1 The Soviet Annexation and the Estonian Diplomats-in-Exile, 1940 1. Alfred Senn, Lithuania 1940: Revolution from Above (Amsterdam: Rodopi, 2007), 92, 97–98.

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2. John Wiley’s telegram to the secretary of state, June 25, 1940, John C. Wiley Papers, Box 4, Franklin D. Roosevelt Library, Hyde Park, New York (hereafter FDRL). 3. See for example the issues of the Daily Worker for the second half of June and July 1940. 4. Senn, Lithuania 1940, 89. Senn is citing the Russian historian Nataliia Lebedeva. 5. Silvio Pons, Stalin and the Inevitable War, 1936–1941 (London: Frank Cass, 2002), 186. 6. Ibid., 199. Lithuania was first assigned to the German sphere but by the secret additional protocol of September 28 most of it was assigned to the Soviet sphere of influence. 7. Molotov’s speech to the 5th extraordinary session of the Supreme Soviet, October 31, 1939, Jane Degras (ed.), Soviet Documents on Foreign Policy, vols. 1–3 (London: Oxford University Press, 1951–1953), vol. 3, 388–400. 8. Cited in Mikhail Ivanovich Semirjaga, Tainy Stalinskoi Diplomatii, 1939– 1941 (Moskva: Vysshaia Shkola, 1992), 33. 9. The term originates from a conversation between Lord Halifax and Ivan Maiskii, from the diary of Ivan Maiskii, in DVP (1939), 496–7. 10. Bernhard H. Bayerlein (ed.), Georgi Dimitroff: Tagebücher 1933–1943 (Berlin: Aufbau-Verlag, 2000), 274. 11. Magnus Ilmjärv, Silent Submission: Formation of Foreign Policy of Estonia, Latvia and Lithuania: Period from mid-1920’s to Annexation in 1940 (Stockholm: Almqvist & Wiksell International, 2004), 365. 12. Ilmjärv, Silent Submission, 362. 13. At present, only the Estonian transcript of the conversation is available, this has been printed in Aleksander Varma, “Läbirääkimised Moskvas ja Tallinnas” [Negotiations in Moscow and Tallinn], Evald Blumfeldt, Hans Kauri, Richard Maasing, and Vello Pekomäe (eds.), Eesti Riik ja Rahvas Teises Maailmasõjas, vol. 2 (Stockholm: EMP, 1955), 56–76. The English translation can be found in Report of the Select Committee to Investigate Communist Aggression and the Forced Incorporation of the Baltic States into the USSR: Third Interim Report of the Select Committee on Communist Aggression, House of Representatives, Eighty-Third Congress, Second Session (Washington: Government Printing Office, 1954). 14. Varma, “Läbirääkimised Moskvas ja Tallinnas,” 59. 15. Molotov to Munters on October 2, quoted in Geoffrey Roberts, “Soviet Policy and the Baltic States, 1939–1940: A Reappraisal,” Diplomacy and Statecraft, vol. 6, issue 3 (November 1995): 672–700, 680; Seppo Myllyniemi, Die Baltische Krise, 1938–1941 (Stuttgart: Deutsche VerlagsAnstalt, 1979), 65; Valdis O. Lumans, Latvia in World War II (New York, NY: Fordham University Press, 2006), 77. 16. In September–October Stalin repeatedly assured the Baltic representatives that the USSR would not interfere in Baltic internal affairs, Molotov to N. G. Posdnjakov, Soviet Ambassodor to Latvia, October 14, 1939 and Molotov to K. N. Nikitin, Soviet Ambassador to Estonia, October 20, 1939,

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17. 18. 19. 20.

21. 22. 23. 24.

25.

26.

27. 28.

Notes

V. G. Komplektov (ed.), Polpredy Soobshchaiut: Sbornik Dokumentov ob Otnosheniiakh SSR s Latviei, Litvoi i Estoniei: Avgust 1939g.–Avgust 1940g. (Moskva: Mezhdunarodnye othnosheniia, 1990), 123, 138. On the relatively decent behavior of Soviet troops, Magnus Ilmjärv, “Soviet Military Bases in Estonian Territory in 1939–1940,” in Toomas Hiio, Meelis Maripuu, and Indrek Paavle (eds.), Estonia, 1940–1945: Reports of the Estonian International Commission for the Investigation of Crimes against Humanity (Tallinn: Inimsusevastaste Kuritegude Uurimise Eesti Sihtasutus, 2006), 7–32. Stalin’s instructions on October 26, Bayerlein, Georgi Dimitroff: Tagebücher, 279. Molotov’s speech on the seventh session of the Supreme Soviet, Degras (ed.), Soviet Documents on Foreign Policy, III, 461–9. Indrek Paavle, “The Fate of the Estonian Elite in 1940–1941,” in Estonia, 1940–1945, 391–412. Also see other chapters in the volume. Patrick R. Osborn, Operation Pike: Britain versus the Soviet Union, 1939– 1941 (Westport, CT; London: Greenwood Press, 2000), 91–5. Stalin knew of the Allied plans to use Polish troops in the North and the Allied hopes of a Polish uprising in the Soviet rear, so he ordered the liquidation of a potential fifth column. The Czech legion had taught a lesson during the civil war which the Bolsheviks could hardly forget. According to Sergo Beria, the Katyn massacre demonstrated Stalin’s dream of “communizing” Europe in 1940, Sergo Beria, Beria—My Father: Inside Stalin’s Kremlin (London: Duckworth, 2001), 55. This is noted by Gabriel Gorodetsky, Grand Delusion: Stalin and the German Invasion of Russia (London: Yale University Press, 1999), 14–6. Pravda, May 28, 1940. Beria, My Father, 61. Strobe Talbott (ed.), Khrushchev Remembers: With an Introduction, Commentary and Notes by Edward Crankshaw (London: Andre Deutsch, 1970), 134; Earl F. Ziemke, The Red Army 1918–1941: From Vanguard of World Revolution to US Ally (London: Frank Cass, 2004), 238. On rumors about the Soviet panic about a possible German–British peace, Cordell Hull, The Memoirs of Cordell Hull, Vol. 1 (London: Hodder & Stoughton, 1948), 810. Wiley telegram to secretary of state, June 19, 1940, John C. Wiley papers, Box 4, FDRL. The informant added that Hitler’s statement of not desiring the destruction of the British Empire had literally caused panic in the Soviet mind. Because of the catastrophe of 1941, it is difficult to agree with Geoffrey Roberts’s assessment of Stalin as a “great war leader,” Geoffrey Roberts, Stalin’s Wars: From World War to Cold War, 1939–1953 (New Haven; London: Yale University Press, 2006), 373. Gallienne to Foreign Office, July 18, 1940, FO 371/24761, The National Archives, UK (hereafter TNA). Krėvė-Mickevičius’ conversation with Dekanozov and Vasiliev on June 30, 1940, in Report of the Select Committee to Investigate Communist Aggression

Notes

29. 30.

31. 32.

33. 34. 35.

36.

37. 38. 39. 40.

41.

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and the Forced Incorporation of the Baltic States into the USSR: Third Interim Report of the Select Committee on Communist Aggression, House of Representatives, Eighty-Third Congress, Second Session (Washington: Government Printing Office, 1954), 463 (hereafter US Congress Third Interim Report). The report is used as a source also by Roberts, Stalin’s Wars, 43. US Congress Third Interim Report, 450–63. John Alexander Swettenham, The Tragedy of the Baltic States; A Report Compiled from Official Documents and Eyewitnesses’ Stories (London: Hollis and Carter, 1952); August Rei, The Drama of the Baltic Peoples (Stockholm: Kirjastus Vaba Eesti, 1970); Peeter Kaasik, Meelis Maripuu, and Toomas Hiio, “21 June 1940 in Tallinn and Elsewhere in Estonia,” in Estonia 1940– 1945, 49–56. There were 133 members in the Estonian Communist Party in 1940 and 1500 in the Lithuanian Communist Party in early 1941. Wiley telegram to secretary of state, June 21, 1940, John C. Wiley papers, Box 4, FDRL. Cited in David Kirby, “The Baltic States 1940–1950,” in Martin McCauley (ed.), Communist Power in Europe, 1944–1949 (London: Macmillan, 1977), 22–35. Most of the extreme Left would probably have opposed outright annexation. There was much talk about the Mongolian Model, Peeter Kaasik, Meelis Maripuu, and Toomas Hiio, “21 June 1940 in Tallinn and Elsewhere in Estonia,” Estonia, 1940–1945, 49–56; Andres Kasekamp, A History of the Baltic States (Basingstoke: Palgrave Macmillan, 2010), 128–9. “Välismaal Asuvate Riigireetjate ja Nende Perekonnaliikmete Karistamise Seadus,” Riigi Teataja, August 5, 1940. Tina Tamman, The Last Ambassador: August Torma, Soldier, Diplomat, Spy (Amsterdam; New York: Rodopi, 2011), 111. Arti Hilpus, “Eesti Välisesindused 1940–1941,” in Enn Tarvel and Meelis Maripuu (eds.), Sõja ja Rahu Vahel: Esimene Punane Aasta, II köide (Tallinn: S-Keskus, 2010), 580–620. “The Explanation of Warma, Rei and Laretei for the Creation of the Foreign Delegation of the Republic of Estonia,” 1940, Mart Orav and Enn Nõu (eds.), Tõotan Ustavaks Jääda . . . Eesti Vabariigi Valitsus 1940–1992 (Tartu: Eesti Kirjanduse Selts, 2004), 494–8. Jüri Ant, August Rei—Eesti Riigimees, Poliitik, Diplomaat (Tartu: Rahvusarhiiv, 2012), 216–24. Cited by Tamman, The Last Ambassador, 74. Eero Medijainen, Saadiku Saatus: Välisministeerium ja Saatkonnad, 1918– 1940 (Tallinn: Eesti Entsüklopeediakirjastus, 1997), 256. For a characterization of Pusta, see Heinrich Laretei, Saatuse Mängukanniks: Mällu Jäänud Märkmeid (Tallinn: Abe, 1992), 172–77. Pusta’s memoirs of the prewar years, Kaarel Robert Pusta, Kontrastide Aastasada (Tartu: Ilmamaa, 2000). On Pusta’s unpleasant affairs, The Diary of Johannes Kaiv, July 15, 1941, Eesti Rahvusarhiiv (Estonian National Archives, hereafter ERA), 9619–1–2. Washington Evening Star, October 19, 1940, Times Herald, October 22, 1940, Washington Post, October 22, 1940.

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42. The War and Peace Studies of the Council on Foreign Relations, 1939–1945 (New York: The Harold Pratt House, 1946). 43. Beatrice Bishop Berle and Travis Beal Jacobs (eds.), Navigating the Rapids, 1918–1971: From the Papers of Adolf A. Berle (New York: Harcourt Brace Jovanovich, 1973), November 27, 1940 (p. 351). 44. Report on the Baltic Committee in New York, May 18, 1943, Records of the Foreign Nationalities Branch 1941–1945, Office of Strategic Services (OSS), Box 417, RG 226, US National Archives (hereafter NA). 45. Pages from the Diary of Kaarel Robert Pusta, August 10, 1942, ERA 1622–2–3. 46. Ilmjärv, Silent Submission. 47. Merkys was arrested and deported with his family on July 17, 1940; Päts and his family on July 30, 1940; Ulmanis resigned on July 21, 1940, was arrested thereafter and deported to Russia. Päts died in 1956, Ulmanis in 1942, and Merkys in 1954. 48. Among the few who died as prisoners was Johan Laidoner, the second man in Estonia after Päts. He died in 1953 in Russia, Paavle, “The Fate of the Estonian Elite,” 391–412. 49. Gunnar Åselius, The Rise and Fall of the Soviet Navy in the Baltic 1921–1941 (London: Frank Cass, 2005), 190. 50. Eric A. Johnson and Anna Herman, “The Last Flight from Tallinn,” Foreign Service Journal (May 2007): 46–52. 51. Some of the reports are contained in Records of the Foreign Nationalities Branch 1941–1945, Office of Strategic Services (OSS), Box 417, RG 226, NA. 52. Leonard to secretary of state, July 24, 1940, and answer by Welles the next day to give diplomatic visas, RG 59, Decimal File 1940–1944, 860i.00i/21, NA; also FRUS (1940), I, 405. 53. Anita J. Prażmowska, Britain and Poland, 1939–1943: The Betrayed Ally (Cambridge: Cambridge University Press, 1995). 54. Times, August 8, 1940, excerpt in “Official Commitments: Baltic states: US policy,” RG 59, Office of the United Nations affairs, Box 9, NA. 55. The experience after the First World War was the model, Leppik’s recommendation from Rome, October 12, 1939, Laretei’s remark about 2–3 years, Laretei from Stockholm, December 2, 1939, Ernst Jaakson, Eestile (Tallinn: SE & S, 1995), 74–6. 56. Ilmjärv, Silent Submission, 483. 57. Lithuania did this at the end of 1939, Latvia on 17 May, Romuald J. Misiunas, “Sovereignty without Government: Baltic Diplomatic and Consular Representations, 1940–1990,” in Yossi Shain (ed.), Governmentsin-Exile in Contemporary World Politics (New York; London: Routledge, 1991), 134–44. 58. Only the United States allowed diplomatic privilege to pass on to another person, but this problem cropped up not before 1948. On the controversy surrounding Piip’s plans, Torma to Pusta, June 26, 1941, ERA 1583–2–20. Ants Piip, professor of law at the University of Tartu, former head of state,

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59.

60.

61.

62.

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minister of foreign affairs and ambassador to Britain and the United States, was arrested by the NKVD on June 30, 1941. He died in a Soviet prison camp in the oblast of Perm on October 1, 1942. Torma was informed of Soviet conditions for mutual assistance pacts with a short telegram on September 28, 1939, Torma’s conversation with Collier, September 28, 1939, FO 371/23689, TNA. Estonia’s location was, no doubt, extremely unfavorable in terms of communications to the West. The last letter from Foreign Minister Ants Piip was sent on June 7, but it arrived only on June 21, August Torma, “Eesti Saatkonnas Londonis,” in Evald Blumfeldt, Hans Kauri, Richard Maasing, and Vello Pekomäe (eds.), Eesti Riik ja Rahvas Teises Maailmasõjas, vol. 2 (Stockholm: EMP, 1955), 95. E. Ernits, “Eesti Esindus Ameerika Ühendriikides,” in Evald Blumfeldt, Hans Kauri, Richard Maasing, and Vello Pekomäe (eds.), Eesti Riik ja Rahvas Teises Maailmasõjas, vol. 2 (Stockholm: EMP, 1955), 97–100. Hilpus, “Eesti Välisesindused,” 586.

2 British Perceptions and Reactions, 1939–1940 1. Elisabeth Barker, Churchill and Eden at War (London: Macmillan, 1978), 144. 2. “Soviet Demands to the Baltic States,” Times, June 17; “Soviet Troops in the Baltics,” Times, June 19; “Occupied Baltic States,” Times, July 5, 1940. 3. See Home Intelligence Reports on Opinion and Morale, 1940–1944 [microfilm] (Brighton: Harvester Microform, 1979) for June–August 1941. For Romania, see report of June 28. 4. David Dilks (ed.), The Diaries of Sir Alexander Cadogan (London: Cassell, 1971), June 20, 1940. The same view was taken by Foreign Secretary Lord Halifax, War Cabinet, June 22, W. M. (40), 175th Conclusions, The National Archives, UK (hereafter: TNA). John Harvey (ed.), The War Diaries of Oliver Harvey (London: Collins, 1978); Ben Pimlott (ed.), The Second World War Diary of Hugh Dalton 1940–45 (London: Jonathan Cape, 1986); John Colville, The Fringes of Power: Downing Street Diaries 1939– 1955 (London: Phoenix Press, 2005). 5. Foreign Office minute, October 12, 1939, FO 371/23689, TNA. 6. On Baltic propaganda, Magnus Ilmjärv, Silent Submission: Formation of Foreign Policy of Estonia, Latvia and Lithuania: Period from Mid-1920’s to Annexation in 1940 (Stockholm: Almqvist & Wiksell International, 2004), 403–09. 7. Minute by Collier, September 28, 1939, FO 371/23689, TNA. See also the conversation with Colonel Villem Saarsen, the head of the Intelligence Section of the General Staff of the Estonian Army, on October 5, 1939, FO 371/23689. 8. Minute by Strang, October 12, 1939; minutes by Cadogan and Halifax, October 17, 1939, ibid.

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9. Fitzroy Maclean minute, October 20, 1939, ibid. 10. Gallienne from Tallinn, October 9, 1939, ibid. Gallienne from Tallinn, September 23, FO 371/23610, TNA. 11. Preston report on the Soviet occupation of the Baltic states, November 1940, FO 371/24762, TNA. 12. “Soviet Russia and the Peace Conference”, October 31, 1942, FO 371/36991, TNA. 13. Gallienne (Tallinn) to Halifax, July 24, 1940, FO 371/24761, TNA. 14. MacKillop (Riga) to Halifax, July 26, 1940; Collier minute, August 4, 1940; Sargent minute, August 6, 1940, ibid. 15. Times, July 25, 1940. 16. Collier to Barrington-Ward (Times), July 26, 1940, FO 371/24761, TNA. 17. “The Baltic States,” July 26, 1940, W. P. (40) 287, ibid. 18. Ibid. 19. Halifax to first lord of admiralty, August 19, 1940, FO 371/24847, TNA. Since December 1939 the British position was that Soviet conquest of Finland would not have direct adverse effect on the Allies. 20. Halifax to Kennard, July 29, 1940, ibid. 21. According to Home Intelligence Reports for July 1 and July 20, many people were said to be interested in Stafford Cripps’s mission to Russia. 22. For the American but to some extent also the British views, see Leonard Leshuk, US Intelligence Perceptions of Soviet Power, 1921–1946 (London: Frank Cass Publishers, 2003), 119–30. 23. Gabriel Gorodetsky, Stafford Cripps in Moscow, 1940–1942: Diaries and Papers (London; Portland, OR: Vallentine Mitchell, 2007), 1–21; Peter Clarke, The Cripps Version: The Life of Sir Stafford Cripps (London: Allen Lane, 2002). 24. Gorodetsky, Cripps: Diaries and Papers, June 29, 1940. 25. Ibid., July 18, 1940. 26. Ibid., September 2, 1940. 27. Llewellyn Woodward, British Foreign Policy in the Second World War (London: HMSO, 1962), 454. 28. Clarke, The Cripps Version. On the Moscow period, Harry Hanak, “Sir Stafford Cripps as Ambassador in Moscow, June 1941–January 1942,” The English Historical Review, vol. 97, no. 383 (April 1982): 332–44; Gabriel Gorodetsky, Stafford Cripps’ Mission to Moscow, 1940–42 (Cambridge: Cambridge University Press, 1984). 29. To soothe German suspicions it was announced in the TASS (Telegraph Agency of the Soviet Union) that Moscow would not receive anyone in the capacity of special and extraordinary plenipotentiary, Woodward, British Foreign Policy, 454. Doubts about his suitability, The Second World War Diary of Hugh Dalton, May 17, 1940. 30. J. R. M. Butler, Grand Strategy, vol. 2 (London: HMSO, 1957), 209. 31. Woodward, British Foreign Policy, 466. 32. Ibid., 470.

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33. “Account of Interview with Mr. Stalin on July 1st, 1940,” Cripps to Halifax, FO 371/29464, TNA; Cripps from Moscow, July 1, 1940, PREM 3/395/1, Churchill Archives Centre (hereafter CAC). 34. Robert Manne, “The British Decision for Alliance with Russia, May 1939,” in Journal of Contemporary History, vol. 9, no. 3 (July 1974): 8, 14, 15. 35. Halifax at the House of Lords, December 5, 1939, quoted in Kaarel Robert Pusta, Soviet Union and the Baltic States (New York: J. Felsberg 1942), 45. 36. Churchill’s speech at the Carlton Club, June 28, 1939, cited in Louise Grace Shaw, The British Political Elite and the Soviet Union 1937–1939 (London; Portland, OR: Frank Cass, 2003), 178; Daily Telegraph, June 8, 1939. 37. John Harvey (ed.), The Diplomatic Diaries of Oliver Harvey, 1937–1940 (London: Collins, 1970), June 5, 1939; Anthony Eden, The Reckoning (London: Casell, 1965), 55. 38. Winston Churchill, Second World War: The Gathering Storm (London: Cassell, 1949), 306. 39. Chubarian, Aleksandr O. (ed.), Dnevnik Diplomata, London, 1934–1943: Ivan Mikhailovich Maiskii: Kniga 2, Chast 1 (Moskva: Nauka, 2009), 28–31. 40. Maiskii to Moscow, October 7, 1939, DVP (1939), vol. 2, 167–69. 41. Dnevnik Diplomata, 30. 42. On the Russian intervention, Markku Ruotsila, Churchill and Finland: A Study in Anticommunism and Geopolitics (New York: Routledge, 2005), 17–44. 43. Thomas Munch-Petersen, The Strategy of Phoney War: Britain, Sweden, and the Iron Ore Question, 1939–1940 (Stockholm: Militarhistorika Forlaget, 1981), 35–38, 109–11; Karl Lautenschläger, “Plan ‘Catherine’: The British Baltic Operation, 1940,” Journal of Baltic Studies, vol. 5, issue 3 (Autumn 1974): 211–21. 44. Foreign Office to Moscow (conveying a message from the prime minister), August 4, 1944, FO 954/32, TNA. 45. Christopher Bell, Churchill and Sea Power (Oxford: Oxford University Press, 2012), 157; Andrew Lambert, “The Only British Advantage: Sea Power and Strategy, September 1939–June 1940,” in Michael H. Clemmesen and Marcus S. Faulkner, Northern European Overture to War, 1939–1941: From Memel to Barbarossa (Leiden: Brill, 2013), 45–74. 46. War Cabinet 62 (39), October 27, 1939, CAB 65/1, TNA. 47. Collier minute, August 9, 1940, FO 371/24761, TNA. 48. “The Baltic States,” July 26, 1940, W.P. (40) 287, ibid. 49. War Cabinet conclusions, July 29, August 8, August 9 and August 13, ibid. On the isolation of the Baltic ministers in London, Ernst Jaakson, Eestile (Tallinn: SE & S, 1995), 193. 50. Cripps telegram, August 7, 1940; Cripps to Halifax, August 4, 1940, FO 371/24761, TNA. 51. Hull, Memoirs, 811. 52. The ships of the Baltic states had been brought from high seas and detained in the British ports or had deliberately chosen not to return to homeland after the Soviet annexation, Cripps telegram, August 8 1940, FO 371/24847, TNA.

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53. Ibid. On Cripps’s preconceptions, Charles E. Bohlen, Witness to History, 1929–1969 (New York: W. W. Norton, 1973), 103. 54. Cabinet conclusions, August 13, 1940, FO 371/24761, TNA. 55. Halifax to first lord of admiralty, August 19, 1940, FO 371/24847, TNA; The Diaries of Sir Alexander Cadogan, August 17, 1940.

3 The Nonrecognition Policy of the United States, 1940 1. David Reynolds describes the year 1940 as the “fulcrum” of the twentieth century, David Reynolds, From World War to Cold War: Churchill, Roosevelt and the International History of the 1940s (Oxford: Oxford University Press, 2006), 28–32. 2. Ibid., 32. 3. The first tangible result of this was the destroyers for bases deal in September, Warren F. Kimball, Forged in War: Churchill, Roosevelt and the Second World War (London: Harper Collins, 1997), 55–8; Reynolds, From World War to Cold War, 53. 4. See the instructions to the ambassador, Foreign Office to Washington, August 16, 1940, FO 371/24847, The National Archives (hereafter TNA). 5. Lord Lothian’s remark in the autumn of 1939, cited by Simon J. Rofe, Franklin Roosevelt’s Foreign Policy and the Welles Mission (New York: Palgrave Macmillan, 2007), 48. 6. Charles E. Bohlen, Witness to History, 1929–1969 (New York: W. W. Norton, 1973), 67–87. 7. Maris A. Mantenieks, “FDR and the Baltic States,” in Thomas C. Howard and William D. Pederson (eds.), Franklin D. Roosevelt and the Formation of the Modern World (Armonk, NY: M. E. Sharpe, 2003), 93–121 8. See Wiley’s long discussions on the question whether the pact had entailed any secret clauses, Wiley to Henderson, September 7 and 22, 1939, Loy W. Henderson papers, Box 2, Library of Congress (hereafter LC). That the Americans were leaving was reported in the press. 9. Natalie Grant, “The Russian Section: A Window on the Soviet Union,” Diplomatic History, vol. 2, issue 1 (1978): 107–15. 10. Mary E. Glantz, FDR and the Soviet Union: The President’s Battles over Foreign Policy (Lawrence: University Press of Kansas, 2005), 11–13, 19, 23, 163–6, 180. 11. He remembered the “erotic twilight of the northern world” while staying on a beach near Riga, George F. Kennan, Memoirs, 1925–50 (Boston, MA; Toronto: Little, Brown, 1967), 27–31. Similar romantic experiences on the beaches of Estonia, Bohlen, Witness to History, 11. 12. Kennan, Memoirs, 29, 49. 13. Ibid., 29. 14. He remember that he and his staff in Kaunas, the capital of Lithuania, only narrowly escaped being murdered by Communists during an attack, “Oral

Notes

15.

16.

17.

18.

19.

20. 21. 22.

23.

24. 25.

26.

27.

175

history interview with Loy W. Henderson,” June 14 and July 5, 1973, by Richard D. McKenzie, Harry S. Truman Library, http://www.trumanlibrary .org/oralhist/hendrson.htm#note (last accessed: February 3, 2014). For saving Estonia from typhus, the Estonian Government awarded Henderson with the Freedom Cross; he was also awarded by the Lithuanian and Latvian governments, George W. Baer (ed.), A Question of Trust: The Origins of US–Soviet Diplomatic Relations: The Memoirs of Loy W. Henderson (Stanford, CA: Hoover Institution Press, 1986), 71–80. Ibid., 1176–80; “Elise’s Baltic background also shaped Henderson’s outlook,” H. W. Brands, Inside the Cold War: Loy Henderson and the Rise of the American Empire, 1918–1961 (New York; Oxford: Oxford University Press, 1991), 38; “Oral History Interview with Loy W. Henderson.” Kari Alenius, “A Baltic Prelude to the Cold War: The United States and the Soviet Annexation of the Baltic States, 1939–1941,” in Olaf Mertelsmann, Kaarel Piirimäe (eds.), The Baltic Sea Region and the Cold War (Frankfurt am Main: Peter Lang, 2012), 13–14. Wiley to Henderson, October 10, 1939, Loy W. Henderson papers, Box 2, LC. Donald D. Day was a correspondent for American newspapers in the Baltic states and later in Finland and in Sweden. His work for the German State Radio since 1944 brought arrest and charges of treason. Already in December 1939 the Associated Press published rumors about the possibility of closing the US embassies in the Baltic states, E. Ernits, “Eesti Esindus Ameerika Ühendriikides,” in Evald Blumfeldt, Hans Kauri, Richard Maasing and Vello Pekomäe (eds.), Eesti Riik ja Rahvas Teises maailmasõjas, vol. 2 (Stockholm: EMP, 1955), 97–100. Wiley to Henderson, November 1, 1939, Loy W. Henderson papers, Box 2, LC. Wiley to Henderson, July 29, 1939, Loy W. Henderson papers, Box 2, LC. Justus D. Doenecke, “The Roosevelt Foreign Policy: An Ambiguous Legacy,” in Justus D. Doenecke and Mark A. Stoler, Debating Franklin D. Roosevelt’s Foreign Policies, 1933–1945 (Lanham: Rowman & Littlefield, 2005), 19. Michael Cassella-Blackburn, The Donkey, the Carrot, and the Club: William C. Bullitt and Soviet–American Relations, 1917–1948 (Westport: Praeger, 2004), 117–76; Beatrice Farnsworth, William C. Bullitt and the Soviet Union (Bloomington: Indiana University Press, 1967). Dennis J. Dunn, Caught between Roosevelt & Stalin: America’s Ambassadors to Moscow (Lexington: University Press of Kentucky, 1998). One of the best intellectual biographies is John Lamberton Harper, American Visions of Europe: Franklin D. Roosevelt, George F. Kennan, and Dean G. Acheson (Cambridge: Cambridge University Press, 1996). Eduard Mark, “October or Thermidor? Interpretations of Stalinism and the Perception of Soviet Foreign Policy in the United States, 1927–1947,” The American Historical Review, vol. 94, no. 4 (October 1989): 937–62. For Moffat’s views, November 30, 1939, Nancy Harvison Hooker (ed.), The Moffat Papers; Selections from the Diplomatic Journals of Jay Pierrepont Moffat, 1919–1943 (Cambridge: Harvard University Press, 1956), 280–2;

176

28.

29. 30. 31. 32. 33. 34. 35. 36.

37. 38.

39.

40.

Notes

Henderson-Steinhardt correspondence in December 1939 is quoted by Brands, Inside the Cold War, 92–3; Henderson to Wiley, December 19, 1939, Loy W. Henderson papers, Box 6, LC. As to Roosevelt’s personal views, he may have been slightly disturbed by the Winter War. Hull blocked efforts to help Finland, Thomas R. Maddux, Years of Estrangement: American Relations with the Soviet Union, 1933–1941 (Tallahassee: University Presses of Florida, 1980), 117–21; The Moffat Papers, 290. Soviet strategic purchases continued even during the “moral embargo,” Leonard Leshuk, US Intelligence Perceptions of Soviet Power, 1921–1946 (London: Frank Cass Publishers, 2003), 131. The success of Roosevelt’s cautious policy was shown by the fact that in January 1941 he was able to repeal the arms embargo in the Congress. Hull also intervened on Finland’s behalf, FRUS (1939), I, 967; FRUS (1940), I, 281–86, 300–02. Cordell Hull, The Memoirs of Cordell Hull (London: Hodder & Stoughton, 1948), I, 807. Maddux, Years of Estrangement, 127. Ibid. Henderson conversation with Žadeikis, June 22, 1940, RG 59, Decimal File 1940–1944, 860p.01/6–2240, NA. Hull telegram to Kaunas, June 22, 1940, RG 59, Decimal File 1940–1944, 860m.00/443, US National Archives, College Park, Maryland (hereafter NA). Owen Norem (Kaunas) to Secretary of State, June 23, 1940, RG 59, Decimal File 1940–1944, 860m.00/443, NA. Lauri Mälksoo, Illegal Annexation and State Continuity: The Case of the Incorporation of the Baltic States by the USSR; a Study of the Tension between Normativity and Power in International Law (Boston: Martinus Nijhoff Publishers, 2003), 104. Conversation between Žadeikis, Henderson and Gallman, June 26, 1940, RG 59, Decimal File 1940–1944, 860p.01/6–2640, NA. The role of Henderson is also emphasized by Alenius, “A Baltic Prelude,” 19. The financial aspect is well analyzed in Jonathan L’Hommedieu, “Roosevelt and the dictators: the origins of the US non-recognition of the Soviet annexation of the Baltic states,” in John Hiden, Vahur Made, and David J. Smith (eds.), The Baltic Question during the Cold War (London: Routledge, 2008), 33–44. Henderson memorandum, July 9, 1940, RG 59, Decimal File 1940–1944, 860p.51/226, NA. He also noted that only communists dared come out to run for the election. Leonard (Tallinn) to secretary of state, July 14, 1940, RG 59, Decimal File 1940–1944, 860i.51/223, NA; Wiley (Riga) to secretary of state, July 14, 1940, RG 59, Decimal File 1940–1944, 860i.51/224, NA. Apparently, the order to the central banks of the Baltic states to transfer the gold was given by the Soviet State Bank on July 13; the executive order to freeze the Baltic gold in the United States was given two days later, on July 15, see Henderson memorandum, undated, FRUS (1940), III, 332.

Notes

177

41. Kaiv to State Department, July 23, 1940, FRUS (1940), I, 400. 42. From the viewpoint of international law, it is doubtful whether threat of force was illegal in 1940, although the use of force was definitely illegal. However, the USSR had signed a convention prohibiting the threat of force, Mälksoo, Illegal Annexation and State Continuity, 104. 43. Henderson memorandum, July 15, 1940, Loy W. Henderson papers, Box 6, LC. The Baltic assets were estimated at $12–13 million. Apart from the gold he referred to the ships of the Baltic states in American waters. 44. “Oral History Interview with Loy W. Henderson”; Henderson’s preface in Adolf Sprudzs and Armins Rusis (eds.), Res Baltica: A Collection of Essays in Honour of the Memory of Dr. Alfred Bilmanis (1887–1948) (Leyden: A. W. Sijthoff, 1968), 8. 45. The statement was reported in the press and published on July 27 in “Baltic Republics: Statement by the Acting Secretary of State, Mr. Welles,” The Department of State Bulletin, vol. 3, no. 57 (July 27, 1940): 48. Stimson doctrine refers to US policy that was enunciated in a note of January 1932 to Japan and China, declaring that the United States did not recognize territorial changes affected by force. 46. Alenius, “A Baltic Prelude,” 21. 47. According to Flannery, there were altogether 27 meetings with Umanskii, Christopher Flannery, “The Baltic Question and the Foundation of the ‘Grand Alliance’ 1940–1942” (PhD Thesis: Faculty of Claremont Graduate School, 1980), 38; William L. Langer and S. Everett Gleason, The Challenge to Isolation, 1937–1940 (London: Royal Institute of International Affairs, 1952), 639. 48. Henderson to Steinhardt (Moscow), December 13, 1940, quoted by Brands, Inside the Cold War, 97. 49. Alenius, “A Baltic Prelude,” 24. 50. Quoted in Flannery, “The Baltic Question,” 47. 51. Ibid., 42–5. 52. Memorandum of Conversation, by the Acting Secretary of State, July 27, 1940, FRUS (1940), III, 327–31; Flannery, “The Baltic Question,” 47; Memorandum of conversation between Umanskii, Welles, Henderson, etc., February 27, 1941, FRUS (1941), I, 703–12.

4 The “Fighting Alliance,” the Atlantic Charter, and the Baltic Question, 1941 1. Stalin to Churchill, July 18, 1941, Correspondence between the Chairman of the Council of Ministers of the USSR and the Presidents of the USA and the Prime Ministers of Great Britain during the Great Patriotic War of 1941–1945 (Moscow: Progress Publishers, 1977), I, 20. 2. Sergo Beria, Beria—My Father: Inside Stalin’s Kremlin (London: Duckworth, 2001), 62; Gabriel Gorodetsky, “The Hess Affair and Anglo–Soviet Relations on the Eve of ‘Barbarossa,’” The English Historical Review, 101

178

Notes

3.

4. 5.

6. 7.

8. 9. 10.

11.

12. 13. 14.

15.

16.

(1986): 403–20; Charles E. Bohlen, Witness to History, 1929–1969 (New York: W. W. Norton, 1973), 60. Cripps to Foreign Office, June 27, 1941, FO 371/29466, The National Archives, UK (hereafter TNA); Harry Hanak, “Sir Stafford Cripps as Ambassador in Moscow, June 1941–January 1942,” The English Historical Review, vol. 97, no. 383 (April 1982): 335. On German plans, Richard J. Evans, The Third Reich at War, 1939–1945 (London: Penguin, 2008), 160–66, 170–78. Rodric Braithwaite, Moscow 1941: A City and Its People at War (London: Profile Books, 2006), 65. Of course, the Wehrmacht was not fully motorized either, quite far from it. Only 33 divisions out of 130 were motorized, Adam Tooze, The Wages of Destruction: The Making and Breaking of the Nazi Economy (London: Penguin Books, 2007), 454. Andrew Nagorski, The Greatest Battle: Stalin, Hitler and the Desperate Struggle for Moscow (Riverside, NJ: Simon & Schuster, 2007). On Soviet strategy on the eve of the war, Roger R. Reese, The Soviet Military Experience: A History of the Soviet Army, 1917–1991 (London; New York: Routledge, 2000), 94. Constantine Pleshakov, Stalin’s Folly: The Secret History of the German Invasion of Russia, June 1941 (London: Cassell, 2006), 14. This was probably admitted by Lavrenti Beria, see Beria, My Father, 57–59. Nagorski, The Greatest Battle, 32–33, John Erickson, The Soviet High Command: A Military-Political History, 1918–1941 (London: Macmillan, 1962), 569–70; Nikolai Tolstoy, Stalin’s Secret War (London: Jonathan Cape, 1981), 115. Nagorski, The Greatest Battle, 309. On the “summer war” of 1941 in Estonia, Peeter Kaasik and Mika Raudvassar, “Estonia from June to October, 1941: Forest Brothers and Summer War,” in Toomas Hiio, Meelis Maripuu, and Indrek Paavle (eds.), Estonia, 1940–1945: Reports of the Estonian International Commission for the Investigation of Crimes against Humanity (Tallinn: Inimsusevastaste Kuritegude Uurimise Eesti Sihtasutus, 2006), 495–520. Olli Vehviläinen, Finland in the Second World War: Between Germany and Russia (Basingstoke: Palgrave Macmillan, 2002), 74–108. Markku Ruotsila, Churchill and Finland: A Study in Anticommunism and Geopolitics (New York: Routledge, 2005), 121. Kristo Nurmis, “Between Aspiration and Adaptation: German War Propaganda in Occupied Estonia from 1941 till 1942,” James S. Corum, Olaf Mertelsmann, and Kaarel Piirimäe (eds.), The Second World War and the Baltic States (Frankfurt am Main: Peter Lang, 2014), 225–29. The initial gratitude of the population toward the Germans waned by the end of 1941 and the potential to win the “hearts and minds” was wasted. The note of Consul Kaiv to the secretary of state, June 24, 1941, Eesti Rahvusarhiiv (Estonian National Archives, hereafter ERA) 1608–2–238, 31–3. Acting secretary of state to Consul Kaiv, July 14, 1941, ibid.

Notes

179

17. The memo of Kaarel Robert Pusta, January 14, 1941; Pusta to Torma, June 26, 1941, ERA 1583–2–20. Pusta recalled the withdrawal of the Russian army from Estonia in the winter of 1917–1918 as a possible precedent for demanding the withdrawal of the Red Army in 1941. 18. “Polish–Soviet Agreement,” July 30, 1941, Documents on Polish–Soviet Relations, 1939–1945 (London: Heinemann, 1961), I, 141–2. 19. Dew minute, August 2, 1941, FO 371/26755, TNA. 20. Warner minute, July 13, 1944, FO 371/43052, TNA. 21. Law minute, August 28, 1941, FO 371/29260, TNA. 22. Collier minute, April 22, 1941, FO 371/29465, TNA. 23. Cripps to Foreign Office, August 8, 1940, FO 371/24847, TNA; Cripps to Foreign Office, October 8, 1940, FO 371/24761, TNA. 24. Collier to Office of High Commissioner for Canada, September 23, 1940, cited by Tina Tamman, “Wartime Diplomacy in London: How Britain Came to Partially Recognize the Soviet Annexation of Estonia, Latvia and Lithuania,” in James S. Corum, Olaf Mertelsmann and Kaarel Piirimäe (eds.), The Second World War and the Baltic States (Frankfurt am Main: Peter Lang, 2014), 89. 25. Gabriel Gorodetsky, Stafford Cripps in Moscow, 1940–1942: Diaries and Papers (London; Portland, OR: Vallentine Mitchell, 2007), diary entries for September 15, October 10 and October 15, 1940. 26. John Harvey (ed.), The War Diaries of Oliver Harvey (London: Collins, 1978), 77; David Dutton, Anthony Eden: A Life and Reputation (London, New York: Arnold, 1997), 1−19; Elisabeth Barker, Churchill and Eden at War (London: Macmillan, 1978), 199, 226; David Carlton, Anthony Eden: A Biography (London: Allen Lane, 1981), 184–87. 27. Noted in Steven M. Miner, Between Churchill and Stalin: The Soviet Union, Great Britain, and the Origins of the Grand Alliance (Chapel Hill: University of North Carolina Press, 1988), 111. 28. Gorodetsky, Stafford Cripps in Moscow, 94; Anthony Eden, The Reckoning (London: Casell, 1965), 263. 29. Lampson (Cairo) to Foreign Office, March 28, 1941; Sargent minute, March 28, FO 371/29464; Cripps telegram, April 3, 1941; Cadogan minute, April 3, 1941, FO 371/29271; Foreign Office to Cripps, April 16, 1941, FO 371/29464, TNA. 30. Butler minute, March 29, 1941; Cadogan minute, April 10, 1941, ibid. 31. Foreign Office memorandum to Eden, April 2, 1941, FO 371/29271, TNA. 32. Sargent minute, April 9, 1941, FO 371/29464, TNA. 33. Eden to Cripps, April 16, 1941; Eden to Halifax, April 22, 1941, FO 371/29465, TNA. 34. Churchill minute, April 3, 1941, FO 371/29271; Churchill to Eden, April 22, 1941, FO 371/29465, TNA; The War Cabinet conclusions of April 21, 1941, Llewellyn Woodward, British Foreign Policy in the Second World War, vol. 1 (London: HMSO, 1970), 611. 35. “Basis for Rapprochement with the Soviet Union,” June 8, 1941, FO 371/29466, TNA.

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36. Collier minute, May 6, 1941, FO 371/29465, TNA. Collier had supported an alliance with the USSR in 1939, but was bitter over the Soviet aggression on Finland, Craig Gerrard, The Foreign Office and Finland, 1938–1940 (London: Frank Cass, 2005). Makins referred to the dispute over Vilnius as likely to cause complications with Poland, Makins minute, April 18, 1941, FO 371/29465, TNA. 37. Welles’s memorandum of conversation with Halifax, June 15, 1941, FRUS (1941), I, 760. 38. Ibid.; David Reynolds, The Creation of the Anglo–American Alliance 1937– 41: A Study in Competitive Co-operation (London: Europa, 1981), 257; Douglas Brinkley and David R. Facey-Crowther (eds.), The Atlantic Charter (Basingstoke: Macmillan, 1994). 39. Francis H. Hinsley, British Intelligence in the Second World War: Its Influence on Strategy and Operations, vol. 1 (London: HMSO, 1979), 453–9 40. David Carlton, Churchill and the Soviet Union (Manchester: Manchester University Press, 2000), 83–85; Churchill’s quote from June 21 is in John Colville, The Fringes of Power: Downing Street Diaries 1939–1955 (London: Phoenix Press, 2005), 350. 41. Prime Minister Winston Churchill’s broadcast on the Soviet-German war, June 22, 1941, http://www.ibiblio.org/pha/timeline/410622dwp.html (last accessed: February 3, 2014). 42. Warner minute, July 13, 1941, FO 371/29260, TNA. 43. Gabriel Gorodetsky, Stafford Cripps’ Mission to Moscow, 1940–42 (Cambridge: Cambridge University Press, 1984), 181–91, 193. 44. George F. Kennan, Memoirs, 1950–63 (London, 1973), 133–4. Kennan emphasized that Russia was more feared than Germany, 45. Memorandum of the division of European affairs, June 21, 1941; Henderson conversation with Umanskii, July 2, 1941; and Berle to the acting secretary of state, July 30, 1941, FRUS (1941), I, 766–7, 781–6, 798–9. 46. Kimball writes that Kennan’s approach would have been quite detrimental to the war effort against Nazi Germany, Warren F. Kimball, The Juggler: Franklin Roosevelt as Wartime Statesman (Princeton: Princeton University Press, 1994), 26; Yergin notes the German sympathies of Kennan, Daniel Yergin, Shattered Peace: The Origins of the Cold War and the National Security State (Boston: Houghton Mifflin, 1977), 40. In his book American Diplomacy, 1900–1950, Kennan would concede that extracting political concessions for lend-lease would probably have been impossible, cited in George C. Herring, Aid to Russia 1941–1946: Strategy, Diplomacy, the Origins of the Cold War (New York and London: Columbia University Press, 1973), xvi–xvii. 47. Mary E. Glantz, FDR and the Soviet Union: The President’s Battles over Foreign Policy (Lawrence: University Press of Kansas, 2005), 71. 48. On Davies, Keith David Eagles, Ambassador Joseph E. Davies and American– Soviet Relations, 1937–1941 (New York: Garland Pub., 1985); on Hopkins, Robert E. Sherwood, Roosevelt and Hopkins, an Intimate History (New York: Harper & Brothers, 1948).

Notes

181

49. Conferences at Kremlin between Harry Hopkins and Stalin, July 30–31, 1941, FRUS (1941), I, 802–14. 50. George C. Herring, Aid to Russia 1941–1946, 34–5; Glantz, FDR and the Soviet Union, 77. 51. Kimball, The Juggler, 21–41; Glantz, FDR and the Soviet Union, 75–80. 52. William L. Langer and S. E. Gleason, The Undeclared War, 1940–1941 (London: Royal Institute of International Affairs, 1953), 540. 53. Roosevelt’s conversation with Umanskii, September 11, 1941, in Langer, Gleason, The Undeclared War, 797, 817; Roosevelt’s explanation, Steven Merritt Miner, Stalin’s Holy War: Religion, Nationalism, and Alliance Politics, 1941–1945 (Chapel Hill, N.C.; London: The University of North Carolina Press, 2003), 224. 54. Kenneth J. Heineman, Catholic New Deal: Religion and Reform in Depression Pittsburgh (Pennsylvania: Pennsylvania State University Press, 1999), 197; on Congress reaction, Justus D. Doenecke and Mark A. Stoler, Debating Franklin D. Roosevelt’s Foreign Policies, 1933–1945 (Lanham: Rowman & Littlefield, 2005), 39. 55. Doenecke, “An Ambiguous Legacy,” 39. 56. Quoted in Kimball, The Juggler, 7. 57. On Wilson, Derek Heater, National Self-determination: Woodrow Wilson and His Legacy (Basingstoke: Macmillan, 1994), on Wilson’s impact on Europe, Victor S. Mamatey, The United States and East Central Europe: A Study in Wilsonian Diplomacy and Propaganda (Port Washington, NY: Kennikat Press, 1972); and the colonial world, Erez Manela, The Wilsonian Moment: Self-determination and the International Origins of Anticolonial Nationalism (Oxford, New York: Oxford University Press, 2007). 58. Quoted in John Lamberton Harper, American Visions of Europe: Franklin D. Roosevelt, George F. Kennan, and Dean G. Acheson (Cambridge: Cambridge University Press, 1996), 113; Warren F. Kimball, Forged in War: Churchill, Roosevelt and the Second World War (London: Harper Collins, 1997), 201. 59. Yergin, Shattered Peace, 44. 60. Harper, American Visions of Europe, 32. 61. Kimball, The Juggler, 187. 62. Welles’s memorandum of conversation with Halifax, June 15, 1941, FRUS (1941), I, 760. 63. Reynolds, The Creation of the Anglo–American Alliance, 257. 64. Ibid., 257. The Atlantic Charter from various perspectives, Douglas Brinkley and David R. Facey-Crowther (eds.), The Atlantic Charter (Basingstoke: Macmillan, 1994). 65. On the impact of the charter in the colonial world, Lloyd C. Gardner, “The Atlantic Charter: Idea and Reality, 1942–1945,” in Douglas Brinkley, David R. Facey-Crowther (eds.), The Atlantic Charter, 45–82; also Warren F. Kimball, “Churchill, the Americans and National Self-Determination,” in Douglas Brinkley, David R. Facey-Crowther (eds.), The Atlantic Charter, 83–114. 66. Mart Laar, September 1944: Otto Tiefi Valitsus (Tallinn: Varrak, 2007).

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67. Langer and Gleason, The Undeclared War, 557; Harley A. Notter, Postwar Foreign Policy Preparation, 1939–1945 (Washington, DC: Government Printing Office, 1949), 41. 68. Berle’s conversation with Kaiv, September 18, 1941; Welles’s conversation with Kaiv, November 25, 1941, ERA 1583–2–20. The Polish ambassador in Washington Jan Ciechanowski also enquired from Roosevelt and Welles whether the charter applied to the Baltic states and was assured that it did, Pages from the Diary of Kaarel Robert Pusta January 1–2, 1941, ERA 1583–2–20. 69. Sunday Times, August 31, 1941, quoted in Torma to Pusta, September 18, 1941, ERA 1583–2–20. 70. David Reynolds, “The Atlantic ‘Flop’: British Foreign Policy and the Churchill–Roosevelt Meeting of August 1941,” in Douglas Brinkley and David R. Facey-Crowther (eds.), The Atlantic Charter, 129–50.; Kimball, The Juggler, 127–57. Churchill’s statement in the House of Commons, September 9, 1941, Parliamentary Debates, 5th series, vol. 374, cols. 67–69. 71. Lloyd C. Gardner, “The Atlantic Charter: Idea and Reality, 1942–1945,” in Douglas Brinkley and David R. Facey-Crowther (eds.), The Atlantic Charter, 45–82. 72. Alec Nove, “Some Aspects of Soviet Legal Theory,” Modern Law Review, vol. 12, issue 1 (January 1949): 12–36. 73. Generalissimo Stalin, War Speeches: Orders of the Day and Answers to Foreign Correspondents during the Great Patriotic War, July 3rd, 1941–June 22nd, 1945 (London: Hutchinson, 1947), 7–12. 74. Detlef Brandes, Grossbritannien und seine Osteuropäischen Alliierten 1939– 1943: Die Regierungen Polens, der Tschechoslowakei und Jugoslaviens im Londoner Exil vom Kriegsausbruch bis zur Konferenz von Teheran (München: R. Oldenbourg Verlag, 1988), 226–8; Woodward, British Foreign Policy, vol. 2, 206–10.

5 The British-Soviet Treaty, 1942 1. F. H. Hinsley, British Intelligence in the Second World War (London: HMSO, 1979–90), vol. 1, 481; vol. 2, 67–75. 2. Winston S. Churchill, The Second Word War: Their Finest Hour (London: Cassell, 1949), 352; David Reynolds, In Command of History: Churchill Fighting and Writing the Second World War (London: Penguin, 2005), 253; Harry Hanak, “Sir Stafford Cripps as Ambassador in Moscow, June 1941–January 1942,” The English Historical Review, vol. 97., no. 383 (April 1982): 332–44; Dew memo, November 3, 1941, FO 371/29464, The National Archives (hereafter TNA). 3. Gabriel Gorodetsky, Stafford Cripps’ Mission to Moscow, 1940–42 (Cambridge: Cambridge University Press, 1984), 207; Times, February 10, 1942. 4. Gorodetsky, Stafford Cripps’ Mission, 187.

Notes

183

5. Anthony Eden Diary, November 14, 1941, AP20/1/20, Avon Papers, University of Birmingham Library, UK. 6. Stalin to Churchill, November 8, 1941, Stalin’s Correspondence with Churchill, Attlee, Roosevelt and Truman, 1941–45 (London: Lawrence & Wishart, 1958), 33–4. 7. Sargent, Warner, and Dew on Stalin’s letter, FO 371/29471, TNA. 8. Cripps to secretary of state, November 12, 1941, ibid. 9. John Harvey (ed.), The War Diaries of Oliver Harvey (London: Collins, 1978), 66. David Hall, however, suggests that the watered down version of the “Volga Charter” is contained in the “Draft Joint Declaration” that was prepared for negotiations with the Soviets, to be found in Annex II of Eden’s memorandum to the War Cabinet, November 29, 1941, David Hall, “The Changing Course of British Foreign Policy: Eden’s Visit to Moscow December 1941”, Unpublished Conference Presentation. 10. Dew minute, November 17, 1941, FO 371/29471, TNA. 11. “Forthcoming Discussions with the Soviet Government,” November 29, 1941, CAB 66/20, WP(41)288, TNA; Hull to Winant, January 5, 1941, FRUS (1941), I, 194–5. 12. Warner minute, November 23, 1941, FO 371/29472, TNA. Eden told Churchill, Attlee and Beaverbrook that he was reluctant to go, unless the political ground was prepared, Anthony Eden, The Reckoning (London: Casell, 1965), 283. 13. Martin Folly, Churchill, Whitehall and the Soviet Union, 1940–45 (New York: St Martin’s Press, 2000), 37. Similar view in Gordievsky, Cripps’ Mission, 282. 14. The meeting of Stalin and Molotov with Eden, RGASPI, f. 82, op. 2, d. 1140, p. 184. 15. On the importance of the period 1939–1941 for Soviet foreign policy, see Vojtech Mastny, Russia’s Road to Cold War; Diplomacy, Warfare, and the Politics of Communism, 1941–1945 (New York, Guildford: Columbia University Press, 1979), 34–5, 307–8; also Alfred Rieber, “Stalin as Foreign Policy-Maker: Avoiding War, 1927–1953,” in Sarah Davies, James Harris (eds.), Stalin: A New History (Cambridge: Cambridge University Press, 2005), 140–58. 16. The Soviet records of the Moscow conferences are published in Oleg A. Rzheshevsky, War and Diplomacy: The Making of a Grand Alliance: Documents from Stalin’s Archives (Amsterdam: Harwood Academic Publishers, 1996); The British record can be found in “Mr. Eden’s visit to Moscow,” WP (42)8, January 5, 1942, PREM 3/394/3, Churchill Archives Center, UK (hereafter CAC). 17. Eden recommended the establishment of British bases on the continent later in January, see “Policy towards Russia,” January 28, 1942, WP(42)48, FO 371/32875, TNA. On the demise of the bases plan, see Julian Lewis, Changing Direction: British Military Planning for Post-War Strategic Defence, 1942–1947 (London; Portland, OR: Frank Cass, 2003), 24–30. 18. Rzheshevsky, War and Diplomacy, 13, 16, 30, 32, 29.

184

Notes

19. Rzheshevsky, War and Diplomacy, 59. David Carlton writes that Eden decided to overstep the “spirit of his instructions,” Carlton, Anthony Eden, 187. Eden’s meeting with Stalin in December 1941 seems to underline Eden’s weaknesses as a negotiator, something that would become apparent again in October 1943 during the foreign ministers’ conference in Moscow. 20. It has been omitted, for example, in Graham Ross, The Foreign Office and the Kremlin: British Documents on Anglo–Soviet Relations: 1941–1945 (Cambridge; New York: Cambridge University Press, 1984). 21. “Policy towards Russia,” January 28, 1942, WP(42)48, FO 371/32875, TNA. 22. Peter Clarke, The Cripps Version: The Life of Sir Stafford Cripps (London: Allen Lane, 2002), 240. 23. On the British perception of Soviet sensibilities, Folly, Churchill, Whitehall and the Soviet Union, 89–93; Martin Kitchen, British Policy towards the Soviet Union during the Second World War (Basingstoke: Macmillan, 1986), 114. 24. Elisabeth Barker, Churchill and Eden at War (London: Macmillan, 1978), 233. 25. Charles Moran, Churchill: Taken from the Diaries of Lord Moran: The Struggle for Survival, 1940–1965 (Dunwoody, GA: N.S. Berg, 1976), 9. 26. Churchill to the Lord Privy Seal, December 20, 1941, PREM 3/399/6, CAC. Churchill sensed that Eden was keen to have tangible results in Moscow and thus consoled the foreign secretary that Eden “should not be downhearted if he has to leave Moscow without any flourish of trumpets.” 27. Churchill to Curtis, December 27, 1941, PREM 3/399/6, CAC. 28. Eden to Churchill, January 5, 1942, PREM 3/399/7, CAC. 29. Churchill to Eden, January 8, 1942, PREM 3/399/6, CAC. 30. Ibid. 31. Ibid. 32. Ibid. 33. Markku Ruotsila, Churchill and Finland: A Study in Anticommunism and Geopolitics (New York: Routledge, 2005), 126. 34. On Churchill’s anxieties after the fall of Singapore, Martin Gilbert, Churchill: A Life (London: Minerva, 1991), 717–20. 35. The War Diaries of Oliver Harvey, 94. Harvey urged Eden to be prepared to takeover. 36. Ibid., 104 37. “War Cabinet: Policy towards Russia; Memorandum by the Secretary of State,” January 28, 1942, WP (42) 48, FO 371/32875, TNA. 38. Ibid. 39. On the neglect of intelligence in foreign policy-making, Christopher M. Andrew and David Dilks, “Introduction,” in Christopher M. Andrew and David Dilks (eds.), The Missing Dimension: Governments and Intelligence Communities in the Twentieth Century (Urbana: University of Illinois Press, 1984), 1–16. 40. Lev F. Sotskov (ed.), Pribaltika i Geopolitika. 1935–1945 gg. Rasskrechennyi Dokumenty Sluzhby Vneshneii Rasvedki Rossiiskoii Federatsii (Moskva: Ripol Klassik, 2010), 164–75.

Notes

185

41. Rieber, “Stalin as Foreign Policy-Maker.” 42. Steven M. Miner, Between Churchill and Stalin: The Soviet Union, Great Britain, and the Origins of the Grand Alliance (Chapel Hill: University of North Carolina Press, 1988), 257. 43. Note of a conversation between General Sikorski and Stalin during dinner at Kremlin, December 4, 1941, Documents on Polish–Soviet Relations, 1939–1945 (London: Heinemann, 1961), 244–6; Mastny, Russia’s Road to Cold War, 72. 44. Albert Resis (ed.), Molotov Remembers: Inside Kremlin Politics: Conversations with Felix Chuev (Chicago: Ivan R. Dee, Inc., 1993), 45. 45. Resis, Molotov Remembers, 50; Beria, My Father, 124. 46. Sotskov, Pribaltika i Geopolitika. 47. On Hankey, see Christopher Andrew, Oleg Gordievsky, KGB: The Inside Story of its Foreign Operations from Lenin to Gorbachev (London: Hodder & Stroughton, 1990), 210–11; on Wilson, Sotskov, Pribaltika i Geopolitika, 186–87. 48. Ibid., 164–75. 49. Ibid. Possible Soviet demands also included access to the Persian Gulf and access to the Atlantic involving cession of Norwegian and Finnish territory. 50. “It’s curious that A[nthony], of all people, should have hopes of appeasement!!” Diary entry for May 3, 1942, David Dilks (ed.), The Diaries of Sir Alexander Cadogan (London: Cassell, 1971), 449. 51. Ibid., 427; Torma to Kaiv, January 4, 1942, Eesti Rahvusarhiiv (Estonian National Archives, hereafter ERA) 1583–2–20; Kaiv to Pusta, January 22, 1942, ERA 1608–1–215. 52. The Diaries of Sir Alexander Cadogan, 427. On Torma’s links with intelligence services, Tina Tamman, The Last Ambassador: August Torma, Soldier, Diplomat, Spy (Amsterdam; New York: Rodopi, 2011), 171. 53. Geoffrey Swain, “’The Highest Flights of Circumlocutory Art’: Britain, Latvia and Recognizing the Soviet Annexation of 1940,” Journal of Baltic Studies, vol. 43, no. 3 (2012): 345–62, 347. 54. Laretei to Torma, September 10, 1941, ERA 1583–2–20. 55. Rei to Torma, September 16, 1941, ibid. 56. Torma to Rei (Moora), October 13, 1941, ibid. 57. Torma to Kaiv, October 21, 1941, ibid. 58. Torma to Pusta, October 29, 1941, ibid. 59. Pusta to Torma, October 7, 1941 (received on October 29), ibid. 60. Pusta to Piip, copy to Torma, October 24, 1941, ibid. Because Piip had been arrested and deported in June 1941, he never received Pusta’s letter. 61. Torma to Pusta, January 5, 1942, ibid. 62. Ibid. 63. Torma to Kaiv, January 4, 1942, ibid. 64. Torma to Pusta, January 5, 1942, ibid. 65. Sikorski’s conversation with Eden, January 19, 1942, FO 954/19, TNA. 66. Edward Raczynski, In Allied London (London: Weidenfeld & Nicolson, 1962), 110.

186

Notes

67. Eden’s conversation with the Polish ambassador, January 26, 1942, FO 954/19B, TNA. 68. Sikorski to Eden, March 3, 1942, ibid.; Welles’ conversation with Raczynski, February 19, 1942, FRUS (1942), III, 106. On April 10 Count Raczynski told Eden that the “Polish Government regarded the future of the Baltic states and of Bukovina as virtually as important as the future of Poland itself,” Eden to Dormer, April 10, 1942, FO 954/19B, TNA; Welles’ conversation with Raczynski, February 19, 1942, FRUS (1942), III, 106. 69. Raczynski, In Allied London, 107; Anita J. Prażmowska, Britain and Poland, 1939–1943: The Betrayed Ally (Cambridge: Cambridge University Press, 1995), 123. 70. Kaarel Robert Pusta argued in Washington that “America and England should, in order to secure a future peace, invent something new in place of bargaining away small states to the one or the other conqueror,” Pages from the Diary of Kaarel Robert Pusta, January 2, 1942, ERA 1583–2–21. 71. Pusta to Kaiv, January 23, 1942, ibid.; Rzheshevsky, War and Diplomacy, 11–13. 72. On Berle’s conversation with Alfred Bilmanis, the Latvian Minister, Pusta to Kaiv, January 26, 1942, ERA 1583–2–21. 73. Raczynski, In Allied London, 109. 74. Pages from the Diary of Kaarel Robert Pusta, March 27, 1942, ERA 1583–2–21. 75. Welles memorandum, March 25, 1942, FRUS (1942), III, 123–33; Prażmowska, Britain and Poland, 123. 76. Pages from the Diary of Kaarel Robert Pusta, March 27, 1942, ERA 1583–2–21. 77. Prażmowska, Britain and Poland, 123–4. 78. Miner, Between Churchill and Stalin, 232. 79. Halifax to Foreign Office, February 20, 1942, CAB 66/24, TNA. The Adolf A. Berle Diary, 1937–1971 [microfilm at Cambridge University Library] (Hyde Park, NY: Franklin D. Roosevelt Library, 1978), March 12, 1942; John Lamberton Harper, American Visions of Europe: Franklin D. Roosevelt, George F. Kennan, and Dean G. Acheson (Cambridge: Cambridge University Press, 1996), 84. 80. Beatrice Bishop Berle and Travis Beal Jacobs (eds.), Navigating the Rapids, 1918–1971: From the Papers of Adolf A. Berle (New York: Harcourt Brace Jovanovich, 1973), April 30, 1942. 81. Cited in Harper, American Visions of Europe, 81. 82. Litvinov to Molotov, March 12, 1942, G. P Kynin and Jochen Laufer (eds.), 1941–1949: SSSR i Germanskii Vopros: Dokumenty iz Archiva Vneshnei Politiki Rossiiskoi Federatsii (Moscow: Nauka, 1996), 149–151; also in G. A. Arbatov (ed.), Sovetsko–Amerikanskie Otnosheniia vo Vremia Velikoi Otechestvennoi Voiny 1941–1945: Dokumenty i Materialy, vols. 1–2 (Moskva: Politizdat, 1984), 155–7. The meeting is also mentioned in Maiskii’s diary, Aleksandr O. Chubarian (ed.), Dnevnik Diplomata, London, 1934–1943: Ivan Mikhailovich Maiskii: Kniga 2, Chast 2 (Moskva: Nauka, 2009), 105–6.

Notes

83.

84. 85.

86.

87. 88. 89. 90. 91.

92.

93. 94.

187

Roosevelt’s conversation with Litvinov was first introduced in English language by Hugh Phillips, “Mission to America: Maksim Litvinov and the United States, 1941–43,” Diplomatic History, vol. 12, no 3 (1988): 261–75, but it has failed to make much of an impact on historiography. Roosevelt also told Molotov that he had no serious objections to the Anglo-Soviet Treaty, when the latter was visiting Washington later in May, Memorandum of conversation between Molotov, Roosevelt and Hopkins, May 29, 1942, FRUS (1942), III, 569. Moscow’s reply to Roosevelt, delivered by Litvinov, has not been found in the archives, see FRUS (1942), III, 539, footnote 75; Eden to Kerr, March 17 and March 23, 1942, FO 954/25A, TNA. W.M. (42) 37th conclusions, March 25, 1942, CAB 65/26; Eden to Halifax, March 26, 1942, CAB 66/24, TNA. On the origins of the idea of resettlement, meeting of the subcommittee on political problems, March 14, 1942, Advisory Committee on Postwar Policy, Harley Notter files, Box 54, RG 59, US National Archives (hereafter NA); Memorandum of conversation between Welles and Halifax, April 1, 1942, FRUS (1942), III, 538–9; Beatrice Bishop Berle and Travis Beal Jacobs (eds.), Navigating the Rapids, June 20, 1942. Berle’s memorandum, April 3, 1942, FRUS (1941), III, 539–41; Welles’ reply to Berle, April 4, 1942, FRUS (1941), III, 541–2. At an early stage Berle had a very good grasp of the dilemmas facing the United States in relations with the Soviet Union. In December 1941 he thought the “crucial question” was how to reconcile Soviet influence over East–Central Europe with a “stabilizing measure of self-determination,” Berle and Jacobs, Navigating the Rapids, 401. Quoted by Brands, Inside the Cold War, 103. Henderson to Harper, quoted by Brands, Inside the Cold War, 104. Ibid., 110–11. Draft treaty, Eden to Kerr, April 13, 1942, FO 954/25, TNA. Agreement of Mutual Assistance between the United Kingdom and Poland, August 25, 1939, http://katyn.org.au/anglopol.html (last accessed: January 11, 2014); Polish interest in the future independence of Lithuania,” 1942, FO 371/31090, TNA. Churchill’s coalition government was going through a major crisis in early 1942, particularly after the loss of Singapore in February. Cripps challenged Churchill openly. In order to ward off Cripps challenge, Churchill invited him to the War Cabinet. This and other changes in the cabinet had the result that Churchill did not always get his way on Soviet policies. His acceptance of Eden’s Soviet plans, which he opposed for a long time, should be attributed to the weakening of his position in the cabinet, Kevin Jefferys, The Churchill Coalition and Wartime Politics, 1940–1945 (Manchester: Manchester University Press, 1991), 94–5. Robert Rhodes James, Victor Cazalet: A Portrait (London: Hamish Hamilton, 1976), 283. Eden’s conversation with Raczynski, Eden to Dormer, April 10, 1942, FO 954/19B, TNA.

188

Notes

95. To make matters worse, Moscow repeated the proposal for a secret spheres of influence deal, to which the British definitely objected, Eden to Kerr, May 1, 1942, FO 954/25, TNA; The War Diaries of Oliver Harvey, April 22, 1942. 96. War Cabinet minutes, April 4, 1942, CAB 65/30, TNA. Eden was willing to omit Roosevelt’s provision about the Baltic peoples’ right to emigrate, but was overruled by the War Cabinet, Eden memorandum, May 6, 1942, WP(42) 193 CAB 66/24, TNA. Only Cripps wanted the treaty at any cost, The Diaries of Sir Alexander Cadogan, 450. When Maiskii pressured Eden to give up supporting the Poles, Eden replied that “it was despairing to negotiate with the Soviet Government when they invariably raised their price at every meeting,” Eden to Kerr, May 7, 1942, FO 954/25, TNA. 97. Sotskov, Pribaltika i Geopolitika, 167–68. 98. Molotov came on British request, Eden memorandum, WP (42) 144, CAB 66/23, TNA. Initially Moscow declined the invitation but then agreed on April 22, Eden memorandum, April 13; Stalin to Churchill, April 22, 1942, FO 954/25A, TNA. About the delay of Molotov’s visit, diary entry for April 25, 1942, The War Diaries of Oliver Harvey, 119. 99. David Glantz and Jonathan House, When Titans Clashed: How the Red Army Stopped Hitler (Lawrence, Kan.: University Press of Kansas, 1995), 108–25. 100. Miner, Between Churchill and Stalin, 259. 101. Molotov revealingly remembered that during this period they had to press as hard as possible on everything, Resis, Molotov Remembers, 46–48. 102. He declared that Moscow could only sign an agreement on terms which he described as the Soviet “minimum condition”—that is the 1941 frontiers, records of meeting with Molotov, May 21, 1942, WP (42) 220 CAB 66/24, TNA; for British reactions, see The Diaries of Sir Alexander Cadogan, 453. 103. Rzheshevsky, War and Diplomacy, 73. 104. The Diaries of Sir Alexander Cadogan, May 5, 1942. 105. W. M. (42) 66th conclusions, May 25, 1942, CAB 65/26, TNA. 106. Molotov to Stalin, May 23, 1942, and Stalin to Molotov, May 24, 1941, in Rzheshevsky, War and Diplomacy, 120–22. 107. Sergei Kudryashov, “Diplomatic Prelude: Stalin, the Allies and Poland,” in A. Kemp-Welch (ed.), Stalinism in Poland, 1944–1956 (London, New York, 1999), 25–40. 108. Miner, Between Churchill and Stalin, 259. 109. In 1975 he would say that this was “necessary,” but it is not certain that he actually understood or agreed with Stalin’s decision, Resis, Molotov Remembers, 48. 110. On December 1, 1941 Moscow had declared that the population of the former Polish eastern provinces had become Soviet citizens, Documents on Polish–Soviet Relations, 1939–1945, I, 227. 111. Sotskov, Pribaltika i Geopolitika, 169. 112. Stalin’s conversation with K. Georgiev, P. Stainov and others, January 7, 1946, in T. V. Volokitina (eds.) Vostochnaia Evropa v Dokumentakh Rossiiskikh

Notes

113.

114. 115.

116. 117.

118. 119. 120. 121.

122. 123. 124.

125.

189

Arkhivov: 1944–1953gg, tom. 1 (Moscow, Novosibirsk: Sibirskii Khronograf, 1997), 360. John Lewis Gaddis, The United States and the Origins of the Cold War, 1941– 1947 (New York: Columbia University Press, 2000), 16; Warren F. Kimball, Forged in War: Churchill, Roosevelt and the Second World War (London: Harper Collins, 1997), 141. This hypothesis is largely based on the notes of Harry Hopkins as published by Robert E. Sherwood, Roosevelt and Hopkins: An Intimate History (New York: Harper & Brothers, 1948), 526. Resis, Molotov Remembers, 45. Arieh J. Kochavi, “Britain, the Soviet Union and the Question of the Baltic States in 1943,” Journal of Baltic Studies, vol. 22, no. 2 (1991): 173–82; Maris A. Mantenieks, “FDR and the Baltic States,” in Thomas C. Howard and William D. Pederson (eds.), Franklin D. Roosevelt and the Formation of the Modern World, (Armonk, NY: M. E. Sharpe, 2003), 114. Note of Orme Sargent, December 31, 1943, FO 371/36992, TNA. Warma to Klesment, August 3, 1942, Mart Orav and Enn Nõu (eds.), Tõotan Ustavaks Jääda . . . Eesti Vabariigi Valitsus 1940–1992 (Tartu: Eesti Kirjanduse Selts, 2004), 529–35. Dunbar to Torma, August 6, 1942, ERA 1583–2–21. Foreign Office minute, June 5, 1942; War Cabinet decision of June 27, 1942, FO 371/32735, TNA. “Mälestusi III, Eesti ja Euroopa Eest (katkendid masinakirjas),” August 12, 1942, ERA 1622–2–6, p. 35. Cordell Hull, The Memoirs of Cordell Hull (London: Hodder & Stoughton, 1948), 1170–4. This interpretation has been taken over among others by Miner, Between Churchill and Stalin; Detlef Brandes, Grossbritannien und seine Osteuropäischen Alliierten 1939–1943: Die Regierungen Polens, der Tschechoslowakei und Jugoslawiens im Londoner Exil vom Kriegsausbruch bis zur Konferenz von Teheran (München: R. Oldenbourg Verlag, 1988), 267–82; Gaddis, The United States and the Origins, 15–16; Kimball, Forged in War, 137– 42; Dennis J. Dunn, Caught between Roosevelt & Stalin: America’s Ambassadors to Moscow (Lexington: University Press of Kentucky, 1998), 158–67. Mantenieks, “FDR and the Baltic States,” 94, 114. In this change, he writes, the Baltic states played a significant part. Ibid., 109; Eden, The Reckoning, 376. Opposition of the religious circles, but especially of the powerfully organized Catholic Church, was considered “one of the most serious obstacles” in American-Russian relations, “American Attitudes to Russia,” survey prepared by A. R. K. MacKenzie of the British Information Services in May 1943, FO 371/37005, TNA. On the Catholic Church in the US from different angles, see also David B. Woolner and Richard G. Kurial (eds.), FDR, the Vatican and the Roman Catholic Church in America, 1933–1945 (New York: Palgrave Macmillan, 2003). Warren F. Kimball, Churchill & Roosevelt: The Complete Correspondence, vol. 1 (Princeton, N.J.: Princeton University Press, 1984), 421.

190

Notes

126. Dnevnik Diplomata, Ivan Maiskii, 93–4. 127. Walter LaFeber, “FDR’s Worldviews, 1941–1945,” in David B. Woolner, Warren F. Kimball and David Reynolds (eds.), FDR’s World: War, Peace, and Legacies (New York: Palgrave Macmillan, 2008), 219. 128. FRUS 1942, III, 514. 129. Warren Kimball notes Roosevelt’s hostility toward keeping historical records of government proceedings, Warren F. Kimball, The Juggler: Franklin Roosevelt as Wartime Statesman (Princeton: Princeton University Press, 1994), 203. 130. Mantenieks, “FDR and the Baltic States,” 109. 131. Orme Sargent note, September 18, 1943, FO 371/37028, TNA.

6 Postwar Planning, the Question of Self-Determination, and Small States 1. Harley A. Notter, Postwar Foreign Policy Preparation, 1939–1945 (Washington, DC: Government Printing Office, 1949); Sumner Welles, “Two Roosevelt Decisions: One Debit, One Credit,” Foreign Affairs, vol. 29, no. 2 (January 1950): 182–204; Christopher D. O’Sullivan, Sumner Welles, Postwar Planning, and the Quest for a New World Order, 1937–1943 (New York: Chichester, 2003), http://www.gutenberg-e.org/osc01/main.html (last accessed: February 19, 2014); Oral History Interview with Durward V. Sandifer, March 15 and May 29, 1973, http://www.trumanlibrary.org/oralhist /sandifer.htm (last accessed: February 4, 2014); Benjamin Welles, Sumner Welles: FDR’s Global Strategist: A Biography (Basingstoke Macmillan, 1997); Sumner Welles, Seven Major Decisions (London: Hamish Hamilton, 1951). 2. M. A. Hamilton, “Opinion in the United States on Post-War Problems,” paper presented to the Chatham House on July 7, 1943, RIIA/8/954, Records of Royal Institute of International Affairs, Chatham House Archive, London. 3. The War and Peace Studies of the Council on Foreign Relations, 1939–1945 (New York: The Harold Pratt House, 1946), 2–3. 4. Bowman to Armstrong, December 15, 1941, Hamilton Fish Armstrong papers, Box 74, Mudd Manuscript Library, Princeton University. 5. Sumner Welles, Two Roosevelt Decisions, 187. 6. On Wilson’s influence in Europe, Margaret MacMillan, Peacemakers: Six Months that Changed the World (London: Longman, 2002), 23; Victor S. Mamatey, The United States and East Central Europe: A Study in Wilsonian Diplomacy and Propaganda (Port Washington, NY: Kennikat Press, 1972); and the colonial world, Erez Manela, The Wilsonian Moment: Selfdetermination and the International Origins of Anticolonial Nationalism (Oxford, NY: Oxford University Press, 2007). 7. O’Sullivan, Sumner Welles, Chapter 4. 8. Political Subcommittee minutes, March 12, 1942, Harley Notter files, Box 55, RG 59, US National Archives (hereafter NA).

Notes

191

9. President Roosevelt Fireside Chat, February 23, 1942, http://www.presidency .ucsb.edu/ws/index.php?pid=16224&st=self-determination&st1 (last accessed: February 4, 2014). 10. Political Subcommittee minutes, March 14, 1942, Harley Notter files, Box 55, RG 59, NA. 11. Political Subcommittee minutes, May 30, 1942, Harley Notter files, Box 55, RG 59, NA. 12. Ibid. 13. Ibid. 14. Political subcommittee minutes, November 28, 1942, Harley Notter files, Box 55, RG 59, NA. 15. Anu-Mai Kõll and Jaak Valge, Economic Nationalism and Industrial Growth. State and Industry in Estonia 1934–39 (Stockholm: Stockholm University, 1998). 16. Political subcommittee minutes, November 28, 1942, Harley Notter files, Box 55, RG 59, NA. 17. Political subcommittee, summary of views on territorial problems: the Soviet Union’s western frontier, March 1942–July 1943, Harley Notter files, Box 54, RG 59, NA. Adolf Berle had by November 1942 abandoned any hope of saving the Baltic states from “Russian imperialism,” the only chance being that the Russians themselves changed their mind, The Adolf A. Berle Diary, 1937–1971 [microfilm at Cambridge University Library] (Hyde Park, NY: Franklin D. Roosevelt Library, 1978), November 28, 1942. 18. Charles Bohlen pointed out in the security-technical commission in January 1943 that although the upper classes had been transferred to Siberia, if a free plebiscite were held, the Baltic “populations would probably vote for independence because of their sentiment of national cohesion,” minutes of the security-technical subcommittee, January 20, 1943, Harley Notter files, Box 78; later a committee also concluded that the Baltic countries might find it to their economic advantage to revert to independence, H-19, Soviet Union: Baltic states, June 15, 1943, Harley Notter files, Box 152, RG 59, NA. 19. O’Sullivan, Sumner Welles, 70. 20. The survey had been prepared by the “military sub-committee at Richmond Terrace”, FO 371/35422, The National Archives, UK (hereafter TNA). 21. Robert H. Keyserlingk, “Arnold Toynbee’s Foreign Research and Press Service, 1939–43 and its Post-War Plans for South-East Europe,” Journal of Contemporary History, vol. 21, no 4 (October 1986): 539–58. 22. The report was dated January 10, 1941, quoted in Keyserlingk, “Arnold Toynbee’s Foreign Research and Press Service,” 549. 23. Ibid. 24. The FRPS’s report on Austria, October 2, 1941, cited by Keyserlingk, “Arnold Toynbee’s Foreign Research and Press Service,” 550. 25. Robert H. Keyserlingk, Austria in World War II: An Anglo-American Dilemma (Kingston: McGill-Queen’s University Press, 1988), 98. 26. Hugh Seton-Watson, Eastern Europe between the Wars 1918–1941 (Cambridge: Cambridge University Press, 1945), 411.

192

Notes

27. The reference to the Estonian interwar experience of cultural autonomy, Mabbot, “Confederations in Eastern Europe,” September 1, 1942, FO 371/31500, TNA. 28. Arnold Toynbee’s notes on June 29, 1942, ibid. 29. The Times regarded it as shortsighted that they had ignored the overwhelming necessity to make Russia the arbiter of the affairs of East-Central Europe, Piotr Stefan Wandycz, Czechoslovak–Polish Confederation and the Great Powers: 1940–43 (Bloomington: Indiana University, 1956), 44. 30. Detlef Brandes, Grossbritannien und seine Osteuropäischen Alliierten 1939– 1943: Die Regierungen Polens, der Tschechoslowakei und Jugoslaviens im Londoner Exil vom Kriegsausbruch bis zur Konferenz von Teheran (München: R. Oldenbourg Verlag, 1988), 74. 31. The securing of Soviet goodwill was deemed essential in the instructions that Orme Sargent had given to the FRPS, see the memorandum by J. D. Mabbot, “Confederations in Eastern Europe,” September 1, 1942, FO 371/31500, TNA. 32. Ibid. 33. George W. Keeton and Rudolf Schlesinger, Russia and Her Western Neighbours (London: Jonathan Cape, 1942), 143; also Rudolf Schlesinger, Federalism in Central and Eastern Europe (London: Kegan Paul, Trench, Trubner, 1945). 34. Wilson minute, probably February 7, 1943, FO 371/35261, TNA. 35. “Autobiographical Sketch,” Papers of E. H. Carr, University of Birmingham Information Services, Special Collections Department; John Hallett, “Nationalism, the World’s Bane,” Fortnightly Review, 133 (new series), January–June 1933; Jonathan Haslam, Vices of Integrity: A Biography of E. H. Carr (London: Verso, 1999), 46–8; Charles A. Jones, E. H. Carr and International Relations: A Duty to Lie (Cambridge: Cambridge University Press, 1998), 23, 85–7. 36. “Russian on the Baltic,” Times, July 25, 1940. 37. Ibid. 38. Ibid. 39. E. H. Carr, Conditions of Peace (London: Macmillan 1942). 40. Ibid., 48. 41. Quoted in J. A. R. Marriott, Federalism and the Problem of the Small State (London: G. Allen & Unwin, 1943), 10. 42. Carr, Conditions of Peace, 58, 53. 43. Ibid., 54. 44. Marriott, Federalism, 24. 45. Robert Dallek, Franklin D. Roosevelt and American Foreign Policy, 1932– 1945: With a New Afterword (Oxford: Oxford University Press, 1995), 373. 46. Forrest Davies, “Roosevelt’s World Blueprint,” Saturday Evening Post, April 10, 1943. 47. John Lewis Gaddis, We Now Know: Rethinking Cold War History (Oxford: Oxford University Press, 1997), 198; Wilson D. Miscamble, “Franklin Roosevelt’s [Partially] Flawed Paradigm: Postwar Planning during World

Notes

48. 49.

50.

51.

52.

53.

54.

193

War II,” February 26–28, 2009, http://www.sanford.duke.edu/centers/tiss /documents/MiscambleConf.Final.Draft.pdf (retrieved on November 22, 2010). Forrest Davies, “Roosevelt’s World Blueprint,” The Saturday Evening Post, April 10, 1943. Jebb agreed with the president’s preference of freedom from fear (meaning international security) over the freedom from want (economic security). He saw no harm in recommending the pan-American system to the rest of the world, and endorsed Roosevelt’s wish to use plebiscites as a ratifying measure for postwar frontier changes, for example in Eastern Poland, the Baltic states and Bessarabia. Organizing real plebiscites was, however, an entirely different matter, according to Jebb. Gladwyn Jebb minute, May 1, 1943, FO 371/31500, TNA. British Foreign Office officials commented that this paper was more realistic than the average American exposés. Wolfers’ paper “The small powers and the enforcement of peace” with Foreign Office comments can be found in FO 371/35397, TNA. President Roosevelt had encouraged listeners of his famous “fire side chats” on the radio to follow his discussions of the war on a map. The public sales of maps exploded, Neil Smith, American Empire: Roosevelt’s Geographer and the Prelude to Globalization (Berkeley: University of California Press, 2003), 273–92. On the rise of the realist school in international relations studies during the war, Jonathan Haslam, No Virtue Like Necessity: Realist Thought in International Relations since Machiavelli (New Haven, Conn; London: Yale University Press, 2002), 178–81. Allardyce Nicol was a professor of drama at Yale University, his report “American Opinion on War Aims and Post-War Problems,” December 15–31, can be found in FO 371/35363, TNA. Spykman’s speech to Association of American Geographers and the American Political Science Association, December 31, 1941, published later as Nicolas Spykman, “Frontiers, Security, and International Organization,” Geographical Review, vol. 32, no. 3 (July 1942): 436–47. Quoted in Patrick J. Hearden, Architects of Globalism: Building a New World Order during World War II (Fayetteville: University of Arkansas Press, 2002), 74.

7 The “Big Russian International Game” and the Allied Conferences in Moscow and Teheran, 1943 1. Pravda, February 8, 1943. 2. “Soviet Pronouncements on Foreign Policy,” November 20, 1944, Foreign Office Research Department, FO 371/36992, The National Archives, UK (hereafter TNA). 3. Pravda, February 8, 1943; New York Times, February 10, 1943.

194

Notes

4. Anne McCormick, New York Times, April 7, 1943. 5. Pravda, February 8, 1943. On April 30, 1943, Litvinov told an American journalist that the 1941 borders were “not discussable.” 6. Wladislaw Hedeler and Nadja Rosenblum, 1940, Stalins Glückliches Jahr (Berlin: BasisDruck, 2001); Alexander Werth, Russia at War, 1941–45 (London: Barrie & Rockliff, 1964), 759. “Turning point” is also the title of the excellent book—Keith Sainsbury, The Turning Point: Roosevelt, Stalin, Churchill, and Chiang-Kai-Shek, 1943: The Moscow, Cairo and Teheran Conferences (Oxford: Oxford University Press, 1985). 7. Francis H. Hinsley, British Intelligence in the Second World War: Its Influence on Strategy and Operations, vol. 2 (London: HMSO, 1979–90), 615. In December the British Joint Intelligence Committee had guessed that Hitler might seek peace with Russia and Stalin might welcome this if the Russian advance had not matched his hopes. 8. Werth, Russia at War, 687. Werth thought Kursk was the military turning point. 9. According to Werth, in 1942 Moscow had avoided any major unpleasantness with the world at large, Werth, Russia at War, 586; the new assertiveness was supported by arguments on the ideological level. Mikhail Kalinin cited Stalin’s 1924 speech: “Soviet power is now thinking not only of its existence, but also about developing into a serious international force— capable of exercising influence on the international situation, and capable of altering it in the interests of the toilers,” Pravda, December 30, 1942. 10. Quoted by P. H. M. Bell, John Bull and the Bear: British Public Opinion, Foreign Policy, and the Soviet Union, 1941–1945 (London: Edward Arnold, 1990), 63. See also Home Intelligence report no. 121, January 28, 1943, in Home Intelligence Reports on Opinion and Morale, 1940–1944 [microfilm] (Brighton, 1979). 11. Bell, John Bull and the Bear, 68. 12. John Harvey (ed.), The War Diaries of Oliver Harvey (London: Collins, 1978), February 10, 1942. 13. Bell, John Bull and the Bear, 91. 14. Home Intelligence Reports on Opinion and Morale, 1940–1944, Report no. 123, February 11, 1943; report no. 127, March 11, 1943. 15. The War Diaries of Oliver Harvey, February 2, 1943. 16. Warren Kimball (ed.), Churchill & Roosevelt: The Complete Correspondence, vols. 1–3 (Princeton, NJ: Princeton University Press, 1984), II, 5. 17. The ban was issued on March 14, 1942, NKVD report of November 17, 1942, in Lev F. Sotskov (ed.), Pribaltika i Geopolitika. 1935–1945 gg. Rasskrechennyi Dokumenty Sluzhby Vneshneii rasvedki Rossiiskoii Federatsii (Moskva: Ripol Klassik, 2010), 285. The source was possibly agent “Mädchen,” Guy Burgess, who was working in the BBC at that time. 18. Halifax to Eden, May 6, 1942, FO 115/3520, TNA. 19. On British censorship toward the USSR, Bell, John Bull and the Bear; see also Steven Merritt Miner, Stalin’s Holy War: Religion, Nationalism, and

Notes

20. 21. 22.

23. 24. 25.

26.

27.

28. 29. 30.

31.

32.

33. 34. 35. 36.

195

Alliance Politics, 1941–1945 (Chapel Hill, NC; London: The University of North Carolina Press, 2003). Bell, John Bull and the Bear, 12, 114, 116. Armine Dew note, February 9, 1943, FO 371/36991, TNA. Hamilton Kerr, “Britain and Russia,” Spectator, February 5, 1943. Kerr thought the chance that Russia would interfere in the affairs of her neighbors was rather small. New Statesman, February 27, 1943. Times, March 10, 1943. Kathleen Burk, Troublemaker: The Life and History of A. J. P. Taylor (New Haven; London: Yale University Press, 2000). Taylor was then at Magdalene College, Oxford. He was sympathetic toward the USSR and had befriended Beneš during the war. Manchester Guardian, February 26, 1943. Taylor’s letter was written on February 23 and was probably inspired at least to some extent by Stalin’s speech to the Red Army the same day. The letter provoked lively comment. One commentator criticized Taylor’s strategic argument by observing that, although neutral Ireland was a “grave embarrassment” to Britain, reoccupation of the Irish Republic had not been seriously advocated, C. W. Furmston, Manchester Guardian, March 2, 1943. Lippmann’s comment and the editorial, Herald Tribune, April 6, 1943. According to Jan Ciechanowski, Lippmann’s columns were influenced by the views of Anthony Eden, Jan Ciechanowski, Defeat in Victory (London: Victor Gollancz, 1948), 168. Pusta to Torma, March 18, 1943, ERA 1583–2–22. “United States Comments on Pravda article,” February 25, 1943, FO 371/36991, TNA. Anne McCormick, New York Times, April 7, 1943. She also said that in order to persuade Russia not to annex territories, it was necessary to convince Moscow that America was not erecting buffer states against Russia. Evening Star, April 11, 1943. Some commentators were more skeptical about the chance to accommodate the USSR, see Lothrop Stoddard in Radio Commentator, May 2, 1943. Sikorski told this to Halifax on December 9, 1942, NKVD report of December 19, 1942; NKVD report, December 26, 1942, Sotskov, Pribaltika i Geopolitika, 272–74; 275–76. The NKVD reports included Sikorski’s remarks concerning the federations: Sikorski thought the postwar federation should include Lithuania, Poland, Czechoslovakia, and possibly Hungary. NKVD report, January 1943, ibid., 293–94. Pusta to Torma, March 18, 1943, ERA 1583–2–22. Noted in Torma to Pusta, January 8, 1943, ibid. “The Visit of General Sikorski in Retrospect,” January 30, 1943, memorandum no. 99, records of the Foreign Nationalities Branch 1941–1945, Office of Strategic Services (OSS), Box 266, RG 226, NA.

196

Notes

37. The Adolf A. Berle Diary, 1937–1971 [microfilm at Cambridge University Library] (Hyde Park, NY: Franklin D. Roosevelt Library, 1978), January 16, 1943. 38. Detlef Brandes, Grossbritannien und Seine Osteuropäischen Alliierten 1939–1943: Die Regierungen Polens, der Tschechoslowakei und Jugoslawiens im Londoner Exil vom Kriegsausbruch bis zur Konferenz von Teheran (München: R. Oldenbourg Verlag, 1988), 421. The Adolf A. Berle Diary, December 7, 1942. 39. Matthews to Hull, February 15, 1943, FRUS (1943), III, 332. 40. Ibid. 41. Ciechanowski, Defeat in Victory, 156–62 42. See a good summary of deportations, Natalia Lebedeva, “Deportations from Poland and the Baltic States to the USSR in 1939–1941: Common Features and Specific Straits,” Lithuanian Historical Journal, vol. 7 (2002): 95–112. 43. Quoted in Elisabeth Barker, Churchill and Eden at War (London: Macmillan, 1978), 248. 44. Ciechanowski, Defeat in Victory, 154–5. 45. Churchill to Eden on April 28, 1943, quoted in Barker, Churchill and Eden, 250. “Three-year old” indicated that Churchill was probably confident that they had been murdered in 1940 rather than in 1941. 46. Katyn: British Reactions to the Katyn Massacre, 1943–2003: Published by the FCO Historians to Commemorate the 60th Anniversary of the Discovery of the Katyn Massacre on 13th April 1943 (London: Foreign and Commonwealth Office, 2003); Bell, John Bull and the Bear, 109–27. Eden left no comment on Katyn. 47. Pusta to Torma, June 10, 1943, ERA 1583–2–22. 48. Pusta to Torma, July 21, 1943, ibid. 49. “Former Estonian Foreign Minister Pusta on Anglo–American Relations with Soviet Russia,” report by H. Rabinavicius, July 25, 1943, records of the Foreign Nationalities Branch 1941–1945, Office of Strategic Services (OSS), RG 226, NA. Pusta wrote to Torma on similar lines, predicting that a third world war would soon follow, Pusta to Torma, July 21, 1943, ERA 1583–2–22. 50. “The Lithuanians of Chicago,” by Albert Parry, February 4, 1943, report no 32, Records of the Foreign Nationalities Branch 1941–1945, Office of Strategic Services (OSS), RG 226, NA. 51. Pusta to Torma, July 21, 1943, ERA 1583–2–22. 52. “Public Opinion in the Baltic States towards Germany, the Soviet Union and Great Britain,” Herschel V. Johnson to Secretary of State, March 12, 1942, Decimal 860 N.00/205 1940–1944, RG 59, NA. 53. The War Diaries of Oliver Harvey, February 17, 1943. 54. Gladwyn Jebb, “The Four-Power Plan,” October 1942, summary in Llewellyn Woodward, British Foreign Policy in the Second World War (London: HMSO, 1970–), vol. V, 3–8. 55. Martin Gilbert, Churchill: A Life (London: Minerva, 1991), 743. 56. Martin Kitchen, British Policy towards the Soviet Union during the Second World War (Basingstoke: Macmillan, 1986), 150.

Notes

197

57. Quote from Jebb in Martin H. Folly, Churchill, Whitehall, and the Soviet Union, 1940–45 (New York: St Martin’s Press, 2000), 102. 58. See the correspondence between Eden and Churchill, Eden to WSC, August 19, 1943, PREM 3/354/9, Churchill Archives Centre, UK (hereafter CAC); PM to Eden, October 6, 1943, PREM 3/355/4, CAC. 59. Kitchen, British Policy, 165; Foreign Office to Washington Embassy, July 17, 1943, FO 371/37045, TNA. 60. Robert E. Sherwood, Roosevelt and Hopkins: An Intimate History (New York: Harper & Brothers, 1948), 699. Warren F. Kimball, “Stalingrad: A Chance for Choices,” Journal of Military History, no. 60 (January 1996): 89–114. 61. John Lamberton Harper, American Visions of Europe: Franklin D. Roosevelt, George F. Kennan, and Dean G. Acheson (Cambridge: Cambridge University Press, 1996), 34, 80. 62. Warren F. Kimball, Forged in War: Churchill, Roosevelt and the Second World War (London: Harper Collins, 1997), 204. 63. Harley A. Notter, Postwar Foreign Policy Preparation, 1939–1945 (Washington, DC: Government Printing Office, 1949), 92–93, 96–97. 64. Anthony Eden, The Reckoning (London: Casell, 1965), 377, 380. 65. Robert I. Gannon, The Cardinal Spellman Story (London: Robert Hale, 1963), 222–24; Harper, American Visions of Europe, 81, 88–89. 66. Robert C. Hilderbrand, Dumbarton Oaks: The Origins of the United Nations and the Search for Postwar Security (Chapel Hill, NC; London: University of North Carolina Press, 1990), 16; Sumner Welles, Seven Major Decisions (London: Hamish Hamilton, 1951), 136. 67. Conversation between Roosevelt and Molotov, May 29, 1942, FRUS (1942), III, 572–4. 68. Memorandum by Harry L. Hopkins on Conversation between Roosevelt, Eden and Hopkins, March 15, 1943, FRUS (1943), III, 13–14. For interpretations see John Lewis Gaddis, The United States and the Origins of the Cold War, 1941–1947 (New York: Columbia University Press, 2000), 135–6; George F. Kennan, Russia and the West under Lenin and Stalin (London: Hutchinson of London, 1961), 357; Robert A. Vitas, The United States and Lithuania: The Stimson Doctrine of Nonrecognition (New York: Praeger, 1990), 61. Alexander Cadogan passed on these “stray thoughts” of Roosevelt on Poland to the Soviet Government, Barker, Churchill and Eden at War, 248. 69. Eden to prime minister, March 16, 1943, FO 371/36991, TNA. 70. Memorandum by Harry L. Hopkins on Conversation between Roosevelt, Eden and Hopkins, March 15, 1943, FRUS (1943), III, 13–14. 71. Ibid., 35. 72. Memorandum by Harry L. Hopkins on Conversation between Roosevelt, Eden and Hopkins, March 15, 1943, ibid., 13–14. 73. Patrick J. Hearden, Architects of Globalism: Building a New World Order during World War II (Fayetteville: University of Arkansas Press, 2002), 285–312; Józef Łaptos and Mariusz Misztal, American Debates on Central European Union, 1942–1944: Documents of the American State Department (Brussels, Oxford: Peter Lang, 2002).

198

Notes

74. The agreement can be found in Piotr S. Wandycz, Czechoslovak-Polish Confederation and the Great Powers 1940–43 (Bloomington: Indiana University, 1956), 133–35. Pusta to Torma, January 27, 1942; Pages from the Diary of Kaarel Robert Pusta, January 27, 1942, ERA 1583–2–21. 75. Sikorski’s conversation with Eden, January 19, 1942, FO 954/19, TNA. 76. Pusta to Torma, January 27, Pages from the Diary of Kaarel Robert Pusta, January 27, 1942, ERA 1583–2–21. 77. Pages from the Diary of Kaarel Robert Pusta, February 13, 1942, ibid. 78. Loy W. Henderson’s conversation with Pusta and Kaiv, Pages from the Diary of Kaarel Robert Pusta, March 11, 1942, ibid. 79. Lithuanian minister Žadeikis frankly admitted as much in his conversation with Pusta on June 10, 1942, Pusta’s conversations with Raczynski, Pages from the Diary of Kaarel Robert Pusta, February 17, 1942, ibid. 80. Torma to Kaiv, February 16, 1942, ibid. 81. Nichols to Harvey, May 1, 1942, FO 954/25, TNA. 82. He expected that the best that London could hope from the Poles under the circumstances was “silence,” Smollett to Grubb, April 17, 1942, FO 371/32879, TNA. 83. Jonathan Haslam, No Virtue Like Necessity: Realist Thought in International Relations since Machiavelli (New Haven, Conn; London: Yale University Press, 2002), 202. In the final analysis, the Estonian minister in London August Torma was right when he estimated in February that the Baltic adherence to the Polish-Czech pact was impracticable, Torma to Kaiv, February 16, 1942, ERA 1583–2–21. 84. Henderson told Pusta on June 8, 1942, that this was a very good idea and hoped Pusta would succeed in setting up such a committee. 85. Moreover, official Baltic representatives withdrew from the committee and it was formally established by the Baltic organizations in America. The committee was able to compile a couple of studies on the Baltic question but its influences seemed to be negligible, Pusta to Torma, November 18, 1942, ERA1583–2–22; Durbrow memorandum, November 24, 1942, RG 59, Decimal File 1940–1944, 860N.00/172-I/4, NA. 86. Gladwyn Jebb, May 10, 1943, FO 371/35261, TNA. 87. Warner minute, May 24; Strang minute, May 29, 1943, ibid. 88. “Soviet Attitude to Federations in Eastern Europe,” August 10, 1943, FO 371/36992, TNA. 89. Regionalism and federations were especially fashionable in 1942, see Nicholas Doman, “The World We Approach,” Annals of the American Academy of Political and Social Science, vol. 222, winning both the war and the peace (July 1942): 90–102; George A. Lundberg, “Regionalism, Science, and the Peace Settlement,” Social Forces, vol. 21, no 2 (December 1942): 131–37. 90. Benjamin Welles, Sumner Welles: FDR’s Global Strategist: A Biography (Basingstoke Macmillan, 1997), 341–54; Irwin F. Gellman, Secret Affairs: Franklin Roosevelt, Cordell Hull, and Sumner Welles (Baltimore; London: Johns Hopkins University Press, 1995), 302–17.

Notes

199

91. Cordell Hull, The Memoirs of Cordell Hull (London: Hodder & Stoughton, 1948), 1644–45. 92. Nicholas J. Spykman, the leading geopolitical theorist in the United States, wrote in 1942: “If the peace objective of the United States is the creation of a united Europe, she is fighting on a wrong side,” Nicholas John Spykman, America’s Strategy in World Politics, the United States and the Balance of Power (New York: Harcourt, Brace and Company, 1942), 465; more on the fears of a dominant and aggressive unified Europe, Hearden, Architects of Globalism, 75–6. 93. Sainsbury, The Turning Point, 18, 83. 94. On Roosevelt’s rejection of British plan’s Sainsbury, The Turning Point, 19, 88; Sherwood, Roosevelt and Hopkins, 717. American historian Warren Kimball also seems to think that the British wanted to draw East-Central Europe into their sphere of influence, Warren F. Kimball, The Juggler: Franklin Roosevelt as Wartime Statesman (Princeton: Princeton University Press, 1994), 94–95. 95. Sainsbury, The Turning Point, 12–14 96. FRUS, I (1943), 638–9; Sainsbury, The Turning Point, 88–90. 97. Ibid. 98. Roberts minute, June 27, FO 371/37045, TNA. 99. The War Diaries of Oliver Harvey, November 17, 1943. 100. Brandes, Grossbritannien und seine Osteuropäischen Alliierten, 483. 101. Meeting of October 29, 1943, FRUS, I (1943), 667–8. 102. One of the best works is Sainsbury, The Turning Point. For the summit’s military-strategic importance, see Mark A. Stoler, Allies in War: Britain and America against the Axis Powers 1940–1945 (London: Hodder Arnold, 2005), 139–42. 103. Standley to Secretary of State, March 10, 1943, FRUS (1943), III, 509. 104. Robert H. Donaldson, Joseph L. Nogee, The Foreign Policy of Russia: Changing Systems, Enduring Interests (Armonk, NY; London: M.E. Sharpe, 2005), 45; David Dallin, Soviet Russia’s Foreign Policy, 1939–1942 (New Haven: Yale University Press, 1944), xix. 105. Roosevelt is reported as saying: “Of course it’s just the thing for the Russians, they couldn’t want anything better.” Roosevelt was expecting the Russians to take part in the construction of a new political order in Europe, Harper, American Visions of Europe, 88; Vojtech Mastny, Russia’s Road to Cold War; Diplomacy, Warfare, and the Politics of Communism, 1941–1945 (New York, Guildford: Columbia University Press, 1979), 75. 106. Woodward, British Foreign Policy, vol. 2, 555; Lavrenti Beria probably thought the demand for unconditional surrender was a blunder, Sergo Beria, Beria—My Father: Inside Stalin’s Kremlin (London: Duckworth, 2001), 106. 107. V. O. Pechatnov, Stalin, Ruzvelt, Trumen: SSSR i SShA v 1940kh gg.: Dokumentalnye Ocherki (Moskva: Terra-Knizhnyi Klub, 2006), 148. 108. Bohlen memorandum, September 1943, Records of Charles E. Bohlen, Box 4, RG 59, US National Archives (hereafter NA).

200

Notes

109. Mary E. Glantz, FDR and the Soviet Union: the President’s Battles over Foreign Policy (Lawrence: University Press of Kansas, 2005), 155. 110. Vitas, The United States and Lithuania, 61; Hull, The Memoirs, 1266. 111. W. Averell Harriman and Elie Abel, Special Envoy to Churchill and Stalin, 1941–1946 (New York: Random House, 1975), 227; Edmund R. Padvaiskas, “World War II Russian–American Relations and the Baltic States: A Test Case,” Lituanus, vol. 28, no. 2 (1982): 5–27. 112. Eden, The Reckoning, 467; Hull, The Memoirs, 1266; Harriman, Abel, Special Envoy, 178. 113. NKVD report, June 8, 1943, Sotskov, Pribaltika i Geopolitika, 295. 114. NKVD report, October 1943, ibid., 296–7. 115. For descriptions of the conference by participants, Sherwood, Roosevelt and Hopkins, 398–428; Winston S. Churchill, The Second World War: Closing the Ring, vol. 5 (New York: Houghton Mifflin, 1952), 292–348; Charles E. Bohlen, Witness to History, 1929–1969 (New York: W. W. Norton, 1973), 134–54; for documents see FRUS (1943), the Conferences at Cairo and Teheran; the Soviet version is in Robert Beitzell (ed.), Teheran, Yalta, Potsdam: the Soviet Protocols (Hattiesburg, MS: Academic International, 1970). 116. Roosevelt–Stalin meeting, December 1, 1943, from Bohlen minutes, FRUS (1943), The Conferences at Cairo and Teheran, 594–596. 117. Ibid. 118. Pusta to Torma, October 21, 1943, ERA 1583–2–23. The American transcript on the meeting between Ciechanowski and Hull is rather short, containing no reference to the Baltic question. 119. Pusta was working in the Estonian Embassy in Paris at the time, Pusta to Torma, December 14, 1943, ibid; Ciechanowski to Dunn, November 17, 1943, FRUS (1943), III, 478–81. 120. Hull probably did not know for a long time, and for example Arthur Bliss Lane, the ambassador to the Polish government, was not told of the agreement on Polish frontier, Arthur Bliss Lane, I Saw Freedom Betrayed (London: Regency Publications, 1949), 35. 121. Pusta to Torma, February 1, 1944, ERA 1583–2–23.

8 United to the End: The Road to the Yalta Summit, 1944–1945 1. Geoffrey Wilson’s memorandum, June 22, 1943, FO 371/37045, The National Archives, UK (hereafter TNA). 2. On this overarching aim, Vladimir O. Pechatnov, “The Big Three after World War II: New Documents on Soviet Thinking about Post War Relations with the United States and Great Britain,” Cold War International History Project, working paper no. 13 (Washington, DC: Woodrow Wilson International Center for Scholars, 1995); Vladislav M. Zubok, A Failed Empire: The Soviet Union in the Cold War from Stalin to Gorbachev (Chapel Hill: University of North Carolina Press, 2007), 11–6; Geoffrey Roberts, Stalin’s Wars: From

Notes

3. 4.

5. 6. 7.

8.

9.

10.

11.

12.

201

World War to Cold War: 1939–1953 (New Haven; London: Yale University Press, 2006), 190–91, 195; Eduard Mark, “Revolution by Degrees: Stalin’s National-Front Strategy for Europe, 1941–1947,” Cold War International History Project, working paper no. 31 (Washington, DC, 2001). Molotov’s speech on the Supreme Soviet, Pravda, February 2, 1944. Juri Zhukov, Stalin: Tainy Vlasti (Moskva: Vagrius, 2005), 215–18; Serhy Yekelchyk, Ukraine: Birth of a Modern Nation (Oxford, 2007), 146; Tõnu Tannberg, “Moskva Institutsionaalsed ja Nomenklatuursed Kontrollimehhanismid Eestis NSVs Sõjajärgsetel Aastatel,” in Tõnu Tannberg (ed.), Eesti NSV Aastatel 1940–1953: Sovetiseerimise Mehhanismid ja Tagajärjed Nõukogude Liidu ja Ida-Euroopa Arengute Kontekstis (Tartu: Eesti Ajalooarhiiv, 2007), 225–72; Indrek Jürjo, “Välisminister kohakaasluse alusel,” Maaleht, March 1, 2001. Ardi Siilaberg, “Nõukogude Võimu Naasmine Harjumaa Operatiivgrupi Näitel 1944. aastal” (Unpublished BA thesis, University of Tartu, 2008), 3. John Erickson, The Road to Stalingrad: Stalin’s War with Germany, vol. 1 (London: Orion, 2000), 168. Vojtech Mastny, Russia’s Road to Cold War; Diplomacy, Warfare, and the Politics of Communism, 1941–1945 (New York, Guildford: Columbia University Press, 1979), 180. See the section on the political education of the conquering armies in the analysis of the Soviet theorist Vladimir K. Triandafillov in 1929, reprint: V. K. Triandafillov, The Nature of the Operations of Modern Armies (Ilford: Frank Cass, 1994); Siilaberg, “Nõukogude võimu naasmine,” 12. Nya Dagligt Allehanda, February 8, 1944, quoted in “Soviet Preparations for Return to the Baltic states,” Johnson (Stockholm) to secretary of state, March 3, 1944, Decimal File 1940–1944, 860N.01/101, RG 59, US National Archives, NA. Olev Liivik, Eestimaa Kommunistliku Partei Keskkomitee Aparaat 1945– 1953 (Tartu: Tartu Ülikooli Kirjastus, 2006), 66. This deficiency was to some extent compensated by the use of Estonian immigrants in the USSR, who had mostly settled there in the nineteenth century, but because many of them could not speak Estonian, they were mostly regarded as aliens by the Estonian people, David Feest, Zwangskollektivierung im Baltikum: die Sowjetisierung des Estnischen Dorfes 1944–1953 (Köln: Böhlau, 2007), 87. This explains the strong reliance on the Soviet-trained cadres and NKVD personnel, more recent books, Martin Mevius, Agents of Moscow: The Hungarian Communist Party and the Origins of Socialist Patriotism, 1941– 1953 (Oxford: Clarendon Press; Oxford University Press, 2005), 81–82; Vesselin Dimitrov, Stalin’s Cold War: Soviet Foreign Policy, Democracy and Communism in Bulgaria, 1941–48 (Basingstoke: Palgrave Macmillan, 2008), 147–50. There were also Estonian units in the Red Army, Peeter Kaasik, “The 8th Estonian Rifle Corps in the Conquest of Estonia in 1944, in Courland and from summer 1945 in Estonia,” in Toomas Hiio, Meelis Maripuu and Indrek Paavle (eds.), Estonia, 1940–1945: Reports of the Estonian

202

13. 14. 15. 16.

17.

18.

19. 20. 21. 22.

23. 24.

Notes

International Commission for the Investigation of Crimes Against Humanity (Tallinn: Inimsusevastaste Kuritegude Uurimise Eesti Sihtasutus, 2006), 1001–18. Mart Laar, Sinimäed 1944: II Maailmasõja Lahingud Kirde-Eestis (Tallinn: Varrak, 2008). Maxim Litvinov, “On Relations with the United States,” January 10, 1945, cited by Pechatnov, “The Big Three after World War II,” 10. Robert Dallek, Franklin D. Roosevelt and American Foreign Policy, 1932– 1945 (New York: Oxford University Press, 1979), 439. Conversation between Stalin, Molotov, Harriman, Eric Johnston, Page, Pavlov, June 26, 1944, Box 173, W. Averell Harriman papers, Library of Congress (hereafter LC). The importance of Roosevelt for the Soviet regime is stressed for example in Zubok, A Failed Empire, 11–16; Gromyko emphasized that Roosevelt “gave” the USSR the Sakhalin and the Kurile islands, Andrei Gromyko, Memoirs (London: Hutchinson, 1989), 88. Fred L. Israel (ed.), The War Diary of Breckinridge Long; Selections from the Years 1939–1944 (Lincoln: University of Nebraska Press, 1966), June 13, 1944 (p. 353–55); John Lewis Gaddis, The United States and the Origins of the Cold War (New York: Columbia University Press, 2000), 143. Molotov’s conversation with Lange, April 24, 1944, Stalin’s conversation with Orlemanski, April 28, 1944, T. V. Volokitina (ed.), Vostochnaia Evropa v Dokumentakh Rossiiskikh Arkhivov: 1944–1953gg (Moscow, Novosibirsk: Sibirskii Khronograf, 1997), 36–42; Stalin’s and Molotov’s conversation with Orlemanski, May 4, 1944, T. V. Volokitina (ed.), Sovetskii Faktor v Vostochnoi Evrope, 1944–1953: Dokumenty: v Dvukh Tomakh. T. 1, 1944– 1948 (Moskva: Rosspen, 1999), 58–62. Dennis J. Dunn, Caught between Roosevelt & Stalin: America’s Ambassadors to Moscow (Lexington: University Press of Kentucky, 1998), 227. Report of special agent Robert J. Clinite, October 7, 1944, Decimal File 1940–44, 860M.9111/2–145, RG 59, NA. George F. Kennan, Memoirs, 1925–1959 (London: Hutchinson, 1968), 221. Clark-Kerr to Foreign Office, November 6, 1944; and the minute by Wilson, FO 371/43319, TNA. It also expressed support for the Moscow, Cairo and Teheran conferences, “The Lithuanian and Baltic American Political Picture in the Beginning of 1944,” January 27, 1944, Foreign nationality groups in the United States, report no. 169, records of the Foreign Nationalities Branch 1941–1945, Office of Strategic Services (OSS), RG 226, NA. J. Paleckis in Voina i Rabochii Klass, December 15, 1943. Harry W. Lielnors, the public relations adviser of the Latvian Embassy, accused the Poles of selling “the Baltics down the river,” “The Lithuanianand Baltic American Political Picture in the beginning of 1944,” January 27, 1944, Foreign nationality groups in the United States, report no. 169, records of the Foreign Nationalities Branch 1941–1945, Office of Strategic Services (OSS), RG 226, NA.

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25. Paraphrase of department’s telegram no. 1449, December 23, 1944, Box 171, W. Averell Harriman papers, LC. The emphasis is mine. 26. Paraphrase of embassy telegram no. 1, January 3, 1945, ibid. 27. Walter Lippmann, “Policy without Entanglements,” December 14, 1944, New York Herald Tribune. My emphasis. Also Walter Lippmann, US Foreign Policy (London, 1944); and a biography on Lippmann, Ronald Steel, Walter Lippmann and the American Century (London: Bodley Head, 1980). 28. The other American journalist who earned the compliment was Molley of Newsweek, 1944, J. Paleckis in Voina i Robochii Klass, July 15, 1944. 29. J. W. Russel to Foreign Office, March 21, 1944; “Activities of the Baltic Nationals in the United States,” FO 371/43056, TNA. 30. Northern department minute (author unidentifiable), April 10, 1944, ibid. 31. Jan Ciechanowski, Defeat in Victory (London: Victor Gollancz, 1948); Erickson, Road to Stalingrad, 262–63. 32. “Memorandum of conversations with the President,” October 21–November 19, 1944, Box 175, W. Averell Harriman papers, LC. 33. Gaddis, United States and the Origins, 149. 34. The question was in effect decided at the Politburo on January 26, G. M. Adibekov, K. M. Andeson, L. A. Rogovaia (eds.), Politbiuro TsK RKP(b)– VKP(b): Povestki Dnia Zasedanii. 1919–1952, Katalog, v Trekh Tomakh (Moskva: Rosspen, 2001), 334; “Materialy plenuma TsK VKP(b), 27 Jan. 1944,” Istoricheskii Arkhiv, no. 1 (1992): 61–5; Molotov’s speech, Pravda, February 2, 1944. An interpretation of legal aspects, Alec Nove, “Some Aspects of Soviet Legal Theory,” Modern Law Review, vol. 12, issue 1 (January 1949): 20. 35. Pages from the Diary of Kaarel Robert Pusta, June 14, 1944, Eesti Rahvusarhiiv (Estonian National Archives, hereafter ERA), 1622–2–3. 36. Molotov’s speech at the Supreme Soviet, Pravda, February 2, 1944. 37. The number 17 comes from 16 Soviet republics plus the Russian Soviet Republic. 38. Historian Arieh J. Kochavi suggests that Stalin raised the frontier question at this time because of the Western postponement of the second front in Europe. But perhaps the Soviet had more to do with understandable fears about extra-European powers dictating Soviet policy. Arieh J. Kochavi, “Britain, the Soviet Union and the question of the Baltic States in 1943,” Journal of Baltic Studies, vol. 22, no. 2 (1991): 173–82. 39. Ibid., 175. 40. Ibid., 178. 41. Roberts minute, January 29, 1944, FO 371/43311, TNA. 42. Meeting of Prime Ministers, May 9, 1944, CAB 99/28, TNA. 43. Mastny, Russia’s Road to Cold War, 214. In spring 1944 Ukraine was in the forefront of Soviet policies, as Kiev had been liberated in December 1943, while Belarus and the Baltic states remained occupied by the Nazis until summer-autumn 1944. 44. See the speeches of the Lithuanian Justas Paleckis, Latvian Vilis Lācis and Estonian Johannes Vares, Pravda, February 3, 1944.

204

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45. The speech of Oleksandr Bogomolets, Pravda, February 6, 1944. It is noteworthy that Pravda translated the speech into Ukrainian, Clark-Kerr to Foreign Office, February 8, 1944, FO 371/43311, TNA. 46. Wilson minute, February 10, 1944, ibid. 47. Eden minute, February 20, 1944, ibid. As to the Baltic states, Warner hoped that Moscow will not attempt to force the issue “by suggesting an appointment of representatives of the three Baltic constituent republics here and in other foreign capitals or on the occasion of United Nations conferences,” Warner minute, February 4, 1944; see also Cadogan minute, February 4, 1944, ibid. 48. On the British views on the Polish question in early 1944, Martin Kitchen, British Policy towards the Soviet Union during the Second World War (Basingstoke: Macmillan, 1986), 176–7. 49. Korneichuk had served as the vice-commissar of foreign affairs under Molotov. His connections to Poland were manifold: his wife was the famous Wanda Wasilewska, leader of future Soviet Polish government; in early 1943 his articles had started off the Soviet press campaign against the Polish government in London, Alexander J. Motyl, “The Foreign Relations of the Ukrainian SSR,” Ukrainian Studies, vol. 4, no. 1 (March 1982): 62–78. 50. Clark-Kerr admitted that the autonomy of union republics was very limited. He advised that a beginning be made immediately at Kiev, while fears about the Polish connection were exaggerated, Clark-Kerr to Foreign Office, April 16, 1944, FO 371/43408, TNA. 51. This was according to Clark-Kerr to Foreign Office, April 17, 1944, ibid. 52. This informal luncheon was rather unusual, underlining the importance that Molotov attached to the constitutional changes, Clark-Kerr to Foreign Office, February 9, 1944, FO 371/43312, TNA. 53. FRUS (1944), IV, 829. 54. Clark-Kerr to Foreign Office, February 9, 1944, FO 371/43312, TNA. 55. Steven Merritt Miner, Stalin’s Holy War: Religion, Nationalism, and Alliance Politics, 1941–1945 (Chapel Hill, NC; London: The University of North Carolina Press, 2003), 247. 56. John Lawrence to Geoffrey Wilson, March 17, 1944, FO 371/43408, TNA. 57. Clark-Kerr explained this by saying that Zinchenko, no doubt of Ukrainian origin, had “made much out of very little” but it is also true that ClarkKerr had become a likely target of such manipulation, Clark-Kerr, April 16, 1944, ibid. 58. Warner minute, April 10, 1944, ibid. 59. Ibid. 60. Draft telegram to Clark-Kerr, April 11, 1944. Wilson agreed that the British would probably have to exchange representatives with the constituent republics, but thought they should first study the implications to the Polish question, Wilson minute, April 20, 1944, ibid. 61. Malkin minute, April 21, 1944, ibid. 62. Roberts minute, April 21, 1944, ibid.

Notes

205

63. Eden also said that he had become suspicious of the USSR in Teheran. Churchill cited in Charles Moran, Churchill: Taken from the Diaries of Lord Moran: The Struggle for Survival, 1940–1965 (Dunwoody, GA: N. S. Berg, 1976), 155. 64. Alexander Werth, Russia at War, 1941–45 (London: Barrie & Rockliff, 1964), 768. 65. Churchill had the difficult task of bringing to the Polish government the news about the Teheran agreement on the Curzon Line—this was met by bitter accusations from the Polish side. As a result the Poles placed their hopes on Roosevelt, which was a grave mistake, Edward Raczynski, In Allied London (London: Weidenfeld & Nicolson, 1962), 187–202. 66. PM to Eden, April 1, 1944, FO 371/43304, TNA. 67. Eden minute, April 3, 1944, ibid. 68. Eden minute, May 2, 1944, FO 371/43408, TNA. 69. The reason for the 1947 British proposal to set up an embassy in Kiev was not as much to improve relations but to acquire a listening post outside Moscow—a motive that the Soviet leadership had no difficulty to gauge, Foreign Office to Moscow, May 17, 1947, FO 371/66355, TNA; British proposal to establish diplomatic relations with the Ukrainian SSR, September 5, 1947, Records of J. D. Hickerson, Box 3, RG 59, NA. 70. Vernon V. Aspaturian, “The Union Republics and Soviet Diplomacy: Concepts, Institutions and Practices,” The American Political Science Review, vol. 53, no. 2 (June 1959): 383–411. 71. Constituent Republics of the Soviet Union, memorandum by the secretary of state, May 30, 1944, FO 371/43408, TNA. 72. The Soviet boycott lasted until after the war, when preparations for the Nuremberg tribunals commenced. 73. Warren F. Kimball, The Juggler: Franklin Roosevelt as Wartime Statesman (Princeton: Princeton University Press, 1994), 83–106; Julius W. Pratt, Cordell Hull, 1933–44 (New York: Cooper Square, 1964), 611. 74. Cited in Dunn, Caught between Roosevelt & Stalin, 242. 75. “The Cost of Roosevelt’s Great Design,” Saturday Evening Post, May 27, 1944, quoted in Pratt, Cordell Hull, 728. For a similar view, see Gaddis, United States and the Origins, Chapter 5; Dallek, Franklin D. Roosevelt, 439. 76. Quoted in Dallek, Franklin D. Roosevelt, 441. 77. Durbrow to Stettinius, November 20, 1944, FRUS (1944), IV, 933–5. 78. Pages from the Diary of Kaarel Robert Pusta, January 19, 1944, Eesti Rahvusarhiiv (Estonian National Archives, hereafter ERA), 1622–2–3. 79. Bullitt added ambiguously: “There will be a world war in 20 years, in which Britain and Germany will fight side by side against the USA–USSR,” ibid. 80. Pages from the Diary of Kaarel Robert Pusta, June 14, ibid. 81. Eden to Churchill, January 25, 1944, PREM 3/399/6, Churchill Archives Centre, UK (hereafter CAC). 82. Eden to Churchill, January 25, 1944, ibid. 83. Churchill to Eden, January 16, 1944, ibid.

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84. Rothwell attributes the erratic attitude of Churchill to the phenomenon that at personal Big Three meetings all problems seemed to dissolve, Victor Rothwell, Britain and the Cold War 1941–1947 (London: Jonathan Cape, 1982), 131. 85. Beatrice Bishop Berle, Travis Beal Jacobs (eds.), Navigating the Rapids, 1918–1971: From the Papers of Adolf A. Berle (New York: Harcourt Brace Jovanovich, 1973), July 28, 1944. 86. He thought “the play-off of this war is worse than that after the war of 1914,” Berle and Jacobs, Navigating the Rapids, diary entries for August 21 and September 23, 1944. 87. Pusta to John F. Stewart, May 5, 1945, ERA 1583–2–24. 88. This allows me to look more favorably at Churchill’s ideas than is the case in E. J. Hughes, “Winston Churchill and the United Nations Organisation,” Journal of Contemporary History, vol. 9, no. 4. (Oct., 1974): 177–94. 89. Thomas M. Campbell, George C. Herring (eds.), The Diaries of Edward R. Stettinius, Jr. (New York: New Viewpoints, 1975), April 15, 1944. 90. Ibid., diary entry for February 4, 1944. See also Secretary of War Stimson to secretary of state, January 23, 1945, FRUS (1945), Conference and Malta and Yalta, 78–81. 91. On the Eden–Churchill split on the UN, Hughes, “Winston Churchill and the United Nations,” 177–94; Rothwell, Britain and the Cold War, 406. 92. Stettinius memo to Roosevelt, November 15, 1944, FRUS (1945), Conferences at Malta and Yalta, 48–9. 93. Briefing book for Yalta, ibid., 91. The Americans gave this interpretation to the demand in their Briefing Book for Yalta, and, indeed, that was how it eventually played out at the Big Three conference in Yalta. 94. The Diaries of Edward R. Stettinius, 111, 113. 95. Conversation between Pasvolsky and Gromyko, January 11, 1945, FRUS (1945), Conferences at Malta and Yalta, 72. 96. Jebb conversation with Sobolev, November 24, 1944, A.P.W.(44) 122, December 5, 1945, FO 1079/9, TNA. 97. Zubok, A Failed Empire, 22. 98. David Reynolds, Summits: Six Meetings that Shaped the Twentieth Century (London: Allen Lane, 2007), 114. 99. Briefing book on Poland, FRUS (1945), Conferences at Malta and Yalta, 231. 100. Hickerson to secretary of state, January 8, 1945, ibid., 93–6. 101. Bohlen memorandum (in reply to Hickerson), January 9, 1945, Records of Charles E. Bohlen, Box 4, RG 59, NA. My emphasis. 102. Echoing the language of Adolf Berle, Leo Pasvolsky wrote that some guarantees as to the liberties of East-Central Europe would be the most powerful antidote against the rapidly crystallizing opposition to the UN “on the score that the future organization would merely underwrite a system of unilateral grabbing,” Leo Pasvolsky to the Secretary of State, January 23, 1945, FRUS (1945), Conferences at Malta and Yalta, 101. 103. Reynolds, Summits, 115.

Notes

207

104. “The World Organisation and the Sixteen Soviet Socialist Republics,” A. P. W. (44) 122 and 123, January 3, 1945, DO 35–1873, TNA. Mentioned in Rothwell, Britain and the Cold War, 137. 105. Mr. Rhys Davies and Mr. Stephen, question in Parliament about the constitution of the British Empire, February 6, 1944, FO 371/43408, TNA. 106. Secretary of state to Dominion prime ministers, January 10, 1945, DO 35–1873, TNA. 107. Bohdan S. Kordan, Canada and the Ukrainian Question, 1939–1945: A Study in Statecraft (Montreal, London: McGill-Queen’s University Press, 2001), 155. 108. “The World Organisation and the Sixteen Soviet Socialist Republics,” A.P.W. (44) 122 and 123, January 3, 1945, DO 35–1873, TNA. 109. Reynolds, Summits, 117. 110. Fourth plenary meeting, February 7, 1945, FRUS (1945), Conferences at Malta and Yalta, 708–18. 111. Ibid., 711. Emphasis is mine. 112. The Diaries of Edward R. Stettinius, 252; Edward R. Stettinius, Roosevelt and the Russians: the Yalta Conference (London: Jonathan Cape, 1950), 169–70; Towsend Hoopes, Douglas Brinkley, FDR and the Creation of the UN (New Haven; London: Yale University Press, 1997), 180–1; Stephen C. Schlesinger, Act of Creation: The Founding of the United Nations: A Story of Superpowers, Secret Agents, Wartime Allies and Enemies, and Their Quest for a Peaceful World (Boulder: Westview Press, 2003), 127, 137. 113. A contemporary critique of this compromise, N. Timasheff, “Legal Aspects of the Grant of Three Seats to Russia in the United Nations Charter,” Fordham Law Review, vol. 14, no. 2 (November 1945): 180–90.

9 The Drift into the Cold War and the Freezing of the Baltic Question 1. I am more inclined than Elena Zubkova to emphasize the differences from the people’s democracies, Elena Zubkova, Pribaltika i Kreml 1940–1953 (Moskva: Rosspen, 2008), 128–65; Geoffrey Swain, “Cleaning up Soviet Latvia: The Bureau for Latvia (Latburo), 1944–1947,” in Olaf Mertelsmann (ed.), The Sovietization of the Baltic States, 1940–1956 (Tartu: Kleio, 2003), 63–84. 2. Maiskii’s memorandum of January 11, 1944, in T. V. Volokitina (ed.), Sovetskii Faktor v Vostochnoi Evrope, 1944–1953: Dokumenty: v Dvukh Tomakh. T. 1, 1944–1948 (Moskva: Rosspen, 1999), 23–48; T. V. Volokitina, “Stalin i Smena Strategicheskogo Kursa Kremlia v Konze 40-kh Godov: Ot Kompromissov k Konfrontatsii,” in V. Gaiduk, N. I. Egorova, A. O. Chubarjan (eds.), Stalinskoe Desiatiletie Kholodnoi Voiny: Fakty i Gipotezy (Moskva: Nauka, 1999), 11. 3. Similar conclusion in Zubkova, Pribaltika i Kreml, 128–39. 4. Cited by Geoffrey Till, “The Great Powers and the Baltic 1945–1990,” in Göran Rystad, Klaus-R. Böhme, and Wilhelm M. Carlgren (eds.), In Quest

208

Notes

5.

6.

7. 8. 9.

10.

11. 12.

13.

14. 15.

of Trade and Security: The Baltic in Power Politics, 1500–1990 (Stockholm: Probus, 1994), 188; on Scandinavia and the Soviet strategic outlook, Patrick Salmon, Scandinavia and the Great Powers, 1880–1940 (Cambridge: Cambridge University Press, 1997), 367–69. Report from Estonia, no. 3/1946, February 27, 1946, US Legation in Stockholm, OSS, RG 226, entry 108, Box 333, US National Archives (hereafter NA); US Embassy in Moscow, Decimal File 1945–49, 860M.00/2–1248, RG 59, NA; Uldis Neiburgs, “Western Allies in Latvian Public Opinion during the German Occupation 1941–1945,” in Valters Nollendorfs and Erwin Oberländer (eds.), The Hidden and Forbidden History of Latvia under Soviet and Nazi Occupations, 1940–1991 (Riga: Institute of the History of Latvia, 2005), 132–47. Kaarel Piirimäe, “Estonian Prisoners of War in Germany after World War II,” in Toomas Hiio, Meelis Maripuu, and Indrek Paavle (eds.), Estonia, 1940– 1945: Reports of the Estonian International Commission for the Investigation of Crimes against Humanity (Tallinn: Inimsusevastaste Kuritegude Uurimise Eesti Sihtasutus, 2006), 1019–34. Arvydas Anušauskas (ed.), The Anti-Soviet Resistance in the Baltic States (Vilnius: Du Ka 1999). Pusta to Torma, July 15, 1945, Eesti Rahvusarhiiv (Estonian National Archives, hereafter ERA) 1583–2–25. On the legal aspects of the Soviet annexation see Lauri Mälksoo, Illegal Annexation and State Continuity: The Case of the Incorporation of the Baltic States by the USSR: A Study of the Tension between Normativity and Power in International Law (Boston: Martinus Nijhoff, 2003). James T. McHugh and James S. Pacy, Diplomats without a Country: Baltic Diplomacy, International Law, and the Cold War (Westport, CT; London: Greenwood Press, 2001), 105. It was difficult even to get a question on the Baltic states accepted by the Table Office of the House of Commons, MP Savory to Torma, February 15, 1946 and February 28, 1946 and December 7, 1946, ERA 1583–2–26. Parliamentary question by Commander A. Southby, January 17, 1945, FO 371/47042, The National Archives, UK (hereafter TNA). Bossom to Bevin, August 9, 1946; Bossom to Attlee, August 9, 1946, Bossom to Eden, August 12, 1946; John Henniker (FO) to Bossom, August 22, 1946, FO 371/55973, TNA. Bossom to Henniker, August 31, 1946; Brimelow minute, September 10, 1946; Hankey minute, September 10, 1946; Lambert minute, September 10, 1946; Bevin to Bossom, September 16, 1946, FO 371/55973, TNA. “Question of Procedure for a General European Settlement,” Brief for Terminal, draft, undated but probably July 1945, FO 371/50911, TNA. Cadogan minute, September 8, 1945, Roger Bullen, M. E. Pelly (eds.), Documents on British Policy Overseas, series 1, vol. 2 (London: HMSO, 1985), doc. no. 30. Cadogan was still the permanent under-secretary of the Foreign Office.

Notes

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16. Fourth meeting of the three foreign secretaries in Moscow, December 19, 1945, Documents on British Policy Overseas, series 1, vol. 2, doc. no. 306. 17. Robert Ferrell, Harry S. Truman: A Life (London: University of Missouri Press, 1994), 237. Ferrell gives details about Truman’s reorganization of the State Department and the ousting of Stettinius and Byrnes. I am grateful to James S. Corum for drawing my attention to this book. 18. Telegram to Foreign Office, December 20, 1945, Documents on British Policy Overseas, series 1, vol. 2, doc. no. 312. 19. “Recognition of the Three Baltic Soviet Republics,” August 1, 1946, FO 371/55972, TNA. 20. Torma to Bevin, July 27, 1946; Lambert minute, July 29, 1946; Hankey to Allen (UK delegation), August 1, 1946; UK delegation circular no. 19, undated, ibid. 21. On the deteriorating of the Anglo-Soviet relations from early 1946 onwards, see Victor Rothwell, Britain and the Cold War 1941–1947 (London: Jonathan Cape, 1982), 252. 22. Herbert Feis, Churchill-Roosevelt-Stalin: The War They Waged and the Peace They Sought (Princeton: Princeton University Press, 1957), 599–600. 23. Cited by Norman A. Graebner, “Yalta, Potsdam, and Beyond: the British and American Perspectives,” in Ann Lane and Howard Temperley (eds.), The Rise and Fall of the Grand Alliance, 1941–45 (Houndmills, Basingstoke, Hampshire; New York: Macmillan, 1995), 226–54; John L. Gaddis, Strategies of Containment: A Critical Appraisal of American National Security Policy during the Cold War (New York; Oxford: Oxford University Press, 2005), 14–18; Eduard Mark, “American Foreign Policy towards Eastern Europe and the Origins of the Cold War, 1941–1946: An Alternative Interpretation,” The Journal of American History, 68 (September 1981): 313–36. 24. “Future Status of the Baltic states,” H-19a, March 10, 1944, Advisory Committee, Harley Notter files, Box 152, NA. 25. Ibid. 26. Ibid. 27. Bohlen memorandum (in reply to Hickerson), January 9, 1945, Records of Charles E. Bohlen, Box 4, RG 59, NA. 28. On the quid pro quo strategy in 1945, Gaddis, Strategies of Containment, 15–8. 29. Dean Acheson, acting secretary of state, to the US delegation at the Council of Foreign Ministers, Paris, July 27, 1946, FRUS (1946), III, 23–4. 30. Lawrence Juda, “United States’ Non-recognition of the Soviet Union’s Annexation of the Baltic States: Politics and Law,” Journal of Baltic Studies 6 (1975): 279. 31. Impressions from the conference by an experienced diplomat, Harold Nicolson, “Peacemaking at Paris: Success, Failure or Farce?” Foreign Affairs, 25 (1947): 190–203. According to Bohlen, Bevin came close to physically attacking Molotov at one of the sessions, Charles E. Bohlen, Witness to History, 1929–1969 (New York: W. W. Norton, 1973), 255. There were

210

32. 33.

34.

35.

36. 37.

38.

39.

40. 41.

Notes

doubts already in 1945 on whether peace conferences on Germany and Austria would ever be held, but Bevin seemed to have been particularly disappointed after Paris, Rothwell, Britain and the Cold War, 245, 265; Gladwyn Jebb, The Memoirs of Lord Gladwyn (London: Weidenfeld and Nicolson, 1972), 191–4. Memorandum of conversation by John H. Hilldring, May 28, 1947, Records of the Baltic states, Box 3, RG 59, NA. On the German question, Wilfried Loth, Stalins Ungeliebtes Kind: Warum Moskau die DDR Nicht Wollte (Berlin: Rowohlt, 1994); idem, Die Sowjetunion und die Deutsche Frage: Studien zur Sowjetischen Deutschlandpolitik von Stalin bis Chruschtschow (Göttingen: Vandenhoeck & Ruprech, 2007); Norman M. Naimark, Russians in Germany: A History of the Soviet Zone of Occupation, 1945–1949 (Cambridge: Belknap Press of Harvard University Press, 1995) and on the German-Baltic connection during the Cold War endgame, Kristina Spohr Readman, Germany and the Baltic Problem after the Cold War: The Development of a New Ostpolitik, 1989–2000 (London: Routledge, 2004), 22. From this analysis I have omitted the Baltic refugees in neutral Sweden, in Denmark and elsewhere, for their legal status was different from the status of the DPs in occupied Germany. William I. Hitchcock, Liberation: The Bitter Road to Freedom, Europe 1944– 1945 (London: Faber & Faber, 2009); Peter Gatrell and Nick Baron (eds.), Warlands: Population Resettlement and State Reconstruction in the Soviet-East European Borderlands, 1945–50 (Basingstoke: Palgrave Macmillan, 2009). Piirimäe, “Estonian Prisoners of War.” That the Baltic DPs were most important in keeping the Baltic question alive after the end of the war was underlined by the former Estonian envoy in Sweden, Heinrich Laretei, Eesti Välispoliitilisi Probleeme: Ettekande Järgi Peetud Stockholmis 02.06.45 (Stockholm; Uppsala: Vabariiklane, 1945), as well as by the former envoy in Finland, Aleksander Warma, Diary entry for August 9, 1945, ERA 4962–1–6. On the differences between the military and the diplomats, “Cold War in Whitehall,” Richard J. Aldrich, The Hidden Hand: Britain, America and Cold War Secret Intelligence (London: John Murray, 2002), Chapter 2; Martin H. Folly, Churchill, Whitehall and the Soviet Union, 1940–45 (New York: St Martin’s Press, 2000), 103. Marta Dyczok, The Grand Alliance and the Ukrainian Refugees (Basingstoke: Palgrave Macmillan, 2000). Older, perhaps polemical but still useful monographs include Nikolai Tolstoy, The Secret Betrayal (New York: Charles Scribner’s Sons, 1977); Nicholas Bethell, The Last Secret: Forcible Repatriation to Russia, 1944–7 (London: Andre Deutsch, 1974); Mark R. Elliott, Pawns of Yalta: Soviet Refugees and America’s Role in their Repatriation (Urbana; London: University of Illinois Press, 1982). FRUS (1945), Conference at Yalta and Malta, 985–87. In September 1944 the British War Cabinet had adopted Eden’s suggestion that all Soviet prisoners be repatriated “irrespective of whether the men wish to return or not,” Tolstoy, The Secret Betrayal, 129.

Notes

211

42. Ibid., 135–36; Crew to secretary of state, February 7, 1945, FRUS (1945), Conferences at Malta and Yalta, 697. 43. Whitehall News, March 2, 1946. 44. Dyczok, The Ukrainian Refugees, 46–47. 45. Whitehall News, March 2, 1946. 46. Tomas Balkelis, “Living in the Displaced Persons Camp: Lithuanian War Refugees in the West, 1944–54,” in Gatrell and Baron (eds.), Warlands, 25–47. 47. Foreign Secretaries meeting, August 1, 1945, United Kingdom delegation records, FO 934/4, TNA. 48. Minutes by Brimelow, Cadogan and Bevin, September 8, 1945, Documents on British Policy Overseas, series 1, vol. 2, doc. no. 30. 49. Recognition of incorporation into Soviet Union of territory annexed since 1939, United Kingdom delegation to the Council of Foreign Ministers, circular no. 19, FO 371/47995, TNA; Repatriation of Soviet Citizens, brief for United Kingdom delegation to the Council of Foreign Ministers, no later than September 12, 1945, Documents on British Policy Overseas, series 1, vol. 2, doc. no. 47. 50. Record by Warner of a conversation with Mr. Thompson, September 14, 1945, Documents on British Policy Overseas, series 1, vol. 2, doc. no. 51. 51. Indrek Jürjo, Pagulus ja Nõukogude Eesti: Vaateid KGB, EKP ja VEKSA Arhiividokumentide Põhjal (Tallinn: Umara, 1996). 52. Brief for United Kingdom delegation to Council of Foreign Ministers, September 24, 1945, Documents on British Policy Overseas, series 1, vol. 2, doc. no. 117. 53. Dyczok, The Ukrainian Refugees, 51. General Eisenhower suspended the use of force in repatriation on September 4, 1945, overstepping his authority; General Montgomery did the same in the British zone two months later, Elliott, Pawns of Yalta, 92. 54. Political division of the Control Commission for Germany to the refugee department of the Foreign Office, March 20, 1947, FO 371/65753, TNA; “Relief of Displaced Persons Who Are Nationals of the Baltic states,” Hooker to Durbrow, July 5, 1945, Decimal File 1945–49, 860N.48/7–545, RG 59, NA. See also Dyczok, The Ukrainian Refugees, 132–33. 55. I am grateful to James S. Corum for drawing my attention to factors other than political. 56. Ibid., 121. On the situation in the British zone for Baltic DPs, see Zarine (Latvian legation) to Hankey (FO), July 3, 1946, FO 371/55974, TNA. 57. Foreign Office to the political adviser of the commander-in-chief in Germany, February 5, 1946, Ibid. 58. Plechavičius had been instrumental in the military coup of 1926, which had established the authoritarian regime of Antanas Smetona; in 1944 in German-occupied Lithuania he had organized volunteer units to fight the Red Army and the Polish Armia Krajowa, Zenonas Ivinskis, “Lithuania during the War: Resistance against the Soviet and the Nazi Occupants,” in V. Stanley Vardys (ed.), Lithuania under the Soviets: Portrait of a Nation (New York: Praeger Publishers, 1965), 84.

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59. Captain Bowlby to Bromly (FO), May 9, 1946, FO 371/55976, TNA. The part of the FO document, which presumably entails details on Plechavičius’ contacts with the intelligence people, has been shrouded (classified). 60. Minutes by Brimelow and Hankey, March 27–28, 1946; Garvey (FO) to Lt. Col. Sir G. A. Harford, May 21, 1946, FO 371/55976, TNA. Emphasis is mine. 61. See more on British intelligence in Aldridge, The Hidden Hand. It is worth noting in this context that in early 1948 the US Policy Planning Staff, directed by George F. Kennan, prepared a paper on the “Utilization of the refugees from the Soviet Union in US national interest,” PPS 22/1, March 4, 1948, Box 1, Records of the Policy Planning Staff 1947–1953, RG 59, NA. 62. August Rei was the only prewar Estonian head of state, who could escape from the USSR, and who died a natural death. Rei resided in Sweden, his trip to Britain to appear in court was arranged by Torma. 63. Atkinson to Bevin, November 23, 1945; Bevin to Atkinson, December 29, 1945, FO 371/37062, TNA. 64. Brimelow minute, December 4, 1945; Brimelow memo “The s.s. ‘Vapper’,” December 12, 1945, ibid. “We have just learned that British Government in December recognized de facto Estonian Soviet Socialist Republic as part of USSR,” Gallman to the secretary of state, March 25, 1946, Decimal File 1945–49, 860i.01/5–2546, RG 59, NA. 65. Blake to Edden, May 16, 1946, FO 371/54855, TNA. In contrast to the Foreign Office, the Ministry of War Transport was “impressed” by the judgment in the Vapper case and was therefore opposed to returning to the USSR Baltic ships found in occupied Germany. See the relevant Soviet request, A. Afanasieff (USSR representative of the Tripartite Commission) to McNeill and Dunn (US and British representatives), July 14, 1946, ibid. 66. The first case confirming Kaiv’s status was the New York Supreme Court’s ruling of 1943 in the case of Anatole Buxhoeveden vs Estonian State Bank, see McHugh and Pacy, Diplomats without a Country, 74–8. 67. The letter was dated March 26, 1948, US Congressional Records, Senate, June 1, 1948, cited in McHugh and Pacy, Diplomats without a Country, 74–8. 68. About case “Maret” and case “Signe” in William J. H. Hough, III, “The Annexation of the Baltic States and its Effect on the Development of Law Prohibiting Forcible Seizure of Territory,” New York Law School Journal of International and Comparative Law 6 (1985): 398–99; Ernst Jaakson, Eestile (Tallinn: SE & S, 1995), 104–10. 69. McHugh, Pacy, Diplomats without a Country, 96 70. Berle to the American consul general in São Paulo, June 7, 1941, B-403, Records of the Baltic States, Box 1, RG 59, NA. McHugh and Pacy write that the US government made no restrictions to the use of the money, McHugh, Pacy, Diplomats without a Country, 96. However, Baltic requests to increase their budgets were turned down repeatedly, “Baltic Budgets,” October 14, 1945; Durbrow to Dunn, December 21, 1945, Salter to

Notes

71.

72.

73.

74. 75. 76.

77.

78.

79. 80. 81. 82.

213

Reinhardt, December 16, 1948, B-403, Records of the Baltic States, Box 1, RG 59, NA. Circular Airgram, August 22, 1945, Decimal File 1944–49, 711.60N/8– 2245, RG 59, NA; Skinner to Dunn, 30 August 1945, Decimal File 1944– 49, 711.60N/8–3045, RG 59, NA. Lithuanian Bulletin, vol. 4, no. 3 (Oct. 1946); Memorandum of conversation by V. Johnson, September 17, 1948, Decimal File 1944–49, 711.60M/9– 1748, RG 59, NA. Truman’s meeting with the Lithuanians in September 1948 reminds one of Roosevelt decision to receive a Lithuanian delegation in the White House in October 1940, also before elections. Elbrick memo, February 2, 1948, Decimal File 1944–49, 860N.00/2–248, RG 59, NA; memo by the director of the office of European affairs, January 6, 1948, Decimal File 1944–49, 860M.00/1–648, RG 59, NA; Juda, “United States’ Non-recognition,” 279. Memo by Francis B. Stevens, June 17, 1948, Decimal File 1944–49, 860N.00/6–1748, RG 59, NA. Hickerson memo, February 2, 1949, Decimal File 1944–49, 711.60M/2– 249, RG 59, NA. Romuald J. Misiunas, “Sovereignty without Government: Baltic Diplomatic and Consular Representation, 1940–1990,” in Yossi Shain (ed.), Governments-in-Exile in Contemporary World Politics (New York; London: Routledge, 1991), 134–44; Paul Goble, “The Politics of a Principle: US Non-Recognition Policy before, during and after the Recovery of Baltic Independence,” in John Hiden, Vahur Made and David J. Smith, The Baltic Question during the Cold War (London: Routledge, 2008), 45–55. Republican Party platform and Eisenhower’s speech, quoted in Juda, “United States’ Non-Recognition,” 280. I have excluded the rollback strategy and intelligence activities in the Baltic states from this short account. On the financial problems, Torma to Collier, January 21, 1941; memo by Collier, January 21, 1941, FO 371/29260. Collier supported the unfreezing of the blocked Estonian funds, but this was at the time when Britain and the USSR had not yet become allies. The attitudes became more hostile later on, when Collier had left, see Warner minute, August 18, 1941, Ibid.; Torma to Warner, December 8, 1943, Frazer to Clutton, May 6, 1943, Dew (FO) to Rendell (Treasury), June 2, 1943, FO 371/36775, TNA. For example minute by Law, August 28, 1941, FO 371/29260, TNA. Minute of Sir Eric Beckett, legal adviser, on June 6, 1950; Beckett minute, November 19, 1950, FO 371/86215, TNA. Strang minute, July 10, 1950; A. H. Campbell minute, July 17, 1950; H. McErlean memo, October 10, 1950, Ibid. Minute by Bateman, June 1, 1950, quoted in McHugh and Pacy, Diplomats without a Country, 102. Sir Andrew Noble, under-secretary of the Foreign Office, noted that “the Americans are in a rather emotional frame of mind and, if our action was noted, it might arouse some misplaced criticism,” Noble minute, July 29, 1950, FO 371/86215, TNA.

214

Notes

83. Northern Department to the British Embassy in Washington, August 22, 1950, Ibid. Harrison noted that the Americans “seem to be lavishing dollars” on the Latvians in Washington, Harrison minute, October 26, 1950, Ibid. The final decision was that the Baltic ministers should be retained in the diplomatic list and the Sheriff ’s list (listing foreign personnel with immunity), but they had to be extracted an undertaking not to appeal to immunity in court, Beckett minute, November 10, 1950; “Discussion in Strang’s Room,” November 21, 1950, ibid.

Conclusion and Epilogue 1. Paul A. Goble, “The Politics of a Principle: US Non-Recognition Policy Before, During and After the Recovery of Baltic Independence,” in John Hiden, Vahur Made, David J. Smith (eds.), The Baltic Question during the Cold War (London: Routledge, 2008), 45–55. 2. Foreign Minister Andrei Gromyko convinced General Secretary Leonid Brezhnev that no one would come to tell Moscow what human rights meant in the USSR, Anatolii F. Dobrynin, In Confidence: Moscow’s Ambassador to America’s six Cold War Presidents, 1962–1986 (New York: Times Books, 1995), 345–6. 3. Molotov said this on August 15, 1975, Albert Resis (ed.), Molotov Remembers: Inside Kremlin Politics: Conversations with Felix Chuev (Chicago: Ivan R. Dee: 1993), 49. 4. Ibid., 45. 5. This is a deliberate simplification of a complex processes, analyzed for example in Daniel C. Thomas, The Helsinki Effect: International Norms, Human Rights, and the Demise of Communism (Princeton, NJ: Princeton University Press, 2001). 6. Kristina Spohr Readman, “Between Political Rhetoric and Realpolitik Calculation: Western Diplomacy and the Baltic Independence Struggle in the Cold War Endgame,” in John Hiden, Vahur Made, and David J. Smith (eds.), The Baltic Question during the Cold War (London: Routledge, 2008), 156–88. 7. This thinking was implicit in the “Chicken Kiev Speech” of President Bush, which warned against “suicidal nationalism,” George H. W. Bush, at a session of the Supreme Soviet of Ukraine, August 1, 1991, http://en.wikisource. org/wiki/Chicken_Kiev_speech (last accessed: April 30, 2009). This was also the judgment of Margaret Thatcher, the British prime minister, who told Bush that she had “decided not to pursue [the Baltics] at the moment because it would undermine Gorbachev’s larger efforts,” cited in Spohr Readman, “Between Political Rhetoric and Realpolitik,” 163. 8. Vladislav Zubok, Constantine Pleshakov, Inside the Kremlin’s Cold War: From Stalin to Krushchev (Cambridge, MS.: Harvard University Press, 1997). 9. This interpretation is based on Vladislav M. Zubok, A Failed Empire: the Soviet Union in the Cold War from Stalin to Gorbachev (Chapel Hill: University of North Carolina Press, 2007), 303–35.

Notes

215

10. Mikhail Gorbachev, Perestroika: New Thinking for our Country and the World ((New York: Harper & Row, 1987), 118; Ronald Grigor Suny, The Revenge of the Past: Nationalism, Revolution, and the Collapse of the Soviet Union (Stanford, CA: Stanford University Press, 1993), 143. While on a visit to Latvia Gorbachev spoke of the Russian “warrior-liberator”, who had through centuries protected the Baltic “farmer-fisherman” from foreign conquerors, Gorbachev’s speech at a meeting with the Latvian Party aktiv, Rahva Hääl, February 21, 1987; he also glorified Peter I, Kristian Gerner, Stefan Hedlund, The Baltic States and the End of the Soviet Empire (London: Routledge, 1993), 62. 11. “Putin Address to Nation,” April 25, 2005, http://news.bbc.co.uk/1/hi /world/europe/4481455.stm (last accessed: January 18, 2014).

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Index Advisory Committee on Post-War Foreign Policy, 5, 104, 107–8, 142 discusses the Baltic question, 81–5, 159 Allied War Crimes Commission, 4, 122, 124, 126–7 Allies Baltic expectations of breaking up, 138 and the Baltic question after the war, 147 and Finland, 45 military occupation of Germany, 145–6 military strategy, 43, 61, 108 Paris Peace Conference (1946), 144–5 Polish military contribution, 22 Polish position within, 100 and the Polish-Soviet frontier, 109 post-Teheran relations, 126 and recognition of 16 Soviet republics, 121 and Soviet espionage, 64 and Soviet negotiating tacts, 65 and Stalin’s frontier demands, 76–7 Stalin’s position of aloofness, 110 See also Teheran Conference; Yalta Conference Anglo-Baltic Society, 139 Annexation, of the Baltic states by the USSR, 2, 4–5, 13, 16, 20, 40, 43, 45, 47, 50, 67, 77, 104, 121–4, 128, 139, 142–5, 148

Baltic protests against, 22 British nonrecognition, 22, 27–9 camouflaged as spontaneous revolution, 11–12 illegality of, 150, 152 no reactions by the British people, 19 and nonrecognition during the Cold War, 157, 160–1 US nonrecognition, 37–40 Antheil, Henry W. (1912–1940), 16 anti-appeasers, 25 and Stafford Cripps, 23 Appeasement American perceptions of the British, 53 Bohlen comments, 144 Democratic Party criticized, 142 Eden’s policy toward the USSR, 47, 66 Foreign Office and the Baltic ministers, 156 Roosevelt suspected of, 40 State Department fears accusations, 127 See also anti-appeasers Armistice and Post-War Committee (UK), 132 Armstrong, Hamilton Fish (1893–1973), 5, 82–3 Atkinson, Justice and the Vapper case, 151–2 Atlantic Charter, 62, 69–70, 77, 101, 112 anniversary in 1942, 1 application to the Baltic states, 2, 53

238

Index

Atlantic Charter—Continued Baltic emigration clause (1942), 72, 101 basis for US post-war planning, 81–2 and British-Soviet treaty, 77 Churchill and Eden disagree on meaning (1942), 62 Churchill says Soviet claims contradict, 62 Churchill’s morning thoughts, 95 Eden fears public accusations (1944), 128 Eden reassures Stalin, 60 importance in occupied Baltic states, 53, 101 question in the British Parliament, 139 and religion, 52 Roosevelt accused of compromising, 127 Roosevelt worried about violating, 70 Roosevelt’s post-war plans, 90–1 Roosevelt’s Wilsonianism, 52 Soviet reservations, 54–5 State Department fears public accusations, 143 US ploy against British concessions, 49, 53 US public opinion, 97 and Volga Charter, 58 and Walter Lippmann, 97 Attlee, Clement (1883–1967), 23, 86, 126, 139 Australia, 62, 122 Austria, 22, 103, 149, 210 Axis Powers, 40, 43, 45, 61 balance of power in British thinking, 27 Churchill-Eden dispute, 63 and confederations in East-Central Europe, 87–8, 104 in Eden’s policy toward the USSR, 60–1 Baltic Americans, 118–19 and the Cold War, 154

Latvian Americans Lithuanian Americans “unimportant” for British Foreign Office, 120 vote for Roosevelt, 121 See also Estonian Americans Baltic Committee of Studies and Coordination, 106 Baltic diplomats, 12, 18, 53, 106, 113 agitate against the British-Soviet treaty, 69–70 and confederations, 105 helpless against Soviet propaganda, 67 lack legitimacy, 16 legal aspects of Soviet annexation, 37 and perspective on great powers, 3 position after the war, 152–3, 155–6 Stalin’ worries, 118, 123 and US support, 41 Baltic embassies, 150 bearers of state continuity, 157 US financial support, 152 Baltic federation, 99, 105–6, 159 Baltic gold Britain freezes, 27–8 British nonrecognition policy, 151 Cripps urges concession, 47 and French assets, 28 Molotov complains about, 28 Moscow tries to seize, 37, 176 and US nonreognition policy, 37–8, 177 Baltic question Britain consults the US about, 28, 31 Britain expects solution after the war, 140 and British-Soviet treaty negotiations (May 1942), 73–6 British-US desire to avoid publicity, 95, 106, 160 Churchill and Eden discuss, 128 and the Cold War, 139, 145, 150, 154, 156, 157, 160 and collapse of the Soviet empire, 161 considered “unsolvable” by the US, 41

Index

Cordell Hull regards as “complicated,” 113–14 a “dead issue,” 132, 144 Eden and Cripps discuss (March 1941), 47–8 Eden-Stalin meeting (Dec. 1941), 59–60 and Ernest Bevin, 141, 148, 151 Hickerson urges concession, 131–2 in historiography, 2–5 London Conference of Foreign Ministers (1945), 148–9 and Loy Henderson, 33 Molotov raises with Harriman, 125 obstacle for United Nations plans, 127 Paris Peace Conference (1946), 141–2, 144–5 and peace settlement, 4, 11, 15, 77, 103, 122, 128, 138, 140, 141, 144–5, 148 Polish interest in, 23 Polish-Czech confederation, 104 Roosevelt wants to handle personally, 78 Soviet “autonomy laws,” 121–4, 128, 134 Soviet failure to raise after the war, 147 in Soviet propaganda, 93–4 Stalin’s thinking in 1945, 135 taboo in Britain, 139 Teheran Conference (1943), 111–13 and Truman, 144 US post-war planning, 83–6 and US presidential elections, 2, 39, 112, 118–20, 125, 154 Walter Lippmann, 97 Yalta Conference (1945), 133–4 Baltic Sea, 99 Churchill proposes naval action in, 26–7 Soviet control of, 138 Baltic states accused of pro-Allied sympathies, 7, 10

239

and the Battle of Kursk, 100 Beneš accepts as Soviet territory, 106 comments by A. J. P. Taylor, 96 comments by Cripps, 24 considered Russian hinterland, 84 continuity in international law, 139 Declaration of 1934, 105 disagreement over Baltic Union, 105 and Edena-Roosevelt meeting (March 1943), 103–4 expectations of a third world war, 138 possess little value for the US, 33 and relations with Poland, 98 regain independence, 161 and the Riga Group, 3, 32, 35, 159 soldiers in German army, 146 Sovietization after 1944, 137 time of bases, 9–10 value as bargaining chips, 49, 104, 111, 131, 142, 144, 160 the Vapper case, 151–2 viability questioned by experts, 21, 84–5 See also Baltic diplomats; Baltic embassies; Baltic question; DPs Baltic Union See Baltic federation Bank of England, 27 Barbarossa, military operation, 43, 48–9 seen as short respite by the West, 44 Barrington-Ward, Robin (1891–1948), 21, 102 Battle of Britain (1940), 23, 44 Battle of Dunkirk (1940), 11 Battle of Kharkov (1942), 74 Battle of Kursk (1943), 100, 110, 194 Battle of Moscow (1941), 44 Battle of Narva (1944), 116–17 Battle of Stalingrad (1942–43), 94 Belarus, 45, 112, 122–5, 134, 142, 147, 203 minority in Poland, 55, 106

240

Index

Beneš, Edvard (1884–1948), 195 and the British Ministry of Information, 106 informant of Stalin, 100 intermediary between Roosevelt and Stalin, 111–12 Polish-Czech confederation, 87, 104–6 regards the Baltic states as Soviet territory, 106 Stalin’s comments, 106 Bergman, August, 13 Beria, Lavrentii (1899–1953), 7, 178, 199 Beria, Sergo (1924–2000), 168 Berle, Adolf A. (1895–1971), 15, 54, 69–70, 92, 99, 105, 158, 187, 191 considers Beneš a “field agent,” 100 initiates the Atlantic Charter, 53 sceptical of the UN, 129 views British-Soviet treaty as a “Baltic Munich,” 72 Bess, Demaree, 127 Bessarabia, 8, 19, 59, 71, 88, 94, 98, 112, 148, 193 Bevin, Ernest (1881–1951), 139, 140–1, 148, 151 Big Three See Allies Bīlmanis, Alfrēds (1887–1948), 16, 37, 105 Bogomolov, Alexander (1900–1969), 106 Bohlen, Charles E. (1904–1974), 5, 113, 132, 142–4, 159, 191, 209 expects Soviet-German separate peace, 111 experience in the Baltic states, 3, 174 borders (Polish-Soviet) Britain safeguards Polish position, 73 British de facto recognition (1945), 148 British discussions (1944), 125–6 British-Soviet treaty negotiations, 69, 73–6

Moscow Foreign Ministers Conference (1943), 109 Polish objectives, 23 Polish-Soviet border treaty (1945), 148 and post-war settlement, 109 Roosevelt concedes, 112 Soviet-Polish agreement (July 1941), 46 Stalin supports the Curzon Line, 59 See also borders; Poland borders Britain wants to avoid discussing (1941), 27 Churchill endorses Soviet 1941 borders, 95 Churchill wants to settle at peace conference, 62 discussion discouraged by Britain and the US, 95, 119–20 Finnish objectives, 45 and Helsinki Final Act (1975), 149, 160–1 radical changes expected, 92 restoration of European borders uncertain, 97 Roosevelt accepts Soviet 1941 borders, 70–1 Soviet objectives (Dec. 1941), 59 in Soviet propaganda, 93–4 Stalin fears losing the 1941 borders, 64 Stalin wants to decide by force, 75 US noncommittal, 41, 98 and US State Department, 143 See also Annexation; Baltic question; Baltic states Bossom, Alfred (1881–1965), 139–40 Bowman, Isaiah (1878–1950), 81–3, 129 Brest-Litovsk, 96, 105 Briand, Aristide (1862–1932), 14 Brimelow, Thomas (1915–1995), 140, 148 British Empire, 43, 63, 96, 102, 107, 122 and the Atlantic Charter, 54 compared with the USSR, 133 Roosevelt compares with the USSR, 134

Index

British-Soviet Treaty of Mutual Assistance (May 1942) and censorship, 95 in historiography, 2, 78 impact, 76–7 negotiations, 73–6 Brown, Constantine, 94, 97 Bukovina, 90, 117, 131 Bulgaria, 19, 59, 71, 88, 98, 112, 148, 186 Bullitt, William C. (1891–1967), 34, 128, 205 Byrnes, James F. (1882–1972, 141–2, 209 Cadogan, Alexander (1884–1968), 20, 29, 48, 59, 66, 100, 130, 141 and the British-Soviet treaty, 75, 185, 188, 197 suggests recognizing annexation, 148 Cairncross, John (1913–1995), 66 Canada, 122, 133 Carr, E. H. (1892–1982), 87 criticism of small states, 89–90 supports Soviet influence in Europe, 96 Times leader of July 1940, 21, 89 Casablanca Conference (Jan. 1943), 110 Catharine, military operation, 26 Catholic Church influence on US foreign policy, 78, 118, 189 Cazalet, Victor A. (1896–1943), 73 censorship, 101, 94 in Britain, 95–6 Chamberlain, Neville (1869–1940), 19, 23, 25–6, 31, 47 refusal to concede the Baltic states, 48, 65 Chatham House, 5, 86 Chechnya, 161 Chernov, Viktor (1873–1952), 16 China, 1, 53, 109, 177

241

Churchill, Winston (1874–1965), 23, 71, 78, 87, 91, 103, 107, 110, 112, 122, 129 and the 16 Soviet republics, 123, 127–8, 134 against conceding the Baltic states, 61–3 and Katyn, 100 anti-appeaser, 25–6 and the Atlantic Charter, 1, 49, 52–4, 101 becomes Prime Minister, 19 doubts about appeasement of the USSR, 48, 102 fears bloody war with the USSR, 126 first letter to Stalin, 24 leads public opinion, 23 leaves territorial questions for peace conference, 2, 58 morning thoughts (1943), 95 political crisis after fall of Singapore, 63 predicts Soviet defeat, 57 and Soviet influence in the Baltic, 47 supports the USSR in June 1941, 44, 49–50 Washington Conference (Dec. 1941–Jan. 1942), 61 worried about the “bear,” 102 Ciechanowski, Jan (1887–1973), 104, 113–14, 182, 195, 200 Cold War, 145, 157, 160 and Baltic DPs, 150 endgame, 161 expected by Pusta, 119 intelligence activities, 150 and the status of Baltic diplomats, 154–6 welcomed by Baltic peoples, 139 Collier, Laurence (1890–1976), 20–1, 27, 47, 49, 50, 180, 213 Colonialism and Churchill, 54 Roosevelt-Churchill disagreement, 1–2 See also British Empire

242

Index

Colville, John (1915–1987), 20 Comintern (Communist International), 9, 88 Communism, 11, 45, 51, 83–5, 95, 137–9 attraction in Britain, 95 and Churchill, 49, 62, 126 not considered a threat, 97, 102 a “pagan tyranny,” 107 Communists, 33, 76, 118, 99, 102, 159 in the Baltic states, 10, 12, 116 in Britain, 23 Stalin says there are no communists outside Russia, 12 in the US, 34, 118 confederations, 3, 73, 87–8 and the Baltic states, 88, 104–5 and the British Foreign Office, 106–7 defeated at the Moscow Conference (1943), 104, 108–9 Polish-Czech differences, 105–6 and the US, 107–9 cordon sanitaire, 96, 107 Soviet sphere of influence, 109 Council of Foreign Relations, 15, 81 cresy, 99–100 Cripps, Stafford (1889–1952), 11, 57–8, 61, 70, 187–8 argues for recognizing Soviet annexation dejure, 27, 47 backgroud, 23 considers Foreign Office biased against the USSR, 24 decision to send to the USSR, 23, 172 interview with Stalin (1940), 24–5 rumors of succeeding Churchill, 63 urges assistance to the USSR, 57 Curzon Line, 59, 69, 74, 87, 99–100, 109, 112, 124–5, 147, 205 See also Molotov-Ribbentrop line Czechoslovakia, 22, 53, 88, 104–6, 123 and the Atlantic Charter, 55 Czech model, 102 Daladier, Édouard (1884–1970), 114 Dalton, Hugh (1887–1962), 20, 28, 172

Dardanelles, 58, 66 Davies, Joseph E. (1876–1958), 34, 51 Davis, Forrest, 90 Day, Donald S. (1895–1966), 33, 175 Declaration of Liberated Europe, 131, 138 Dekanozov, Vladimir (1898–1953), 7, 138 Democratic Party (US), 2 Denmark, 77, 90, 138, 146 Department of State, 15, 35, 45, 81, 92, 95, 99, 103, 105–6, 108, 114, 119, 129 annexation of the Baltic states, 36–8, 41, 112, 142–3, 148 Atlantic Charter and the Baltic states, 52–3 and Baltic diplomats, 152 Baltic question and US values, 127, 143 and the British-Soviet treaty, 72 excluded from decision-making, 72, 79 growing interest in the Baltic states, 153–4 and recognition of the USSR, 34 Roosevelt thinks unable to handle Stalin, 78, 111 and Roosevelt’s secret diplomacy, 114 and Soviet deportations, 67, 100 and Soviet policies in East-Central Europe, 131 suspicions toward the Soviet Union, 51, 53 deportations, Soviet, 16–17, 45, 47, 67–8, 128, 170 Dew, Armine, 46, 57–8, 96 dictators, 34, 52, 58, 66, 129 Dimitrov, Georgii (1882–1949), 8–10 diplomatic immunity, 27, 155–6, 214 diplomatic privileges, 77, 170 displaced persons (DPs) and policy of nonrecognition, 145–6 situation worsens, 149 and UNRRA’s policy of repatriation, 147

Index

Dominions and the international status of the Soviet republics, 122–3, 126–7, 132–4 Drummond, Eric (1876–1951), 13 Dumbarton Oaks Conference (Aug.–Oct. 1944), 127, 129–31 Dunn, James C. (1890–1979), 114 Durbrow, Elbridge (1903–1997), 127–8, 142 East Prussia, 7, 9, 74, 98–9 East-Central Europe, 3, 44, 51, 53, 85–104, 107–9, 120, 127, 129, 131–2, 158–9, 187, 199, 206 Eden, Anthony, 1, 19, 45, 53, 68–9, 77, 79–80, 86, 91, 95, 100, 104, 106, 121, 124, 127–9, 132, 139, 183 anti-appeaser, 25 becomes Foreign Secretary (1940), 29 British-Soviet treaty negotiations, 73–6 considers Roosevelt naive, 103 growing suspicion of the USSR, 126 impatient at Churchill, 57 meets Roosevelt (March 1943), 101–3 mission to Moscow (Dec. 1941), 44, 58–60, 88, 183–4 Moscow Foreign Ministers Conference (1943), 108–10 policy toward the USSR, 47, 60–2, 66 and the Soviet-Polish dispute, 46, 50, 109, 126 successor to Churchill, 63 visits Moscow in 1935, 59 wants to sacrifice the Baltic states, 48, 70, 157–8 weak in negotiations, 63–5, 110, 184 See also Churchill; Foreign Office, War Cabinet; Great Britain Eisenhower, Dwight D. (1890–1969), 154, 211

243

elections, of the Soviet type in the Baltic states, 12, 16, 18, 22, 37–8, 73, 103–4, 111, 112–13, 143, 191, 193 Eden condones, 62 émigrés See exile communities Empire See Colonialism, British empire, Soviet Union England See Great Britain Estonia, 8, 10–11, 20–1, 24, 32–3, 37, 45–7, 53, 55, 66–8, 70–1, 77–8, 97–101, 105, 116–17, 119–22, 124, 133, 135, 137–9, 141–2, 145–7, 149–55, 157–9, 161 avoids military conflict with the USSR, 9 and diplomacy in exile, 3, 5, 13–18 and the Foreign Delegation, 5, 13, 67, 77 legations closed after annexation, 13 model treatment of minorities, 87 and Soviet ultimatum of 1940, 7 unrecognized government in exile, 13 Estonian Americans, 112 exile communities, 156 Balts support FDR, 101 Estonians abroad, 13, 18, 151 in Soviet propaganda, 118–19 Lithuanians and Vilnius, 105 faits accomplis and Soviet policies, 100, 114, 138, 143 Fall Gelb, 19 Faymonville, Philip R. (1888–1962), 51 FBI, 17, 118 FDR See Roosevelt, Franklin D. financial claims, 160 British claims against the USSR, 28, 47, 141–2 Soviet debt, 34 US claims against the USSR, 37–8, 144

244

Index

Finland, 7, 8, 18, 22, 27, 35–6, 38, 53, 58–9, 71, 73, 84, 86, 97, 117, 120, 128, 130, 143, 157, 172, 176 factor in Soviet strategy, 1940, 10 menacing Allied interests, 45 See also Winter War Fitin, Pavel (1907–1971), 64 Foreign Office, 1, 5, 50, 53, 66, 67–8, 71, 86, 89, 91, 94–5, 119 and the 16 Soviet republics, 123–6, 133 against “token sacrifices,” 28 and American public opinion, 72, 120 and Baltic DPs, 146–50 and Baltic ministers after the war, 154–6 and Baltic-German collaboration, 46–7 and Britain losing great power status, 101–2 and concessions to the USSR, 102 confederations in East-Central Europe, 88, 104, 106–8 and the diplomatic list, 77–8, 155 expects Sovietization of the Baltic states, 20–1 favors concession on the Baltic states, 43, 47–8, 57, 61, 157 London Conference of Foreign Ministers, 148 Moscow Conference of Foreign Ministers (1945), 141–2 possible recognition of Soviet annexation (1946), 148–9 postwar status of the Baltic states, 140, 151–2 regards Soviet ambitions as modest, 96 and Soviet annexation, 22, 24, 27 and Soviet war aims, 58 See also Churchill Winston S.; Great Britain; War Cabinet Foreign Research and Press Service, 86–9 Fortune, 52

France, 10, 22–3, 25, 52, 59–60, 90, 114, 128, 132, 146 in British strategy, 19 bulwark against the USSR, 102 collapse of France in Soviet strategy, 8, 11 “Russia is not France,” 94 Vichy France, 14, 28 Free Europe, 98 Gallienne, Wilfred H. (1897–1956), 11, 24 considers Estonians a “fine race,” 21 geopolitics, 91, 159 Germany, 7–11, 19–20, 22–8, 32–4, 40, 47, 50, 59–60, 64, 67, 88–9, 92, 94, 100–5, 107, 110, 116–17, 137, 157 Allied disagreement and the Cold War, 145 Federal Republic of Germany, 145 German Democratic Republic, 145 German-Soviet war, 43–6, 48–50, 57 refugees, 145–9 and peace treaty, 4, 144–5 See also Hitler Globalism, 108 See also Universalism Good Neighbor policy, 103 Gorbachev, Mikhail (b. 1931), 161 governments in exile Baltic prospects of establishing, 13, 17, 67, 157 the Czechs, 104–6 Norway, 49 Poland, 22–3, 46, 55, 68–70, 73, 99–100, 121, 124, 186, 205 See also Poland Great Britain, 1, 4, 22–4, 40, 47, 50, 53, 59–61, 63–4, 69, 71–8, 86, 89, 119, 121–5, 128, 130, 133–4, 144, 146, 150–2, 157–60 and the Cold War, 150 collapse of France, 19 declares war on Finland, 45

Index

defence treaty with Poland (1939), 73 depends on US assistance, 31 Home Intelligence Reports on Opinion and Morale, 19, 23 Joint Intelligence Committee, 94 losing great power status, 101–2 military suspicious of the USSR, 102 negotiations with the USSR (1939), 25–6, 65 Paris Peace Conference (1946), 141–2, 145 partnership with the USSR, 43–4 perceived as champion of small states, 101 policy of tacit agreements, 77 popular enthusiasm for the USSR, 94–6 proposal against spheres of influence (1943), 108–9 regards Baltic nationals as stateless, 147 relations with the USSR, 57–8, 150 silence on the Baltic question, 139–40 See also Churchill, Winston S., War Cabinet; Foreign Office great powers, 3, 107, 141, 159–60 and Roosevelt, 91, 103 and the United Nations, 129, 133 Greece, 132 Gromyko, Andrei (1909–1989), 130–1, 202, 214 Gross, Ernest A. (1906–1999), 152 Gulf of Finland in Soviet strategy, 9 Gusev, Fyodor (1905–1987), 122 Habsburg dynasty, 87 Halifax, Viscount (1881–1959), 19–20, 23–5, 47, 49, 53, 70, 78–9, 98 recommends de facto recognition of annexation, 28–9 regards Soviet annexation as “fraudulent,” 22 Hankey, Robert (1905–1996), 66, 140, 150

245

Harper, Samuel N. (1891–1943), 72 Harriman, Averell W. (1891–1986), 5, 111, 118–19, 121, 124–5 Harvey, Oliver (1893–1968), 20, 57, 59, 63, 94, 184 Helsinki Final Act (1975), 149, 160–1 Henderson, Loy W., 3, 5, 15, 35, 40–1, 46, 50, 69, 72, 105, 159 experience of the pre-war Baltic states, 33 sent away from Washington, 72 and US nonrecognition of Soviet annexation, 36–8 Herald Tribune, 97, 120 Hess, Rudolf (1894–1987), 44 Hickerson, John D. (1898–1989), 5, 131–2, 142–4, 154 Hitler, 8, 11, 19–20, 29, 35–6, 52, 62, 64, 94, 111, 117, 160, 168, 194 expected to expel the USSR from the Baltic states, 22 and operation Barbarossa, 44–5 See also Germany Holland, 21, 55, 59 Hopkins, Harry L. (1890–1946), 51, 53–4, 80 House of Commons, 139, 156 Hull, Cordell (1871–1955), 35–6, 38–9, 72, 78, 119–20, 127, 158, 176, 200 isolated by Roosevelt, 79 and Moscow Foreign Ministers Conference (1943), 108–9, 111, 113–14 ousts Welles, 107–8 supports Molotov on Poland, 110 suspects the British of power politics, 109 Hungary, 88, 103, 116 ideology perceived as being the keynote of US foreign policy, 70 and Soviet foreign policy, 110, 143 See also Communism

246

Index

imperialism deplored by Cripps, 23 Poland accused of, 96 and Russia, 191 incorporation See Annexation India, 1 and the Baltic question, 63, 160, 141–2 and the Soviet republics, 122, 132–4 integration, international, 3, 90 intelligence activities, 20, 43, 46, 51, 95, 138, 185 and Baltic refugees, 150, 212 Peter Smollet, 106, 125 Stalin spying on the Allies, 64–6, 73 US embassy in Riga, 32–3 international law, 17 negotiorum gestor, 152 and Soviet annexation of the Baltic states, 38 and state continuity, 46, 150–2, 156–7 and threat of force, 37, 177 Ireland, 107, 131, 195 Ironside, Edmund (1880–1959), 20 isolationism, US policy of, 41, 102 Italy, 13, 17, 64, 88 Iudenitch, Nikolai General (1862–1933), 33 Izvestija, 90, 118 Jaakson, Ernst (1905–1998), 13, 153, 157 Japan, 35, 39, 43, 61, 81, 131–2, 142, 177 Jebb, Gladwyn (1900–1996), 1, 91, 101–2, 107, 131, 193 Jöffert, Richard, 13 Johnston, Eric A. (1896–1963), 117 Kaiv, Johannes (1897–1965), 16, 18, 45–6 background, 13–14 and Estonian ships, 152–3 and Pusta, 15

Kaleva, 16 Katyn, 100, 168, 196 and Baltic diplomats, 100 Politburo decision of 1940, 31 Keeton, George W., 88 Kelley, Robert F. (1894–1976), 32 Kennan, George F. (1904–2005), 3, 72 and association with the USSR, 50–1, 180 and the Baltic countries, 32–3, 159 See also Riga group Kerr, Archibald Clark (1882–1951), 118, 123–6, 204 Khrushchev, Nikita (1894–1971) and the Molotov-Ribbentrop Pact, 8 Klesment, Johannes (1896–1967), 77 Koudenhove-Kalergi, Count (1894–1972), 105 Krėvė-Mickevičius, Vincas (1882–1954), 11 Krupavičius, Mykolas (1885–1970), 154 Labour Party, 23, 49, 63 LaGuardia, Fiorello H. (1882–1947), 149 Laretei, Heinrich (1892–1973), 13, 18, 67 Latin America, 78, 130, 149, 152 Lattik, Jaan (1878–1967), 13 Latvia, 7–12, 16–17, 20, 32–3, 37, 45, 68, 89, 98–9, 105, 119, 124, 154, 156, 161 Latvian Americans, 112, 120 See also Baltic question; Baltic states League of Nations, 59, 87, 103, 107, 127, 130 lend-lease, 83, 128, 180 Leningrad, 45, 116, 138 considered important for Soviet security, 62, 96 See also St. Petersburg Lippmann, Walter (1889–1974), 97, 120 Lithuania, 2, 9–12, 16–17, 20, 36, 45, 122, 133–5, 138, 150, 156–61 Polish interest in, 68–9, 73, 98–9, 104

Index

and the Soviet ultimatum (1940), 7–8, 25 and the Vilnius question, 23, 105 See also Baltic question; Baltic states Lithuanian Americans, 38, 101, 112, 118–20, 154 Litvinov, Maxim (1976–1951), 34, 71–2, 75, 78–80, 117, 124, 158, 194 London Conference of Foreign Ministers (1945), 148–9 Lothian, Lord (Philip Kerr, 1882–1940), 31–2 Lozoraitis, Stasys (1924–1994), 17 Luftwaffe, 19 Lvov, 98 MacKillop, Douglas, 21 Maclean, Donald D. (1913–1983), 66 Maclean, Fitzroy (1911–1996), 21 MacMurray, John V. A. (1881–1960), 84–5 Maiskii, Ivan (1884–1975), 26, 29, 44, 48, 50, 54, 59, 73, 77, 124, 137, 188 Malkin, William H. (1883–1945), 49, 125–6 Manchester Guardian, 96 McCormick, Anne (1880–1954), 84, 93, 97 Merkys, Antanas (1887–1955), 8, 16, 170 military attachés, 7, 51 military bases, 18, 20–1, 59, 61, 88, 143 and Eden-Stalin meeting (Dec. 1941), 59 in Soviet strategy, 9–10 Ministry of Information (UK), 19, 96–7, 106, 125 minorities, 20, 55, 87, 127, 133 Moffat, Jay Pierrepont (1896–1943), 35 Molotov, Viacheslav (1890–1986), 5, 8, 44, 59, 80, 91, 103, 119 and Baltic gold, 28 Baltic question and, 40 considers Baltic neutrality a threat, 9 diplomacy of the Soviet republics, 121, 124–5, 134

247

expecting revolutions in Europe, 11 Helsinki agreements, 160–1 London Foreign Ministers Conference (1945), 149 meets Cripps in 1940, 25 mission to London (May 1942), 12, 66, 74–6, 128 Moscow Foreign Ministers Conference (1943), 109–10 Moscow Foreign Ministers Conference (1945), 141–2 persuades Cripps of Soviet good intentions, 24 and the second front demand, 65, 76 speeches to Supreme Soviet, 8, 10 supports “independent” Poland, 110 ultimatum to Lithuania, 7 Yalta Conference (1945), 134 Molotov-Ribbentrop line, 100, 122 See also Curzon line Molotov-Ribbentrop Pact, 8, 20, 25–6, 32, 59, 64, 76, 94 Mongolia model for autonomy, 137, 169 Monroe Doctrine, Soviet, 9 morality, in international affairs, 2, 63, 68 and British reaction to Soviet annexation, 22, 27 and United States, 72, 111, 153 Moran, Lord (Charles McMoran Wilson, 1882–1977), 61 Morgenthau, Henry (1891–1967), 35 Moscow Foreign Ministers Conference (1943), 108–10 Munich agreements, 109, 114 British-Soviet treaty compared with, 72 Munters, Wilhelms (1898–1967), 9 Nationalism, 3, 4, 83–4, 87 “bourgeois nationalism,” 137 nationalizations, 28, 151, 160 recognized as illegal by the US, 152 See also Baltic gold; financial claims

248

Index

Nazis see Germany neutrality, 9, 17, 20, 36, 73, 90, 105 New Statesman, 96 New York Times, 84, 93, 95, 97 NKVD, 12–13, 16, 116, 146 foreign intelligence, 64, 66, 98, 112, 158 nomenklatura, 116 nonrecognition, of Soviet annexation of the Baltic states, 139 and Baltic diplomats, 16, 152–6 British policy of, 22–3, 27–9, 43, 47–9, 60, 62, 67, 123, 125–6, 128, 140–2, 148 difference between British and US policies, 147 and DPs, 145–7 in historiography, 4–5 and Soviet aims, 76, 115, 122, 131, 135 US policy of, 36–9, 79, 89, 111, 117, 128, 132, 143–5, 148, 152 in US–Soviet relations, 40–1 and the Vapper case in Britain, 150–2 Norem, Owen J. C. (1902–1981), 37 Northern Bukovina See Bukovina Norway, 19, 49, 90 Notter, Harley A., 5 Office of Strategic Services (OSS), 5, 15–16, 17, 20 Foreign Nationalities Branch, 99, 101, 120 Office of War Information (US), 1 O’Malley, Owen (1887–1974), 107 Orzel, 9 Ostarbeiter, 145 Paris Peace Conference (1919), 83, 122 Paris Peace conference (1946), 141–2, 144 a watershed in Allied relations, 145 Parmoor, Lord (1852–1941), 23

Pasvolsky, Leo (1893–1953), 84, 131 Päts, Konstantin (1974–1956), 8, 14, 85 deported to Russia, 17 Paulus, Friedrich (1890–1957), 93 peace settlement See postwar settlement Pearl Harbor, Japan’s attack on, 43, 61, 81, 82, 91, 92 Petsamo, 98 Piip, Ants (1884–1942), 17, 67, 179 planning See postwar planning plebiscites See elections Plechavičius, Povilas (1890–1973), 150, 211 Poland, 9, 17, 23, 25, 37, 43, 49, 53, 59, 66, 95, 98, 103, 112, 114, 118–19, 123, 126, 132, 148, 153, 158 and British-Soviet treaty negotiations, 67–70, 73–4, 76, 104–6 and the Curzon Line, 109 defence treaty with Britain (1939), 73 and guarantees against Munich, 109 interest in Lithuania, 68–9, 73, 98–9, 104 and Katyn, 100 lobby in British Parliament, 73 and the Polish-Czech confederation, 99 relations with Britain, 70 reservations concerning the Atlantic Charter, 55 Vilnius dispute, 105 Yalta Conference, 133 See also governments in exile; Katyn; Sikorski Polish Americans, 112, 118 Political Warfare Executive, 96 population cleansing Soviet practice, 10 postwar planning, 1, 4, 15, 53, 57, 81–8, 90–1, 95, 101–4, 106–8, 117, 129–30

Index

postwar settlement, 63, 81–8, 101, 108–11, 122, 128, 132, 138–41, 144–5, 148, 150, 159 Potsdam Conference (Jul. 1945), 140, 145 and repatriation of Soviet citizens, 147 Pravda, 10, 93–4, 96 Preston, Thomas, 21, 24 prisoners of war, 10–11, 33, 132, 146 propaganda, 10 and the Atlantic Charter, 1–2, 55, 86, 101 Baltic propaganda 1939–40, 18, 20 and the second front, 111 Soviet propaganda in the West, 67, 96–7, 118–19, 126 Stalin teaches Roosevelt, 113 public opinion, 12, 23, 75, 118, 121, 132 after Stalingrad, 94–5 in Britain on the Atlantic Charter, 1 British concerns about American, 28, 72, 120, 156 Churchill and, 2 and Finland, 22 Roosevelt and, 2, 31, 35, 71, 78, 91, 104 Roosevelt fears losing over the Baltic states, 103, 112–13, 160 in the US in 1946, 153 and the Winter War, 35–6 Publicity See Propaganda Pusta, Kaarel Robert (1883–1964), 5, 69, 78, 128–9, 139, 179, 186 and Baltic Union, 105 and the Battle of Kursk, 100, 119 career in independent Estonia, 14 and Moscow and Teheran conferences, 113–14 and Polish campaign in the US, 70 and the Polish-Czech confederation, 104–5 predicts falling out of the Allies, 101, 196 relations with Poland, 46, 67, 98 status in the US, 15–16

249

Quebec Conference (Aug. 1943), 80 quid pro quo, 47, 51, 64, 144 Rabinavicius, Henrikas, 20 Raczynski, Edward (1891–1993), 22–3, 68–70 Raud, Villibald (1898–1982), 18 Realism, in foreign policy, 4, 72, 97 and Beneš, 106 and Roosevelt, 41, 91, 117 Stalin’s lack of, 11 Realpolitik, 35, 68, 78, 89, 128, 144, 148, 161 Rebane, Hans (1882–1961), 13 recognition See nonrecognition Red Army, 21, 44–6, 65, 93–4, 108, 138, 158, 179, 211 and the 1942 spring campaign, 74 and occupation of the Baltic states, 11–12, 21 prepared to invade the Baltic states, 9 re-enters the Baltic states, 116–17 used as a threat against Lithuania, 7 Western reliance on, 3, 159 Red Cross, 67, 110 Red-Banner Baltic Fleet (USSR), 9, 16, 117 refugees in post-war Germany, 145–6, 149–51, 210 regionalism rejected by Hull and Roosevelt, 108 Rei, August, 13, 67, 151 repatriation, 33, 146–9, 210–11 See also DPs; refugees Republican Party, 35, 118, 142, 154 Ribbentrop, Joachim von See Molotov-Ribbentrop Pact Riga Group, 3, 23, 35, 142, 159 Roberts, Frank (1907–1998), 107, 109, 123, 126 Rockefeller Foundation, 81 Romania, 19, 59, 61, 73, 148, 153 Roosevelt, Eleanor A. (1884–1962), 72

250

Index

Roosevelt, Franklin D. (1882–1945) and 1944 elections, 118 accused of abandoning the Baltic states (1952), 154 against Regionalism, 108 against reviving all the small states, 101 agrees with Ukraine and Belarus joining the UN, 134 Atlantic Charter and Wilsonianism, 52 avoids break with the USSR (1940), 40 in Baltic perceptions, 101 and British-Soviet treaty, 70–2, 75, 78–80, 158 chooses Hull over Welles (1943), 108 concentrating on power politics (1943), 91 considered a realist by Litvinov, 117 considered to have saved the Baltic states, 2 and the “Czech model,” 102–3 decides to assist the USSR (1941), 51 deplores Britain dominating Allied relations, 78 difference from President Wilson, 104 diplomatic tactics on the Baltic question, 111 fails to support Poland, 100 and “familiy circle,” 127 follows rather than leads public opinion, 2 Four Freedoms speech, 52, 82, 90–1, 127 and the Four Policemen concept, 53, 110 gives assurances to a Lithuanian delegation, 2, 101 idealism versus Realpolitik, 78 importance of Teheran Conference, 111 and Katyn, 100 meeting with Litvinov (March 1942), 71

meeting with Stalin (Dec. 1, 1943), 112–13, 160 meets Beneš (June 1943), 111 meets Eden (March 1943), 103–4 meets Sikorski (1942), 98 moral embargo against the USSR, 35, 176 nonrecognition of territorial changes, 2 plebiscites and public opinion (1943), 104 policies continued by successor, 142 policy of informal agreements, 78, 158 in Polish perceptions, 70 political abilities, 34–5 priorities at the Yalta Conference, 131 promises second front, 76 “realistic” toward the USSR, 41 recognizes the USSR, 34 re-election supported by Moscow, 117–18 refuses to recognize Soviet annexation, 38 relaxed attitude toward Soviet claims, 70–1 relies on Davies and Hopkins as advisers (1941), 51 secrecy over MRP, 32 shows little interest in Eastern Europe, 121 supports Finland, 36 supports right to emigrate, 72 suspected of appeasement, 40 suspects the British of power politics, 109 and unconditional surrender of Germany, 110 and the USSR in postwar plans, 102 views the Baltic question as an obstacle to UN plan, 127 wants to keep the US out of the war, 31 whitewashes the Soviet regime, 51–2 wins the fourth term, 118 and Winter War, 35

Index

Roosevelt, Theodore, 53, 91 Royal Institute of International Affairs, 5, 86 Royal Navy in Churchill’s plans (1939), 26 Russia See Soviet Union Russian Civil War, 20, 168 San Francisco Conference (Apr.–June 1945), 129, 134 Sarepera, Ernst (1906–1971), 13 Sargent, Orme (1884–1962), 48, 58, 77, 80, 123, 125, 192 annexation of the Baltic states, 21 urges concession on the Baltic states, 48 Schlesinger, Rudolf, 88 Scotland, 131, 133 Scottish League of European Freedom, 129, 139 second front, 94, 100, 203 Roosevelt’s promise, 76 and Soviet diplomacy, 65, 75 in Soviet propaganda, 111 Second World War See World War II secret agreements and Britain after the war, 139 and British-Soviet treaty, 78 preferred policy since 1942, 77, 138 Roosevelt-Litvinov meeting (March 1942), 71 Roosevelt’s diplomacy at Teheran (Dec. 1943), 4, 114, 119, 160 secret protocols of the MRP, 8, 32, 59 Stalin’s offer to Eden (Dec. 1941), 59 US suspicions of Britain, 53 secret diplomacy See secret agreements Seeds, William (1882–1973), 24 self-determination, national Allied propaganda and, 1 and Atlantic Charter, 49 and the Baltic states, 53

251

championed by Estonian diplomats, 16 crisis of nationalism, 3 and Welles Declaration, 39 Selter, Karl (1898–1958), 9, 13 separate peace, 44, 50 possibility of German-Soviet, 111, 114 Seton-Watson, Hugh (1916–1984), 87 Seton-Watson, Robert W. (1879–1951), 87 Siberia and Soviet deportations, 21, 45, 112, 128, 191 Sikorski, Władysław (1881–1943) and British-Soviet treaty, 69–70 meeting with Stalin (Dec. 1941), 68–9 meets Roosevelt (Dec. 1942), 98 Polish-Czech confederation, 87, 104 vacillating on the Baltic question (1942), 68 wants a frontier deal with Stalin, 99–100 Sinclair, Archibald (1890–1970), 132 Singapore, fall of, 63, 187 small states in British policy, 22 in British postwar planning, 87, 141 E. H. Carr and, 89–90 future considered uncertain, 97 Molotov’s views, 9 and natiolism, 3 prejudices against, 84–5 Roosevelt and, 91, 102–3 Soviet policy and, 10, 65 Smetona, Antanas (1874–1944), 211 in exile, 16–17 and Soviet annexation, 7–8 Smollett, Peter (1912–1980), 106, 125 Sobolev, M., 132 Socialist League (UK), 23 Southby, Archibald (1886–1969), 139 sovereignty, 16, 18, 26, 47, 83, 85, 157 critizism of, 83, 92, 159 Soviet army See Red Army

252

Index

Soviet Union and 1941 borders, 93 admired in Britain after Stalingrad, 94 against wider autonomy of the Baltic states, 73 aims in March 1943, 110 alliance with Britain, 44 annexation of the Baltic states (1940), 8, 10–12 and Baltic DPs, 146 “big Russian international game,” 94 bilateral talks with the US (1940–41), 40, 177 breaks off relations with Poland, 100 claiming Baltic ships in the US, 152 Commissariat of Foreign Affairs, 33, 66 completes annexation of the Baltic states, 12 considered a model society, 95 considered an attractive model of federalism, 88 critized over Iran, 142 expected to conquer Finland, 22 fears of capitalist encirclement, 10 interested in de jure recognition of annexation, 115 London Conference of Foreign Ministers (1945), 148–9 military assistance crucial against Japan, 142 Molotov-Ribbentrop Pact, 8, 20, 25 Moscow Foreign Ministers Conference, 109–10 nationalizations in annexed territories, 37 negotiating tactics, 65 negotiations with Britain and France (1939), 24, 65 “new thinking” and end of empire, 161 Paris Peace Conference, 142 Potsdam Conference and DPs, 147 preparing for another war, 110 propaganda against Britain, 126 propaganda on the Baltic question, 66

re-annexation of the Baltic states, 116 relations with Britain deteriorating, 142 repatriation of Soviet citizens, 146 show trials, 8 and the sixteen Soviet republics, 115, 121–7, 130–5 strategic position after war, 138 Teheran Conference, 111–13 trying to seize Baltic gold, 37 and the Vapper case, 150–1 Vilnius dispute, 105 war aims discussed in the US, 97 See also Molotov; Stalin Soviet War News, 96 Sovietism, 101 See also Communism; Soviet Union Sovietization, 9, 12, 16, 20–2, 88, 114, 143 program renewed after 1944, 137 Spain, 23 Spectator, 96 spheres of influence British effort to prevent, 108 discussed in Britain, 107 versus integrated Europe, 107 and the Molotov-Ribbentrop Pact, 8 and policy of secret agreements, 77 in Soviet diplomacy, 44 Soviet influence in the Baltic states (1939), 33 Stalin’s formula for, 10 Stalin’s offer to Eden (Dec. 1941), 55 Spykman, Nicholas J. (1893–1943), 92, 199 St. Petersburg, 32, 151 See also Leningrad Stalin, Joseph (1878–1953), 2, 4, 78 annexation of the Baltic states, 12 agrees to Big Three summit, 110 avoids military blunders (1944), 116 change of course during negotiations with Britain (1942), 4, 71, 73–6, 158 claims 1941-frontiers publicly, 93–5

Index

comments on Beneš, 106 compared with Hitler, 36, 52 confident in the Red Army, 65 considered a pragmatic, 29, 34, 101 considered a realist by Roosevelt, 117 creates fait accomplis in relation to Poland, 100 and Declaration of Liberated Europe, 131 expects voluntary Sovietization by the Baltic states, 10 “fighting alliance,” 42 information on Western intentions, 98, 111 intelligence on British intentions, 64–6 meeting with Eden (Dec. 1941), 59–60 meeting with Roosevelt (Dec. 1, 1943), 112–13, 160 meeting with Sikorski (Dec. 1941), 69 meets Cripps (1940), 25 the Molotov-Ribbentrop Pact, 8, 20, 25 negotiations with Britain and France (1939), 65 not worried about lack of legal recognition, 76 receives American talking points for Teheran, 112 refuses to meet British generals, 58 relies on force to regain 1941-borders, 75, 77 reservations to the Atlantic Charter, 54–5 and Soviet republics, 122, 126, 135 strategic mistakes, 45 suspicious of Britain, 11, 44 unconditional surrender of Germany, 110 wants absolute veto at the UN, 130 wants re-election of Roosevelt (1944), 117–18 wants spheres-of-influence agreement with Britain, 44 wants to restore Soviet 1941-borders, 59–60, 64

253

wants to retain the 1941-border with Poland, 76, 158 warned of premature revolutions, 137 Western aid, 110 worried of “bourgeois nationalists,” 135 Yalta conference, 133–4 Standley, William H. (1872–1963), 110 status quo, 86, 159 Stalin’s desire to destroy, 8 Steinhardt, Laurence (1892–1950), 35–6 Stewart, John F., 139 Strang, William (1893–1978), 20, 107 Supreme Lithuanian Committee of Liberation, 154 Supreme Soviet (USSR), 8, 10, 12, 119, 121, 123 Sweden, 13, 22, 101, 117, 138, 150, 210 Switzerland, 21 Tannenberg Line See Battle of Narva Taylor, A. J. P. (1906–1990), 96–7, 195 Teheran Conference (Nov.–Dec. 1943), 51, 62, 77, 104, 115–16, 119, 121, 143, 158–60 Churchill leaves with “dark forebodings,” 126 compared with Yalta, 131 importance for Roosevelt, 111 reactions of Baltic diplomats, 114 Roosevelt-Stalin meeting (Dec. 1., 1943), 112–13 Soviet preparations, 111–12 Stalin agrees to take part, 110 Terminal See Potsdam Conference territorial questions See borders Thompson, Llewellyn E. Jr. (1904–1972), 148 threat of force in international law, 37, 177 and Soviet annexation of the Baltic states, 37–9

254

Index

Times (London), 17, 87, 89, 96, 102 Times-Herald, 69 Torma, August (1895–1971), 5, 16 and British-Soviet relations (1941), 67 and the British-Soviet treaty, 66, 77 career in independent Estonia, 13 connection with secret services, 66 the Estonian-Soviet assistance pact (1939), 20 fears Soviet agents, 12 follows instructions of Soviet authorities (1940), 39 inadequately informed by Estonian government, 18 Polish interest in Lithuania, 98–9 and Polish views on the Baltic states, 68 position after the war, 154–6 protests against German occupation, 46 satisfied over the Vapper case, 151 tries to restore relations with the USSR (1941), 68 Toynbee, Arnold J. (1889–1975), 86 Truman, Harry S. (1884–1972), 209 and the Baltic states, 144, 154, 213 continues Roosevelt’s policies, 142, 152 and Nazi-Soviet war, 51, 141 Turkey, 10, 27, 48, 71, 95 Ukraine, 45, 112, 123, 142, 145, 203–5, 214 armed resistance, 138 joining United Nations, 122, 134 minorities in Poland, 55, 106 minority in Canada, 133 and Poland, 124–6 repatriation, 147, 149 Ulmanis, Kārlis (1877–1942), 8, 16–17, 170 ultimatums Soviet ultimatums to Lithuania, Estonia and Latvia (1940), 7, 25 Umanskii, Konstantin (1902–1945), 40–1, 52

United Nation, 70, 78, 82, 90, 94 and British policies, 152 and the Baltic states, 129 Churchill’s attitude, 129 regionalism versus universalism, 107–8 Roosevelt’s vision (1943), 103 San Francisco Conference, 134 Security Council, 129, 133 and recognition of Soviet republics, 115, 122, 127, 130–5 veto right and membership, 129–30 See also Allied War Crimes Commission; Allies; UNRRA United States and Baltic ships, 38, 152, 177 deported Balts, 67 duality of foreign policy, 52 ethnic voters as factor in foreign policy, 112, 118 fear of loss of face over the Baltic question, 144 noncommittal toward frontiers, 98 policy of tacit agreements, 77, 138, 153, 158 postwar planning, 81–5, 90 prepared to recognize Soviet annexation, 4, 144 presence in the Baltic states, 32 presidential elections (1940), 38 presidential elections (1944), 112, 118–21, 125 presidential elections (1948), 154 presidential elections (1952), 154 public opinion against Soviet frontier claims, 96 repatriation of Soviet citizens, 146–7 Riga embassy, 32 role of churches, 78 and Soviet nationalizations, 37 spectator in European affairs, 31–2 US Congress, 35–6, 52, 81, 108, 132 and war propaganda, 1 Welles Declaration, 38–40 See also Department of States; Roosevelt, Franklin D.

Index

Universalism, 107–8 See also Globalism UNRRA policy of repatriation, 149 and screenings in camps, 147 Urbšys, Juozas (1896–1991), 7 values, in foreign policy the Atlantic Charter, 52 and US postwar planning, 82 US policy of nonrecognition, 163–4 the Welles Declaration, 39 Vapper, case in English court, 150–2 Versailles, peace settlement critized by Carr, 90 and Lippmann, 97 perceived as a failure, 87 Versailles-Riga system Soviet desire to destroy, 8, 25 Vichy France and Baltic gold and ships, 28 closing of Estonian embassy, 14 See also France Vilnius, 12 Lithuanian-Polish dispute, 98, 105 Polish interest in re-gaining, 23, 99, 180 and Roosevelt-Sikorski meeting (Dec. 1942), 98 and Soviet propaganda, 119 Vlasov army (Russian Liberation Army), 100 Voice of America broadcasts in Baltic languages, 154 Vyshinskii, Andrei (1883–1954), 8 Waffen–SS, 145–6 Wales, 131, 133 Wallace, Henry A. (1888–1965), 70, 91 war aims Allied governments and the Atlantic Charter, 53–4 difficulties with Soviet aims, 58 Soviet objectives discussed publicly, 93–5 studied in Britain, 86

255

US and the Atlantic Charter, 52–3 US-British consultations, 101–3 War and Peace Studies, 15 War Cabinet (UK), 5, 22, 55, 126, 210 concerned of Soviet attack on Finland (1940), 48 and concessions to the USSR, 48, 58 discusses the Baltic question (1940), 27–8 ignores Roosevelt’s objections to the British-Soviet treaty, 71 reshuffles in, 63, 187 sends Cripps to Moscow, 25 welcomes increase of Soviet power, 27 war criminals in British-Soviet relations, 150 Warma, Aleksander, 13 Warner, Christopher (1890–1970), 49–50, 58, 107, 148 claims the Balts are pro-German (1944), 46 and recognition of Soviet republics, 125, 204 Washington Star, 94 Wehrmacht, 21, 43, 65, 74, 159 and Army Group North, 135 and Barbarossa, 44, 178 Welles Declaration, 38–40, 140, 143, 157 Welles, Sumner (1892–1961), 36, 46, 49, 53, 70, 78–9, 98, 103, 182 and British-Soviet treaty, 72, 95 condemns Soviet annexation, 38–40 conducts talks with the USSR, 40–1 dismissed by Roosevelt, 108 issues diplomatic visas to President Päts, 37 and postwar planning, 82–3, 85 and Pusta, 15 supports regionalism, 107 and Winter War, 35 Werth, Alexander (1901–1969), 94, 194 Western hemisphere and Baltic embassies, 152 US sphere of influence, 108 White Sea Canal, 26

256

Index

Whitehall See Foreign Office; Great Britain; War Cabinet Wiley, John C. (1893–1967), 26 Wiley, John C. (1893–1967), 5, 32, 168 and “brilliance” of Soviet diplomacy, 33–4 and Soviet annexation of the Baltic states, 11–12 US interests in the Baltics, 33 Willkie, Wendell (1892–1944), 91 Wilson, Geoffrey M. (1910–2004), Soviet espionage, 66 and 16 Soviet republics, 123–4, 84, 107, 143, 144 thinks the USSR attractive in Europe, 89 Wilson, Woodrow T. (1856–1924), Roosevelt’s criticism of, 52–3 and Beneš, 106 comparison with Roosevelt, 104, 127 EH Carr considers “utopian,” 90 postwar planning and, 82–3 supports territorial integrity of Russia, 71, 161 See also Wilsonianism Wilsonianism and the ACPWFP, 82, 85 Adolf Berle, 158, 158–9 and the Atlantic Charter, 52 and Cordell Hull, 79, 108, 158 and national self-determination, 159 pleciscites and the Baltic question, 104 and Roosevelt, 52, 78, 91, 104, 108 and US “bureaucracy” Welles Declaration, 39 Winant, John G. (1889–1947), 75 Winter War, 8, 176 British-Soviet relations, 24

and Estonian neutrality, 18 Soviet suspicions of the West, 10 US public opinion, 35 Wolfers, Arnold (1892–1968), 91 Wood, Kingsley (1881–1943), 28 world revolution considered unlikely to be Soviet objective, 61, 88, 96 H. F. Armstrong warns against, 83 Molotov predicts in Europe, 11 Stalin’s reasons for caution, 137 witnessed by Henderson, 33 World War I, 84–5, 87, 89, 92, 159 Churchill’s strategies, 26 and Roosevelt, 71 Stalin’s experience, 8 and territorial disputes, 140 World War II, 1, 2, 3, 16, 43, 44, 139, 161 Yalta Conference (Feb. 1945), 131–5 American objectives, 131–2 British objectives, 132–3 and Churchill, 129 repatriation of Soviet nationals, 146–7 significance for East-Central Europe, 131 and Soviet claim concerning Soviet republics, 133–5 and Soviet tactics, 133–4 Yeltsin, Boris uses force against Chechnya, 181 Yugoslavia, 53, 56, 87 Žadeikis, Povilas (1887–1957), 16, 36, 105, 198 Zariņš, Kārlis (1879–1963), 16–17 Zhdanov, Andrei (1896–1948), 7