The Sword and the Shield

The Mitrokhin Archive and the Secret History of the KGB

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By Christopher Andrew

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The Sword and the Shield is based on one of the most extraordinary intelligence coups of recent times: a secret archive of top-level KGB documents smuggled out of the Soviet Union which the FBI has described, after close examination, as the “most complete and extensive intelligence ever received from any source.” Its presence in the West represents a catastrophic hemorrhage of the KGB’s secrets and reveals for the first time the full extent of its worldwide network. Vasili Mitrokhin, a secret dissident who worked in the KGB archive, smuggled out copies of its most highly classified files every day for twelve years. In 1992, a U.S. ally succeeded in exfiltrating the KGB officer and his entire archive out of Moscow. The archive covers the entire period from the Bolshevik Revolution to the 1980s and includes revelations concerning almost every country in the world. But the KGB’s main target, of course, was the United States. Though there is top-secret material on almost every country in the world, the United States is at the top of the list. As well as containing many fascinating revelations, this is a major contribution to the secret history of the twentieth century. Among the topics and revelations explored are: The KGB’s covert operations in the United States and throughout the West, some of which remain dangerous today. KGB files on Oswald and the JFK assassination that Boris Yeltsin almost certainly has no intention of showing President Clinton. The KGB’s attempts to discredit civil rights leader in the 1960s, including its infiltration of the inner circle of a key leader. The KGB’s use of radio intercept posts in New York and Washington, D.C., in the 1970s to intercept high-level U.S. government communications. The KGB’s attempts to steal technological secrets from major U.S. aerospace and technology corporations. KGB covert operations against former President Ronald Reagan, which began five years before he became president. KGB spies who successfully posed as U.S. citizens under a series of ingenious disguises, including several who attained access to the upper echelons of New York society.

Excerpt

BY CHRISTOPHER ANDREW
THÉOPHILE DELCASSÉ AND THE MAKING OF THE ENTENTE CORDIALE
 
THE FIRST WORLD WAR: CAUSES AND CONSEQUENCES (VOLUME 19 OF THE HAMLYN HISTORY OF THE WORLD)
 
 
FRANCE OVERSEAS: THE GREAT WAR AND THE CLIMAX OF FRENCH IMPERIAL EXPANSION (WITH A.S. KANYA-FORSTNER)
 
THE MISSING DIMENSION: GOVERNMENTS AND INTELLIGENCE COMMUNITIES IN THE TWENTIETH CENTURY (WITH DAVID DILKS)
 
HER MAJESTY'S SECRET SERVICE: THE MAKING OF THE BRITISH INTELLIGENCE COMMUNITY
 
CODEBREAKING AND SIGNALS INTELLIGENCE
 
INTELLIGENCE AND INTERNATIONAL RELATIONS, 1900-1945
(WITH JEREMY NOAKES}
 
KGB: THE INSIDE STORY OF ITS FOREIGN OPERATIONS FROM LENIN TO GORBACHEV
(WITH OLEG GORDIEVSKY)
 
INSTRUCTIONS FROM THE CENTRE: TOP SECRET FILES ON
KGB FOREIGN OPERATIONS, 1975-1985
(PUBLISHED IN THE USA AS: COMRADE KRYUCHKOV'S INSTRUCTIONS)
(WITH OLEG GORDIEVSKY)
 
MORE 'INSTRUCTIONS FROM THE CENTRE': TOP SECRET FILES ON KGB
GLOBAL OPERATIONS, 1975-1985
(WITH OLEG GORDIEVSKY)
 
FOR THE PRESIDENT'S EYES ONLY: SECRET INTELLIGENCE AND THE AMERICAN PRESIDENCY FROM WASHINGTON TO BUSH
 
ETERNAL VIGILANCE?
FIFTY YEARS OF THE CIA
(WITH RHODRI JEFFREYS-JONES)



IN MEMORY OF "MA"



ABBREVIATIONS AND ACRONYMS
AFSAArmed Forces Security [SIGINT] Agency [USA]
AKELCyprus Communist Party
AmtorgAmerican-Soviet Trading Corporation, New York
ASAArmy Security [SIGINT] Agency [USA]
AVHHungarian security and intelligence agency
AVOpredecessor of AVH
BfVFRG security service
BNDFRG foreign intelligence agency
CDUChristian Democratic Union [FRG]
ChekaAll-Russian Extraordinary Commission for Combating Counter-Revolution and Sabotage: predecessor KGB (1917-22)
CIACentral Intelligence Agency [USA]
COCOMCoordinating Committee for East-West Trade
Comecon[Soviet Bloc] Council for Mutual Economic Aid
CominternCommunist International
CPCChristian Peace Conference
CPCCommunist Party of Canada
CPCzCommunist Party of Czechoslovakia
CPGBCommunist Party of Great Britain
CPSUCommunist Party of the Soviet Union
CPUSACommunist Party of the United States of America
CSUChristian Social Union [FRG: ally of CDU]
DCIDirector of Central Intelligence [USA]
DGSPortuguese security service
DGSEFrench foreign intelligence service
DIADefense Intelligence Agency [USA]
DLBdead letter-box
DRGSoviet sabotage and intelligence group
DSBulgarian security and intelligence service
DSTFrench security service
F Line"Special Actions" department in KGB residencies
FAPSIRussian (post-Soviet) SIGINT agency
FBIFederal Bureau of Investigation [USA]
FCDFirst Chief [Foreign Intelligence] Directorate, KGB
FCOForeign and Commonwealth Office [UK]
FRGFederal Republic of Germany
GCHQGovernment Communications Head-Quarters [British SIGINT Agency]
GDRGerman Democratic Republic
GPUSoviet security and intelligence service (within NKVD, 1922-3)
GRUSoviet Military Intelligence
GUGBSoviet security and intelligence service (within NKVD, 1943-43)
GulagLabour Camps Directorate
HUMINTintelligence from human sources (espionage)
HVAGDR foreign intelligence service
ICBMintercontinental ballistic missile
IMINTimagery intelligence
INOforeign intelligence department of Cheka/GPU/OGPU/ GUGB, 1920-1941; predecessor of INU
INUforeign intelligence directorate of NKGB/GUGB/MGB, 1941-54; predecessor of FCD
IRAIrish Republican Army
JICJoint Intelligence Committee [UK]
K-231club of former political prisoners jailed under Article 231 of the Czechoslovak criminal code
KANClub of Non-Party Activists [Czechoslovakia]
KGBSoviet security and intelligence service (1954-1991)
KHADAfghan security service
KISoviet foreign intelligence agency, initially combining foreign intelligence directorates of MGB and GRU (1947-51)
KKEGreek Communist Party
KKE-esbreakaway Eurocommunist Greek Communist Party
KORWorkers Defence Committee [Poland]
KPÖAustrian Communist Party
KR LineCounter-intelligence department in KGB residencies
LLBlive letter box
MGBSoviet Ministry of State Security (1946-54)
MGIMOMoscow State Institute for International Relations
MI5British security service
MI6alternative designation for SIS [UK]
MORMonarchist Association of Central Russia ("The Trust")
N LineIllegal support department in KGB residencies
NATONorth Atlantic Treaty Organization
NKGBPeople's Commisariat for State Security (Soviet security and intelligence service, 1941 and 1943-6)
NKVDPeople's Commisariat for Internal Affairs (incorporated state
security, 1922-3, 1934-43)
NSANational Security [SIGINT] Agency [USA]
NSCNational Security Council [USA]
NSZRiSPeople's [anti-Bolshevik] Union for Defence of Country and Freedom
NTSNational Labour Alliance (Soviet émigré social-democratic movement)
OkhranaTsarist security service, 1881-1917
OMSComintern International Liaison Department
OSSOffice of Strategic Services [USA]
OTOperational Technical Support (FCD)
OUNOrganisation of Ukrainian Nationalists
OZNAYugoslav security and intelligence service
PCFFrench Communist Party
PCIItalian Communist Party
PCPPortuguese Communist Party
PFLPPopular Front for the Liberation of Palestine
PIDEPortuguese Liberation Organization
PLOPalestine Liberation Organization
POUMWorkers Unification Party (Spanish Marxist Trotskyist Party in 1930s)
PR Linepolitical intelligence department in KGB residences
PSOESpanish Socialist Party
PUWPPolish United Workers [Communist] Party
RCMPRoyal Canadian Mounted Police
ROVS[White] Russian Combined Services Union
RYANRaketno-Yadernoye Napadenie (Nuclear Missile Attack)
SALTStrategic Arms Limitation Talks
SAMSoviet surface-to-air missile
SBPolish Security and intelligence service
SCDSecond Chief [Internal Security and Counter-Intelligence] Directorate, KGB
SDECEFrench foreign intelligence service; predecessor of DGSE
SDIStrategic Defense Initiative ('Star Wars')
SEDSocialist Unity [Communist] Party [GDR]
SIGINTintelligence derived from interception and analysis of signals
SISSecret Intelligence Service [UK]
SK LineSoviet colony department in KGB residencies
SKPCommunist Party of Finland
SOESpecial Operations Executive [UK]
SPDSocial Democratic Party [FRG]
Spetsnaz Soviet special forces
SRSocialist Revolutionary
S&Tscientific and technological intelligence
Stapo Austrian police security service
Stasi GDR Ministry of State Security
Stavka Wartime Soviet GHQ/high command
StBCzechoslovak security and intelligence service
SVRRussian (post-Soviet) foreign intelligence service
TUCTrades Union Congress [UK]
UARUnited Arab Republic
UBPolish security and intelligence service; predecessor of SB
UDBAYugoslav security and intelligence service; successor to OZNA
VPKSoviet Military Industrial Commission
VVRSupreme Military Council [anti-Bolshevik Ukranian underground]
WCCWorld Council of Churches
WPCWorld Peace Council
X LineS&T department in KGB residencies



THE EVOLUTION OF THE KGB, 1917-1991
The term KGB is used both generally to denote the Soviet State Security organisation throughout its history since its foundation as the Cheka in 1917 and, more specifically, to refer to State Security after 1954 when it took its final name.



THE TRANSLITERATION OF RUSSIAN NAMES
We have followed a simplified version of the method used by the U.S. Board on Geographic Names and BBC Monitering Service. Simplifications include the substitution of "y" for "iy" in surnames (Trotsky rather than Trotskiy) and of "i" for "iy" in first names (Yuri rather than Yuriy). The "y" between the letters "i" and/or "e" is omitted (for example, Andreev and Dmitrievich—not Andreyev and Dmitriyevich), as is the apostrophe used to signify a soft sign.
In cases where a mildly deviant English version of a well-known Russian name has become firmly established, we have retained that version, for example: Beria, Evdokia (Petrova), Izvestia, Joseph (Stalin), Khrushchev, Nureyev and the names of Tsars.



FOREWORD
I have written this book in consultation with Vasili Mitrokhin, based on the extensive top secret material (described in Chapter 1) which he has smuggled out from the KGB foreign intelligence archive. For the past quarter of a century, Mitrokhin has passionately wanted this material, which for twelve years he risked his life to assemble, to see the light of day. He wished to reveal "how thin the thread of peace actually was during the Cold War." From that passion this book has been born. I have felt it my duty to ensure that this material, which offers detailed and often unique insights into the workings of the Soviet State and the history of the Soviet Union, achieves the level of public awareness and recognition that it deserves.
Like all archives, those of the KGB require interpretation in the light of previous research and related documents. The end notes and bibliography provide full details of the additional sources used to place Mitrokhin's revelations in historical context. These sources also provide overwhelming corroborative evidence for his genuineness as a source.
Codenames (also known as "worknames" in the case of KGB officers) appear in the text in capitals. Many KGB codenames were used more than once. In such cases, the text and index make clear which individual is referred to. It is also important to note that, although certain individuals were targeted by the KGB, and may have been given codenames, this does not mean that the persons named were conscious or witting agents or sources—or even that they were aware that they were being targeted for recruitment or political influence operations. Similarly, the fact that an individual may have endorsed a position that was favorable to the Soviet Union does not necessarily mean that this person was working as an agent, or agent of influence, for the KGB. The KGB frequently gave prominent policymakers codenames in order to protect the identity of their targets, and to order recruited KGB agents to target such individuals.
For legal reasons, some of the Soviet agents identified in KGB files can be referred to in this book only by their codenames. In a limited number of cases, chiefly because of the risk of prejudicing a possible prosecution, no reference can be made to them at all. These omissions do not, so far as I am aware, significantly affect the main conclusions of any chapter.
 
Christopher Andrew



INTRODUCTION TO THE PAPERBACK EDITION
On October 17, 1995, I was invited to the post-modern London headquarters of the Secret Intelligence Service (better known as SIS or MI6) at Vauxhall Cross on the banks of the Thames to be briefed on one of the most remarkable intelligence coups of the late twentieth century. SIS told me how in 1992 it had exfiltrated from Russia a retired senior KGB archivist, Vasili Mitrokhin, his family and six large cases of top-secret material from the KGB's foreign intelligence archive. Mitrokhin's staggering feat in noting KGB files almost every working day for a period of twelve years and smuggling his notes out of its foreign intelligence headquarters at enormous personal risk is probably unique in intelligence history. When I first saw Mitrokhin's archive a few weeks after the briefing, both its scope and secrecy took my breath away. It contained important new material on KGB operations around the world. The only European countries absent from the archive were the pocket states of Andorra, Monaco and Liechtenstein. (There was, however, some interesting material on San Marino.) It was clear that Mitrokhin had had access to even the most highly classified KGB files – among them those which gave the real identities and "legends" of the Soviet "illegals" living under deep cover abroad disguised as foreign nationals.1
Soon after my first examination of the archive, I met Vasili Mitrokhin over tea in a conference room at SIS headquarters and discussed collaborating with him in a history based on his material. Mitrokhin said little about himself. Indeed it later required some persuasion to convince him that it was worth including his own story at the beginning of our book. But Mitrokhin was passionate about his archive and anxious that as much of it as possible be used to expose the record of the KGB.
Early in 1996 Mitrokhin and his family paid their first visit to Cambridge University, where I am Professor of Modern and Contemporary History. I met them outside the Porters' Lodge at Corpus Christi College, of which I'm a Fellow, and we had lunch together in a private room overlooking the medieval Old Court (the oldest complete court in Cambridge). After lunch we went to the College Hall to look at what is believed to be the only surviving portrait of the College's first spy and greatest writer – the Elizabethan dramatist Christopher Marlowe, who had been killed in a pub brawl in 1593 at the age of only twenty-nine, probably while working for the secret service of Queen Elizabeth I. Then we walked along the Backs through King's and Clare colleges to visit Trinity and Trinity Hall, the colleges of the KGB's best-known British recruits, the "Magnificent Five," some of whose files Mitrokhin had noted.2 Mitrokhin had long ago mastered the art of being inconspicuous. The friends and colleagues whom we met as we walked round Cambridge did not give him a second glance.
In March 1996 the then Foreign Secretary, Malcolm Rifkind, gave approval in principle (later confirmed by his successor, Robin Cook) for me to write a book based on Mitrokhin's extraordinary archive.3 For the next three and a half years, because the archive was still classified, I was able to discuss none of it with colleagues in Corpus Christi College and the Cambridge History Faculty-or even to reveal the nature of the book that I was writing. In Britain at least, the secret of the Mitrokhin archive was remarkably well kept. Until The Mitrokhin Archive

Genre:

On Sale
Aug 29, 2000
Page Count
736 pages
Publisher
Basic Books
ISBN-13
9780465010035

Christopher Andrew

About the Author

Christopher Andrew is Professor of Modern and Contemporary History at Cambridge University. In addition to The Sword and the Shield, his previous books include Her Majesty’s Secret Service, KGB, and For the President’s Eyes Only. He lives in Cambridge, England.

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