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A CITY TORN APART
目录
Building The Berlin Wall
Brandenburg Gate
a family divided
table of contents
National Archives and Records Administration
Historical Collections Division
speaker biographies
Berlin, November 20, 1961
A BRIEF HISTORY of the BERLIN CRISIS OF 1961
EVENTS LEADING UP TO THE CRISIS 1958 - 1960
NEW ADMINISTRATION: 1961 AND THE JUNE MEETING IN VIENNA
THE CITY DIVIDED: AUGUST 13/14, 1961
THE STANDOFF AT CHECK POINT CHARLIE, OCTOBER 27, 1961
INTRODUCTION TO THE ESSAYS
THE NEWLY RELEASED DOCUMENTS
sources
BITTER MEASURES
DECIPHERING SOVIET INTENTIONS
Berlin, 30 November, 1961
THE U.S. MILITARY RESPONSE
KHRUSHCHEV’S ULTIMATUM
THE WALL
Berlin, October 1961
NATO BERLIN CRISIS OF 1961
SOVIETS TEST METTLE OF NEW U.S. PRESIDENT
A DIVIDED, INDECISIVE, AND IRRESOLUTE NATO
DEFENDING BERLIN AIR CORRIDORS EXPOSES NATO VULNERABILITIES
Berlin, 1961
CRISISBOVER BERLIN
Pics and Links
Building The Berlin Wall
27 OCTOBER 2011
at the
NATIONAL ARCHIVES AND
RECORDS ADMINISTRATION
WASHINGTON, DC
Berlin (1)
CIA Report
Russia Uprise
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Brandenburg Gate
Berlin (1)
Built in 1791, standing 85 feet high, 215 feet
long and 36 feet wide, this former city gate
is one of the most iconic symbols of Berlin
and Germany. Throughout its existence it has
served as a visual representation of various
political ideologies, ranging from Prussia’s
imperialism to East Germany’s communism.
It was closed by the East Germans on 14
August 1961 in a response to West Berliners’
demonstration against the building of the
wall dividing their city into East and West. It
remained closed until 22 December 1989.
Its design is based upon the gate way to the
Propylaea, the entry into the Acropolis in
Athens, Greece. It has 12 Doric columns, six to
a side, forming five passageways. The central
archway is crowned by the Quadriga, a statue
consisting of a four horse chariot driven by
Victoria, the Roman goddess of victory. After
Napoleon’s defeat, the Quadriga was returned
to Berlin and the wreath of oak leaves on
Victoria was replaced with the new symbol of
Prussia, the Iron Cross.
Berlin (1)
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a family divided
Berlin (2)
A couple from Berlin may never see each
other again because they became separated
by the newly formed Berlin Wall. On August
12th, one day before Ulbricht ordered West
Berlin surrounded by barbed wire, a man
flew into West Berlin. His wife was planning
on following him several days later after
their young son completed his holiday camp.
Several days after the “iron curtain” was
drawn, the couple was able to meet at the
fence. The guard indulgently allowed them
time to talk. When the guard turned away
and was not watching, the mother quickly
hands their son over to his father and to
freedom.
Having made her decision, the mother wipes
away her tears of pain and sorrow, knowing
that she may never see her son grow up.
With a goodbye bouquet and clinging hands,
a man and a women acknowledge that they
might never see each other again and that a
young boy may never really know who his
mother was and the sacrifice she made to
have him live in freedom.
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table of contents
Partners
IMS
NARA/ND
Agenda and Speaker Bios
Maps
Essays
Overview
CIA
Army
SHAPE
State
Selected Documents
Acknowledgements
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National Archives and Records Administration
As the nation’s record keeper, it is our vision that all Americans will understand the vital
role records play in a democracy, and their own personal stake in the National Archives. Our
holdings and diverse programs will be available to more people than ever before through
modern technology and dynamic partnerships. The stories of our nation and our people are
told in the records and artifacts cared for in NARA facilities around the country. We want
all Americans to be inspired to explore the records of their country.
The National Archives and Records Administration serves American democracy by
safeguarding and preserving the records of our Government, ensuring that the people can
discover, use, and learn from this documentary heritage. We ensure continuing access to
the essential documentation of the rights of American citizens and the actions of their
government. We support democracy, promote civic education, and facilitate historical
understanding of our national experience.
The mission of the National Declassification Center (NDC) at the National Archives is to
align people, processes, and technologies to advance the declassification and public release
of historically valuable permanent records while maintaining national security. Located
at the National Archives Building in College Park, MD, the Center was created as part of
Executive Order #13526. It aims to be the world’s preeminent declassification organization,
responsive to all customers, committed to the free flow of information and the requirements
of national security. Its current focus is:
* timely and appropriate processing of referrals between agencies for
accessioned Federal records and transferred Presidential Records;
* general interagency declassification activities necessary to fulfill the
requirements of sections 3.3 and 3.4 of the executive order;
* the exchange among agencies of detailed declassification guidance to
support equity recognition;
* the development of effective, transparent, and standard declassification
work processes, training, and quality assurance measures;
* the development of solutions to declassification challenges posed by
electronic records, special media, and emerging technologies;
* the linkage and effective utilization of existing agency databases and
the use of new technologies to support declassification activities under
the purview of the Center.
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Historical Collections Division
俄罗斯才是美国的头号敌人
The Historical Collections Division (HCD) of CIA’s Information Management Services is
responsible for executing the Agency’s Historical Review Program. This program seeks to
identify and declassify collections of documents that detail the Agency’s analysis and activities
relating to historically significant topics and events. HCD’s goals include increasing the usability
and accessibility of historical collections. HCD also develops release events and partnerships to
highlight each collection and make it available to the broadest audience possible.
The mission of HCD is to:
* Promote an accurate, objective understanding of the
information and intelligence that has helped shape major US
foreign policy decisions.
* Broaden access to lessons-learned, presenting historical
material that gives greater understanding to the scope and
context of past actions.
* Improve current decision-making and analysis by facilitating
reflection on the impacts and effects arising from past foreign
policy decisions.
* Showcase CIA’s contributions to national security and provide
the American public with valuable insight into the workings of
its government.
* Demonstrate the CIA’s commitment to the Open Government
Initiative and its three core values: Transparency, Participation,
and Collaboration.
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speaker biographies
William Richard Smyser is the former Henry Alfred Kissinger Chair in Foreign Policy and
International Relations at the Library of Congress; he is currently an adjunct professor at the
BMW Center for German and European Studies at Georgetown University and also teaches at the
U.S. Foreign Service Institute. An expert on the politics and economy of Europe, he has worked
for the U.S. government, the United Nations, and in foundation management and academia. He
served with U.S. forces in Germany in the 1950s, was a special assistant to General Lucius Clay,
President Kennedy’s personal representative, during the Berlin Crisis of 1961 and served as a
political counselor at the American embassy in Bonn. Since then he has held a number of senior
executive positions at the White House and was a senior member of Henry Kissinger’s National
Security Council staff. His books include: The Humanitarian Conscience: Caring for Others in the Age
of Terror (2003), How Germans Negotiate: Logical Goals, Practical Solutions (2002), and From
Yalta to Berlin: the Cold War Struggle over Germany (1999).
Professor Hope M. Harrison conducted extensive research in the archives in Moscow and
Berlin on the decision to build the Berlin Wall. She has published books and articles on this
in the U.S., Germany and elsewhere. Her 2003 book published by Princeton University Press,
Driving the Soviets Up the Wall, Soviet—East German Relations, 1953-1961, won the 2004 Marshall
Shulman Prize for the “best book on the international relations of the former Soviet bloc” of
the American Association for the Advancement of Slavic Studies. An updated and expanded
version of her book was published this year in Germany in time for the 50th anniversary of the
building of the Berlin Wall: Ulbrichts Mauer, Wie die SED Moskaus Widerstand gegen den Mauerbau
Brach (Propylaen Verlag, 2011). She has appeared on CNN, C-SPAN, the History Channel,
Deutschlandradio, and Spiegel TV discussing the Berlin Wall. Her current research focuses
on German debates about how to commemorate the Berlin Wall as a site of memory since 1989.
Donald P. Steury is a historian currently working in the National Declassification Center at
the National Archives. He previously served as a Soviet military analyst and worked on the CIA
History Staff from 1992 to 2007. He has written widely on intelligence history in World War II
and the Cold War and his publications include two documentary histories, On the Front Lines of
the Cold War: the Intelligence War in Berlin, 1946-1961 and Intentions and Capabilities: Estimates on
Soviet Strategic Forces. He has taught at the University of Southern California and the George
Washington University and presently teaches at the University of Maryland University College.
He also serves on the Wissenschaftlicher Beirat of the Alliierten Museum in Berlin. He has a
doctorate in modern European history from the University of California, Irvine.
Gregory W. Pedlow has been Chief of the Historical Office at NATO’s Supreme Headquarters
Allied Powers Europe since 1989. Previous positions have included Staff Historian for the
Central Intelligence Agency and Assistant Professor of History at the University of Nebraska.
He received a Ph.D. in Modern European History from the Johns Hopkins University in 1979
and is the author of a number of books and articles on German history, NATO and the Cold War,
and the Waterloo Campaign of 1815.
Donald A. Carter is currently serving as a historian for the U.S. Army Center of Military
History. He has been an Assistant Professor and Instructor at the U.S. Military Academy at West
Point, New York and the U.S. Army Field Artillery School, Fort Sill, Oklahoma. He is a graduate
of the U. S. Military Academy and holds a doctorate from Ohio State University, Columbus, Ohio
in Military History. He has written articles for a number of journals and military publications
such as the Journal of Military History, Army Review and Field Artillery.
Lou Mehrer is a retired CIA Officer who served in senior assignments in Washington and
abroad. Most recently, he was featured in the UK film production, Spies Beneath Berlin, the
history of the Berlin Tunnel Operation, which is scheduled for commercial release later this
summer. He holds a Bachelor of Arts, cum laude, in Modern European History and German
Literature and continued his education as a Fulbright Scholar in Germany at the University of
Frankfurt. Later as a Woodrow Wilson Fellow at Rutgers University, he earned a Master of Arts
degree in History. He currently is a senior review officer for the CIA Declassification Center.
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Berlin, November 20, 1961
New wall at the Brandenburg Gate shows the old
barbed wire, a screen of fireboard, and the new
wall erected by Communist labor battalions.
Berlin, August 1961
U.S. tank and riflemen stand guard at the
Friedrichstrasse crossing of the Divided City’s
sector border as West Berliners look on.
Map depicts the location of the
watchtowers, tank traps, and minefields
that surrounded West Berlin after the wall
was constructed.
Map portrays pre- and post-war
German borders as well as indicating
how Germany and Berlin was divided
by the Allies.
A city map of Berlin showing the
city sectors controlled by each of
the Allies.
Map indicates the air routes to
and from Berlin.
Berlin, late August, 1961
An East German guard jumps to freedom
Berlin 1961
Faced with the success of one of their comrades in escaping
the previous day, armed East German soldiers on their
motorcycles and in their armored personnel carriers stand
watch at the Brandenburg Gate.
Berlin (1)
Berlin (2)
Berlin (3)
Berlin (4)
Berlin (5)
Berlin (6)
Berlin (7)
Berlin (8)
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A BRIEF HISTORY of the BERLIN CRISIS OF 1961
N E I L C. CARMICHAEL, J R .
NATIONAL DECLASSIFICATION CENTER
NATIONAL RECORDS and
ARCHIVES ADMINISTRATION
Autumn 2011 marks the 50th anniversary of the
political crisis that resulted in the erection of the
Berlin Wall which divided that German city for 28
years. The National Declassification Center of the
National Archives and Records Administration and
the Historical Collections Division of the Central
Intelligence Agency have partnered to publish
newly declassified documents that reveal intimate
details of the five month Berlin Crisis of 1961.
Included in this joint publication are newly
released documents that show behind-thescenes
security discussions and planning. The
Department of State has added a contemporary
600-page report, never before disclosed, on the
impact of the events surrounding the crisis and
the deepening of the Cold War. Other documents
explain the looming threat the crisis represented
to the legal status and rights of the three Western
Powers in Berlin: Britain, France and the United
States, and provide a sense of the real-time spiral
of statements, military acts, parry and feints, that
led to international brinksmanship as the West
went toe-to-toe with a USSR ready to annex or
asphyxiate Berlin.
俄罗斯才是美国的头号敌人
持续性衰退刚开始
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EVENTS LEADING UP TO THE CRISIS 1958 - 1960
From the end of World War II in 1945, the question
of Berlin’s status 90 miles within the Deutsche
Demokratische Republik (East Germany) and
the Soviet Union’s zone of occupation, along with
the status of Germany among the community of
nations, remained a source of tension between the
East and West. Premier Khrushchev continued to
push President Eisenhower and the other Western
leaders for resolution of the issue.
In November 1958, Khrushchev issued an
ultimatum giving the Western Powers six months
to agree to withdraw from Berlin and make it a
free, demilitarized city. If the West did not come to
agreement, Khrushchev declared that “the German
Democratic Republic had scrupulously observed
the stipulations of the Potsdam Agreement
with regard to the eradication of militarism and
liquidation of the monopolies while the Western
Powers had permitted the revival of militarism
and economic imperialism in the German Federal
Republic” (State Department, 1962, p. 2). He
further threatened to turn over to a thuggish
East Germany, complete control of all lines of
communication with West Berlin; the Western
Powers then would have access to West Berlin
only by permission of the obstinate East German
government. These accusations from Khrushchev
were nothing new, and the three Western Powers
responded by rejecting the statements as continued
Soviet propaganda, but the threat of turning over
access to the DDR was something to be taken
seriously and prepared for. In the end, the United
States, United Kingdom, and France replied to the
ultimatum by firmly asserting their determination
to remain in, and to maintain their legal right of
free access to, the entirety of Berlin.
In May 1959, the Soviet Union withdrew its
deadline and met with the Western Powers in a Big
Four foreign ministers’ conference. The conference
failed to bestow any important concessions by either
East or West or reach any general agreements on Berlin; however, it did lead to Khrushchev’s visit to
the United States in September with Eisenhower at
Camp David. Eisenhower started the discussion on
Berlin on September 26, explaining that Berlin was
of deep concern not only for the US government
but also US citizens. Eisenhower felt that once the
tensions between the two countries over Berlin had
been resolved, the US and Soviet Union could begin
productive dialogue and progress on numerous
other issues. He stated that the US did not want to
continue to maintain an occupation force in Berlin
forever and agreed that the existing situation should
be corrected.
Khrushchev, for his part, specified that he was in
general agreement with the President’s statement
but did not understand how the Soviets’ proposal
for a free city of West Berlin could affect United
States security. Khrushchev emphasized that the
Soviet’s approach to the Berlin problem came
from necessity; that is, ending the state of war and
concluding a final peace treaty with Germany. He
further charged the United States with maintaining
an abnormal situation and a virtual state of war
because of the position taken by Chancellor
Adenauer, and that the US should not endorse
the Adenauer policies. At the end of this visit,
Khrushchev and Eisenhower jointly expressed
that the most important world issue was general
disarmament – including the problem of Berlin –
and “all outstanding international questions should
be settled, not by the application of force, but by
peaceful means through negotiations.” Khrushchev
believed that an agreement with the US over Berlin
was possible and agreed to continue the dialogue
at a summit in Paris in May, 1960. But the Paris
Summit turned out to be ill-fated, cancelled in the
fallout from the Soviet shoot down of an American
U-2 reconnaissance plane and the capture of Gary
Francis Powers on 1 May 1960.
持续性衰退刚开始
是那些人主宰美国
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NEW ADMINISTRATION: 1961 AND THE JUNE MEETING IN VIENNA
In the post-summit climate, the Kennedy-Nixon
presidential race was not immune to the effects of
increased Soviet propaganda, and numerous acts of
physical harassment by the East German government
turned into a belligerent display in support of Soviet
policies on Berlin, reinforcing the East German
regime’s claim that Berlin was within the territory of
the GDR. One writer characterized the post-summit
conference phase of the Berlin problem as a “cold
war by proxy” (Speier, 1962, p. 114). However, the
harassment against Berlin met with failure because
of successful Western countermeasures and a
general lack of interest on the part of Khrushchev
to continue negotiating outstanding issues with
the Eisenhower administration. Khrushchev would
later call the election of Kennedy a “fundamental
improvement” in Soviet-American relations (State
Department, Feb. 1970, p.1).
On January 6, 1961, Khrushchev pronounced
Soviet support for ongoing national wars of
liberation and further stressed that the Western
powers must end their “occupational regime”
in West Berlin (State Department, Feb. 1970,
p.1). This was the belligerent and threatening
environment that existed on January 20, 1961,
when John Kennedy took the oath of office as
the 35th President of the United States. The new
Kennedy administration initially made no strong
policy statement in regards to Berlin, preferring
to allow the Soviets to take the initiative in any
provocative posturing. Previously the US, after
consultation with its allies, would put forward
proposals concerning Berlin that were then rejected
by the Soviets. The Kennedy administration did,
however, confirm the US commitment to the
security of West Germany and the people of Berlin.
Over the next several months, the Kennedy
administration met internally to discuss US
contingency planning for any Soviet move on
Berlin. The developing US or western policy was
one of allowing the Soviets to make initial proposals
in regards to Berlin and its status. The State
Department issued instructions that diplomatic
replies to the Soviets were to recognize the
unsatisfactory nature of the situation in Germany
but that changing the status of West Berlin into
that of a free city or a similar scheme would merely
“increase the abnormality of an already abnormal
situation” (State Department, Feb. 1970, p. 3).
On June 4, 1961, Khrushchev and Kennedy met in
Vienna in hopes that the two could exchange views
in a personal meeting. Leading up to the summit,
Khrushchev had welcomed a spirit of cooperation
that was developing with the new administration
and also expressed regret over the heated
international atmosphere resulting from events in
Cuba. During the summit, however, an emboldened
Khrushchev demanded an immediate peace treaty
to reunite Germany under Communist terms. That failing, as it must, he vowed to sign a separate
peace treaty with Communist East Germany which,
by his way of thinking, would then be unleashed
to cut off free-world access to West Berlin. If a
peace treaty were signed “the state of war would
cease and all commitments stemming from the
German surrender would become invalid. This
would apply to institutions, occupation rights, and
access to Berlin, including the air corridors.” (State
Department, Feb. 1970, p. 41). The three Western
powers replied that no unilateral treaty could
abrogate their responsibilities and rights in West
Berlin, including the right of unobstructed access
to the city. As the conversation over the status of
Berlin grew more heated, Kennedy undercut his
own bargaining position with the Soviet Premier
when Kennedy conveyed US acquiescence to the
permanent division of Berlin. This misstep in the
negotiations made Kennedy’s later, more assertive
public statements, less credible to the Soviets, who
now saw him as indecisive and weak.
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THE CITY DIVIDED: AUGUST 13/14, 1961
During the early part of August, the foreign
ministers of three occupation countries (the
United States, United Kingdom, and France)
met to discuss “the diplomatic, propagandist and
military aspects of the Berlin problem.”(State Dept,
Feb. 1970, p. 51). The US believed that the West
German government should be associated more
closely with contingency planning and be fullfledged
partners in the work of the Ambassadorial
Steering Group in Washington regarding Berlin.
Hurriedly, ministers, military leaders, and heads
of state discussed Soviet motives and intentions,
strengthening of the forces of the alliance, economic
countermeasures, and Berlin contingency planning.
The ultimate goal was to be able “to respond to
any threat to Western access and at the same time
deter the Soviet Union from creating such a threat
as a result of a peace treaty with the GDR.” (State
Dept, Feb. 1970, p. 51). In a final analysis, the
Western Powers determined that the Soviets were
unwilling to risk war and that any actions on their
part would be more defensive in nature.
Khrushchev, through Andrei Gromyko, the Soviet
Foreign Minister, reiterated to the Western Powers
that if a treaty was not forthcoming, the Soviets
would conclude a separate peace treaty with the
GDR. The Soviets continued to apply pressure for
resolution on the Berlin question. In his speeches
of August 7 and 11, Khrushchev conjured up the
specter of nuclear war with the west if pushed by
the United States. He “combined an aggressive
stance with a posture of reasonableness” by
publicly asking for multilateral conferences, but
“he offered no new proposals for negotiations and
merely continued to insist that, if the Western
Powers persisted in their refusal to sign a German
peace treaty, this problem would have to be settled
without them.” (State Dept., April 1970, p.73).
On Saturday August 12, 1961, East Berlin mayor
Walter Ulbricht signed an order to close the border
and erect a Wall. The tide of East Germans flooding
to the West through the many roads, canals,
crossings, and trains, came to an abrupt end. It
is estimated that 3.7 to 4 million East Germans
escaped to the West. The daily flow of refugees in
the beginning of August was roughly 1,500 East
Germans, but after Khrushchev’s “bomb-rattling”
speech, the daily number had rose to 1,926. On
August 11, unbeknownst to all, the last 2,290
refugees seeking the freedoms of the west, entered
the Marienfelde reception center in West Berlin.
Overnight, in a swift, unexpected manner, the door
to freedom closed, and was to remain so for 28 years.
On the night of 13-14 August 1961, East German
police and military units sealed off all arteries
leading to West Berlin. The communists pulled
up train tracks and roads, erected barriers topped
with barbed wire, completely isolating the Western
sectors and preventing East Germans from escaping
to the West. The fences and barricades completely
surrounded the 97 miles around the three western
sectors and 27 miles that cut through the heart of
the city, dividing it. The Soviet Army moved three
divisions closer to Berlin to discourage interference
by the West and presumably to assist in the event
of large-scale riots. From August 13-23, the Soviets
and East Germans undertook a massive show of
force in Berlin to stop the exodus of refugees to
the West. In a direct response to Soviet and East
German operations to cut off allied access to Berlin,
at the end of August, Kennedy made a public show
of ordering 148,000 National Guardsmen and
Reservists to active duty.
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THE STANDOFF AT CHECK POINT CHARLIE, OCTOBER 27, 1961
During the end of summer and into the fall of 1961,
the Soviets and East German governments continued a general harassment of US forces traveling from
Checkpoints Alpha and Bravo, which allowed access
through East Germany, and a series of threats
were made by Soviet leaders concerning unfettered
access to air corridors as well. Military and Allied
diplomats were also harassed moving across the
borders of the divided city. On 22 October 1961,
just two months after the construction of the wall,
the US Chief of Mission in West Berlin, E. Allan
Lightner, Jr. was stopped in his car (which had
occupation forces license plates) while crossing at
Checkpoint Charlie to go to a theater in East Berlin.
This violated agreements made at the 1945 Potsdam
Conference. It was at that point that General Lucius
Clay, Special Advisor in West Berlin, decided to
demonstrate American resolve.
The next day, Clay sent an American diplomat
to test the East German border police. When the
diplomat was stopped by East German transport
police asking to see his passport, waiting US
Military Police at the border recognized his
diplomatic car, and rushed to escort him into
East Berlin. The shaken GDR police moved out
of the way. The car continued on and the soldiers
returned to West Berlin. Over the next three
days American and Soviet soldiers deployed at
Checkpoint Charlie tested each country’s resolve on
how far each would go during these standoffs over
Berlin. On October 24, 26 vehicles were stopped
by East German police, only to have US military
personnel escort the vehicles across the border and
return back to the West.
On October 27, 1961, the provocative games took
a serious turn as another probe prompted the
Soviets to deploy 10 tanks on the Eastern side of
Checkpoint Charlie. The US had been using tanks
to support their escorts of vehicles into East Berlin,
and now was met by equal force. The Soviet and
American tanks stood a mere 100 yards apart from
each other, and both sides readied for battle. The
showdown of tanks at the wall became a visual
emblem of the dangerous situation these world
powers were locked into. The confrontation made
headlines around the world, and it looked as if
the Cold War was soon to become a hot, shooting
war with grave consequences. It was only after
more sanguine heads prevailed that Moscow and
Washington mutually agreed to pull back from the
standoff, and the confrontation eased.
古之学者为己，今之学者为人。我们用心做，您来细细品。您也可以 先下载一个应用程序（App），有空再慢慢看。
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INTRODUCTION TO THE ESSAYS
The Berlin Crisis of 1961 was a major turning
point during the Cold War and answered, for
a time, the question of Berlin; but unintended
results from the events re-defined the Cold War
over the next 18 years.
The story can be viewed as an impatient, frustrated,
older, and seasoned Soviet Premier Khrushchev,
seeking resolution to the Berlin question, having
to confront a new, young, popular but untested
American President. An emboldened Khrushchev
breaks off discussions with the former American
President Eisenhower over the U2 incident, and is
then further bolstered by Kennedy’s public failure
and embarrassment over the Cuban Bay of Pigs
fiasco. It has the mark of not only the tension
between two men – Khrushchev and Kennedy –
but to competing economic and social systems in
a global war over which system would triumph.
We have in the Berlin Crisis – viewed through
these newly released documents – a more precise
look at the tensions between the military strategic
thinking and reliance on the nuclear umbrella of
US missile defense versus use of more conventional
forces. This argument is revealed through countless
internal documents and was a serious, highly
debated issue when the West was forced into the
review of contingency planning on Berlin. The West
did not have sufficient forces for a conventional
fight, and yet would not want to be seen – by the
US or its Western Allies – as too ready to use
nuclear weapons in response to Soviet or East
German intervention of British, French, and US
rights to travel to Berlin via the autobahn, trains,
or designated air corridors. The use of the nuclear
option would not be balanced and would exceed
the actions taken by the Soviets, and would trigger
the negative opinion of most non-aligned countries.
The other conflict during the crisis was internal,
bureaucratic wrangling between the NATO
Secretary General Stikker, and the British, French,
and United States Supreme Allied Commander, US
General Nordstad.
The contributions on the Berlin Crisis from these
authors highlight several contentious issues within
the Western Alliance that, despite differences
during this very crucial and critical time, did
not vitiate the Allies’ unified stance to counter
the USSR/GDR threat. The results of the 1961
crisis led the West to expend resources for closing
the conventional force gap that existed between
the Warsaw Pact and NATO. The West lacked
sufficient conventional forces to support and
sustain combat operations against overwhelming
Warsaw Pact forces. This lack of conventional
forces limited the Kennedy administrations actions
on what it could accomplish in the face of quick,
aggressive Soviet moves on Berlin outside of simple
recognition. It allowed the West to continue their
claim of access to the East and non-recognition of
the East German government, and to force access
to East Germany and East Berlin.
The three essays drafted for this publication, and
the release of the Department of State’s “Crisis
over Berlin,” shows the wide variance in the issues
surrounding the events of 1961. Although we have
used documents from as early as the 1946 period,
our focus has been those events starting with the
Vienna Summit between Khrushchev and Kennedy
through the 1961 standoff between the US and
Soviet tanks in October of that year. One should
not let the talks on Berlin between Kennedy and
Khrushchev, and the dangerous world power
standoff in October, overshadow the concerns and
fears of the people of Berlin caught in the middle of
a confrontation between two super powers. Berlin
had long been a source of friction between east
and west, and Khrushchev continued to push for
resolution on Berlin’s legal status. Khrushchev’s
meeting with Kennedy and the passing of the now
famous “aide-mémoires” only exacerbated the
situation and renewed US and Soviet tensions over
Berlin.
Khrushchev’s frustration with the slowness in
Western response, and his own hot rhetoric, should
come as no surprise, for each time Khrushchev spoke
on the subject it resulted in an increase in East
Germans heading West through Berlin. And those
mass exoduses added to the tension.
For this publication, the Department of State
declassified one of the most significant documents
written on the Berlin Crisis of 1961. The eightpart
study, covering the period November
1958-December 1962, in 600 pages presents a very
detailed account of the events leading up to, and
throughout, the 1961 Crisis. Titled “Crisis over
Berlin” and drafted by the Department of State’s
Historical Office after the Wall was erected by
the East Germans, captures the serious tension,
and contemporary understanding of the Soviet
and GDR intentions on Berlin. Part VI covers the
period from June through September cataloging
the different events on the internal US discussions,
international efforts with the British, French,
Germans, and NATO, and US military planning.
It provides great detail on the many issues of the
day and took several years to complete. Martin
Hillenbrand directed the study.
Dr. Pedlow’s “NATO and the Berlin Crisis of
1961” discusses the NATO planning efforts
during the crisis. During the previous years,
the NATO alliance had come to rely on the US
nuclear strategic umbrella in its military planning
and as a potential response to the Soviets and
Warsaw Pact in regards to West. The 1961
Crisis, and the Kennedy administration’s efforts
to move away from reliance on nuclear weapons,
was coupled with a move to increase US and
NATO conventional forces. The Crisis forced
NATO military defense planning to reevaluate
conventional force levels and led to an increase in
defense spending, initiated by Kennedy. Dr. Pedlow
captures the operational details, and discussions
by the LIVE OAK contingency planning staff,
established in 1958, for anticipating the Soviet
intentions on Berlin. Along with the Washington
Ambassadorial Group, these discussions created
tension between the three Western Powers and
NATO (Stikker) as to the military planning and
acceptable allied response. The question was
answered, in the end, that the NATO General
Secretary would direct all military planning.
Dr. Don Carter’s “The US Military Response to
the 1960-1962 Berlin Crisis”’ details the US Army’s
role and, more specifically, the role of the 7th US
Army Europe and that of the newly formed Berlin
Brigade, during the Crisis. It describes the moves
made by the Army in Berlin from patrols and
their challenging of the Soviet attempts to halt US
mission vehicles from entering the Eastern sectors
which expected to pass without inspection, and the
US diplomats’ refusal to show their identification
to anyone but Soviet military. The essay highlights
the increased training by US troops in Berlin,
defending or attacking, and planning to squash
any Soviet-initiated rioting. The training balanced
the dual military capability on riot-control drills
and combat defense operations. The US military
commanders were under pressure from local
German officials to cut the wire, and knock down
the barricades with US military bulldozers. The Germans were concerned by – and suspicious of –
the apparent lack of US force or any appearance
of concern by US commanders in Berlin. US Army
forces were increased both in Berlin and Germany
as well as committed to NATO conventional forces.
The arrival of the US troops on August 18th to
Berlin – expecting to be stopped by Soviet and
GDR troops – is a pivotal moment. When the
Americans arrived in the city dressed in full field
equipment, they received a hero’s welcome and
were paraded in front of Vice President Johnson
and General Clay. The paper also nicely details
the actual events leading up to and including the
standoff at Checkpoint Charlie.
Dr. Steury’s “Bitter Measures: Intelligence and
Action in the Berlin Crisis, 1961” covers the US
intelligence efforts to assist US civil and military
policymakers with evaluations of Soviet and GRU
intentions on the status of Berlin. The essay details
the significant reports and studies produced by the
CIA during the height of the Crisis, and we read
the documentation by CIA analysts of the unfolding
actions and counteractions. After the 1958 Crisis,
CIA focused its attention on the Soviets’ true
intentions on undermining the US legal status in
Berlin. The CIA also was directed to study Soviet
responses to the various NATO plans and meetings.
Dr. Steury accurately captures all three aspects of
the Berlin Crisis from the Intelligence Community
attempting to understand what was happening in
real time, the US military responding to the GRU’s
blockading access, up to the new administration
finding itself in a crisis that had been in the works
before Kennedy had taken office.
俄罗斯才是美国的头号敌人
是那些人主宰美国
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THE NEWLY RELEASED DOCUMENTS
Since 1995, the United States government has
reviewed 1.4 billion pages of classified information
and exempted millions that original classification
authorities believed needed further protection and
were not released. Documents from the 1961 Berlin
Crisis were among the many pages withheld from
public disclosure and are now released through
the coordination of the National Declassification
Center and it’s Agency partners. Altogether, the
NDC will release over 370+ documents, comprising
almost 4,800+ pages of textual records, at this
Berlin Crisis Conference.
The declassification of documents surrounding
the Allied Contingency Planning on Berlin is an
ongoing process. NATO, through its Archives
Committee, Germany, and the United States has
systematically released – through consultation and
review – many of the most sensitive documents.
The latest releases of these Operation Live Oak
and Contingency Planning documents continue to
expand our understanding of what western civil
and military leaders at the time were concerned
with in regards to the Soviet intentions in Berlin.
“How should Western Allies respond to Soviet or
East German moves against Berlin? What level of
force should be used to defend Western interests?”
Throughout the summer of 1961 the story unfolded
in dozens of documents, reports, meetings, and
discussions on an Allied response that risked
starting a nuclear war in the heart of Europe.
The release of these newly declassified documents
provides a fascinating, detailed snapshot of
those moments in the Crisis, and furthers our
understanding of a significant and critical series
of events during the Cold War. The Berlin Wall
would stand for another 28 years before the people
of East Germany would peacefully rise up and
regain their freedom.
Retter2012，我们提供“更快的速度”和“更好的内容”。
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sources
United States Department of State. Historical Studies Division
(1966). Crisis Over Berlin, American Policy Concerning the
Soviet Threats to Berlin November 1958-December 1962. Part 1.
(Research Project 614-A). Washington, D.C.: Author.
United States Department of State. Historical Studies Division
(February 1970). Crisis Over Berlin, American Policy Concerning
the Soviet Threats to Berlin November 1958-December 1962. Part
V. (Research Project 614-E). Washington, D.C.: Author.
United States Department of State. Historical Studies Division
(April 1970). Crisis Over Berlin, American Policy Concerning the
Soviet Threats to Berlin November 1958-December 1962. Part
VI. Deepening Crisis Over Berlin: Communist Challenges and
Western Responses, June-September 1961. (Research Project
614-F). Washington, D.C.: Author.
Speier, H. (1961). Divided Berlin: The Anatomy of Soviet Political
Blackmail. New York, NY: Praeger.
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BITTER MEASURES
INTELLIGENCE AND ACTION IN THE
BERLIN CRISIS, 1961
D R . DONA L D P. STEURY
CENTRAL INTELLIGENCE AGENCY
“All statements of fact, opinion, or analysis expressed are those of the author and do not
reflect the official positions or views of the Central Intelligence Agency (CIA) or any other U.S.
Government agency. Nothing in the contents should be construed as asserting or implying
U.S. Government authentication of information or CIA endorsement of the author’s views.
This material has been reviewed by CIA to prevent the disclosure of classified information.”
Just after midnight on the morning of 13 August
1961, East German soldiers pulled up in trucks at
numerous locations in the center of Berlin. Working
quickly, they pulled out rolls of barbed wire and,
within a few hours, had established a barrier clean
across the center of the city. Guards were posted
every few yards, as necessary, and, within a matter
of hours, Berlin was cut in two. The Berlin Wall
had come into being.
Looking back, it is possible to see this as the
turning point in the Cold War. No nation, no
system, which can survive only by walling in its
citizens can possibly hope to achieve credibility
or permanency. The building of the Berlin Wall
ensured that the German Democratic Republic
would last only so long as the Wall remained. Its
construction was an admission of defeat by the
communist leadership. Once built, it was doomed,
sooner or later, to come down.
It did not seem so at the time. The Berlin Wall
was built in a period of soaring tension between
the US and the USSR. It was the climax of nearly
three years of crisis, precipitated in November
1958, when Soviet Premier Nikita Khrushchev
threatened to sign a separate peace treaty with
communist East Germany, thereby putting an end
to the four-power regime in the city. In the end,
no such treaty was ever signed and Khrushchev
moderated his tone over 1959, even taking time off
from the Cold War to engage in a triumphal tour
of the United States. But, in May 1960, he walked
out of the Paris summit, following the shoot-down
of Francis Gary Powers’ U-2, and later that year
conducted a stormy appearance at the United
Nations, which produced his famous shoe-pounding
episode. The specter of a peace treaty was raised
again and Soviet-American tensions increased even
as Khrushchev prepared to deal with the newlyelected
President, John Fitzgerald Kennedy.
What was at stake, of course, were western rights
to station troops in Berlin and maintain the freedom
and independence of the western half of the
city. These derived from four-power agreements
negotiated at the end of World War II. Although
a separate Soviet-GDR peace treaty might
conceivably be little more than a political gesture,
there was little doubt that, once having signed
such an agreement, Khrushchev would use it as a
lever to force the western allies, and especially the
United States, out of Berlin.
Berlin (1)
Quite apart from the humanitarian cost of
abandoning another million or so people to
communist domination, this would have been
catastrophic politically: Berlin was the symbol
of America’s commitment to the North Atlantic
alliance, to the security of Western Europe,
to the sovereignty of the Federal Republic. To
abandon Berlin would be to make mockery of the
commitments negotiated since the end of the war.
But Berlin was indefensible. The Soviet bloc might
not actually be expected to take West Berlin by force, but, a determined Soviet effort to isolate
the western half of the city could only be met by
evacuation, by hunkering down for a siege, or by
efforts to force troops through to the city from
West Germany. All of these actions carried with
them the risk of war. There was a general fear that
a military confrontation over Berlin would quickly
escalate into general hostilities, in an era in which
both sides were prepared to wage war with nuclear
weapons. A crisis over Berlin, if it got out of
control, could lead to Armageddon.
CIA analysts thus took very seriously any apparent
attempts to undermine western treaty rights in
Berlin. At the same time, it was believed that
Moscow would make strenuous efforts to negotiate
before carrying out Khrushchev’s threats. Whatever
the validity of this conclusion, it was, in a sense
misleading. Since any negotiation along lines
acceptable to the Soviets inevitably would involve
compromising western treaty rights, no negotiated
solution was really possible. The Berlin crisis thus
took the form of a series of threatened ultimata,
which never quite came off, with western observers
attempting to anticipate Soviet actions that were
never taken.
But, although treaty issues often were at center
stage, the dynamic factor in the Berlin situation
was the refugee problem. So long as the sector
border between East and West Berlin was open,
West Berlin acted as an open conduit to the West.
Moreover, its growing prosperity stood in sharp
contrast to the drabness of life in the Soviet bloc.
The result was that through Berlin, East Germany
was depopulating itself at the rate of 200-300,000
people per year, more than 1.1 million since the
founding of the communist state in 1949—and
this from what was, after all, a small country
with a population of fewer than 16 million.1 In
the summer of 1961, Khrushchev joked with the
East German leader, Walter Ulbricht, that soon
he would be the only person left in the country.
Ulbricht was not amused.
Small wonder that the East German’s relations
with Khrushchev seem to have been dominated by
increasingly frantic attempts to reach agreement on some drastic measure to keep the population
of East Germany from simply walking away down
the Friedrichstrasse. The importance of this has
often been underestimated in western scholarship,
which for years focused on Khrushchev and his
policies. Thanks to the work of Hope Harrison we
now know that the Wall was almost wholly an East
German project, from beginning to end. Ulbricht
was an unrepentant Stalinist and the East German
regime the most hard-line communist in Eastern
Europe. Their persistent efforts to reconstruct the
East German economy along Stalinist lines caused
widespread hardship and directly fed the outflux
of refugees.
In the American intelligence community, the
importance of what was termed the “refugee
problem” as a destabilizing factor in the Berlin
situation was recognized early on. The greatest
concern was that East Berlin’s inability to resolve
the economic crisis they largely had created would
undermine Khrushchev’s political standing inside the
Kremlin and force him into some kind of precipitate
action. This concern grew as Khrushchev stepped
up his pressure on the West: increased tensions
worked directly to increase the flow of refugees,
which in turn, fed the growing economic crisis
in East Germany, thereby increasing pressure
on Khrushchev to force through some kind of
solution—and so on, in an escalating spiral of
tension with increasingly dire consequences.
The possibility of some sort of Soviet action to
restrict access to West Berlin—either as a repetition
of the 1948 blockade, or as some other form of
action—figured strongly in intelligence reporting
throughout the last half of the 1950s. In November
1957, CIA’s Office of Current Intelligence (OCI)
warned that the Soviets might seal the sector
borders between East and West Berlin as a means
of applying pressure on the West.2 On 28 May
1959, OCI warned that East Germany—not the
Soviet Union—might restrict traffic at the border
crossings, to reduce or eliminate uncontrolled access
to West Berlin, force the West Berlin government to
negotiate on issues of access, and reduce the labor
shortage in East Germany.3
1Current Weekly Intelligence Summary: “Flight of Refugees from East Germany,” 12 February 1959 (MORI: 45580) in Donald P. Steury
(ed.), On the Front Lines of the Cold War: Documents on the Intelligence War in Berlin, 1946-1961 (Washington, D.C. CIA History
Staff, Center for the Study of Intelligence, 1999) p. 455-58.
2Memorandum for the DDI; Subject: “The Berlin Situation,” 1 November 1957 (MORI: 44001 in Ibid., pp. 536-37.
3Current Weekly Intelligence Summary: “East Germany May Move against East German Sector Border Crossings,” 28 May 1959; Ibid.,
pp. 493-94.
Nonetheless, the Berlin crisis, when it came, was
something of surprise. The mid-1950s had been a
period of relative quiet in Berlin. Although it was
taken for granted that Soviet long-term goals were
to force the western allies out of the city, it was
assumed that they were not willing to risk war and
accepted a western presence for the time being.4
It was known that the Soviets believed that longterm
political and economic trends favored them.
Moreover, as their nuclear capabilities improved,
the Soviets would be more confident in their
dealings with the West—and would be more willing
to force their demands.5
Khrushchev’s November 1958 pronouncement thus
was seen as a sign that a period of Soviet resurgence
was beginning. The intervening two years had seen
considerable expansion of the Soviet long-range
bomber force, deployment of large numbers of
medium- and intermediate-range ballistic missiles
in Eastern Europe and significant progress in their
ICBM program. This did not mean that the Soviets
would deliberately provoke a military confrontation,
but that they were determined to force a discussion
of the Berlin situation and that they would not
back down. An NIE issued immediately after
Khrushchev’s November pronouncement forecast
that the Soviets would seek a summit at a time
and place of their own choosing, preferably under
circumstances in which they had some hopes of
splitting the western alliance.6
Another SNIE, issued two months later noted
that the Soviets believed that their advances in
nuclear weapons had considerably improved
their negotiating position.7 If the western powers
refused to recognize the de facto position in Central
Europe, another blockade of Berlin was possible.
Analysts believed that, in contrast to 1948, the
Soviets would not permit the resupply of the city,
but they would allow supplies to be carried to the
western garrisons. Western attempts to force open
access to the city would be opposed, but the Soviets
would otherwise avoid a military confrontation.8
4NIE 11-3-56 Probable Short-Term Communist Capabilities and Intentions Regarding Berlin; 28 February 1956, pp. 1-3. (www.FOIA.
CIA.gov).
5NIE 11-4-56 Soviet Capabilities and Probable Course of Action Through 1961; 2 August 1956, p. 48. (www.FOIA.CIA.gov)
6SNIE 100-13-58 Soviet Objectives in the Berlin Crisis; 23 December 1958, Steury (ed.) op. cit. p. 431.
7SNIE 100-2-59 Probable Soviet Course of Action Regarding Berlin and Germany; 24 February 1959, p. 2 (www.FOIA.CIA.gov).
8Ibid. pp. 4-5.
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DECIPHERING SOVIET INTENTIONS
NIEs issued over the next two years amplified,
but did not back away from these conclusions.9
Analysts nonetheless found Khrushchev’s intentions
and actions difficult to predict. Tensions remained
high, but, given the uncompromising nature of his
demands, Khrushchev was remarkably quiescent
during the Berlin crisis as a whole. The caution
he demonstrated often contrasted puzzlingly
with his habitual bombast. In January 1959,
Khrushchev sent clear signals that he would not
go to war over Berlin, but also that he would not
be part of an agreement that included the Bonn
government—which then had as its Chancellor the
Christian Democrat Konrad Adenauer. When the
foreign ministers of the Soviet Union and the three
Western Allies met in Geneva over May-June 1959,
Khrushchev apparently sniffed the beginnings of
a crack in the Western alliance—perhaps from a
KGB report that Great Britain and France were
considering reducing their troop commitments to
West Berlin. Yet, when the United States vetoed
the idea, Khrushchev responded only with an open
letter to Eisenhower. Apparently eager to push for a
solution at the beginning of the conference, he later
was disposed to wait for a more opportune moment.
“A year or a year and a half—this isn’t a key issue
for us,” he told the East German leader, Walter
Ulbricht.10 An SNIE issued during the conference
concluded that Khrushchev probably did not seek
a real solution there, but saw it as the first stage
in a process by which the Western Allies would
be eased gradually out of Berlin. “If the Soviets
allow the Geneva meeting to end in stalemate, they
will presumably do so on the calculation that a
period of additional pressure on the Berlin problem
will finally induce the Western Powers to make
substantial concessions.” The Soviets still would
shrink from a direct confrontation, but would be
more likely, “to increase pressure on the Berlin
issue gradually and only in such a degree as in their
opinion would tend to induce the Western Powers
to resume negotiations later . . .”11 In the meantime, Khrushchev went off to the United States, to visit
President Eisenhower.
The next opportune moment came a year later,
at the Paris summit. Once again, Khrushchev
failed to make use of the opportunity to push the
Berlin issue. Although he later claimed that he
had decided there was little point in dealing with
the lame duck President Eisenhower,12 he may
also have decided after a preliminary meeting with
De Gaulle that there was little hope of separating
Great Britain and France from the US on the Berlin
question.13 At any rate, he showed up in Paris
only to destroy the summit. Denouncing the U-2
flights over the Soviet Union (Francis Gary Powers
had been shot down just two weeks previously)
he demanded an apology and stormed out of the
summit. An apology was not forthcoming, and the
summit was at an end.
The winter of 1960-61 was one of anticipation,
as well as discontent. In a review of the Berlin
crisis prepared that Spring, CIA’s Office of
Current Intelligence observed that Khrushchev
had alternated between offers to negotiate over
Berlin and threats of unilateral action. Throughout,
“Moscow” had, “aimed at liquidating Western rights
to remain in Berlin without restrictions pending
German unification.” Since the West has no interest
in negotiating away its rights, Moscow has used
deadlines, either explicit or implicit to guarantee
continuing Western interest in discussing the issue
in order to avoid a crisis.
There was a clear sense, however, that some
kind of decision was at hand: Moscow was still
willing to negotiate, even to settle for some kind
of interim agreement. However: If the West refused to negotiate, Khrushchev would probably
feel compelled to conclude a separate treaty. His
long and continuing commitments to take this
action probably act as a form of pressure either
to demonstrate gains by negotiations or to carry
out his repeated pledges to resolve the situation in
Berlin by unilateral action. At any rate, Khrushchev
has committed himself to a solution during 1961.14
9SNIE 100-2/1-59 The Berlin Crisis; 17 March 1959, passim (www.FOIA.CIA.gov).
10Aleksander Fursenko and Timothy Naftali, Khrushchev’s Cold War (New York and London: WW Norton, 2006), pp. 224-25.
11SNIE 100-7-59 Soviet Tactics on Berlin; 11 June 1959 (www.
FOIA.CIA.gov), pp. 1, 4.
12John Lewis Gaddis, The Cold War (London: Penguin, 2005),
p. 73.
13Sherman Kent, “The Summit Conference of 1960: An
Intelligence Officer’s View,” in Donald P. Steury (ed.),
Sherman Kent and the Board of National Estimates
(Washington, D.C.: Center for the Study of Intelligence,
1994), pp. 162-63.
14Current Intelligence Weekly Summary: “Soviet Policy on
Berlin and Germany,” 11 May 1961 Doc. Nr. 28202) in Steury
(ed.) On the Front Lines of the Cold War, pp. 545-46.
持续性衰退刚开始
是那些人主宰美国
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Berlin, 30 November, 1961
Before the start of the holiday season,
on 30 November, West Berliners still
try to stay in contact by waving at
friends in East Berlin.
Berlin (1)
Berlin (2)
Berlin (7)
俄罗斯才是美国的头号敌人
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THE U.S. MILITARY RESPONSE
THE U.S. MILITARY RESPONSE OF THE 1960 - 1962 BERLIN CRISIS
D R . DONA L D A . CARTER
THE U. S. ARMY CENTER OF MILITARY HISTORY
The election of a new U.S. president, John F.
Kennedy, in November 1960 renewed the East-
West tensions surrounding the city of Berlin
that had simmered since the Allied occupation of
Germany in 1945. Kennedy’s first meeting with
Soviet Premier Nikita S. Khrushchev in Vienna
in June 1961 did nothing to diffuse the sense of
confrontation. During their personal discussions,
Khrushchev handed an aide-memoire to Kennedy
that seemed to dare the president to oppose Soviet
intentions. The missive accused the Federal
Republic of Germany of cultivating “saber-rattling
militarism” and of advocating revisions to the
borders that had been established after World War
II. Only a permanent peace treaty that recognized
the sovereignty of both East and West Germany,
as they had evolved, would guarantee that they
would not again threaten the European peace.
The conclusion of a German peace treaty, the
document went on, would also solve the problem of
normalizing the situation in West Berlin by making
the city a demilitarized free zone registered with
the United Nations. Naturally, the memorandum
concluded, any treaty, whether the United
States signed it or not, would terminate Western
occupation rights.1
1Aide-Memoire, Soviet Union to the United States, Handed by Premier Khrushchev to President Kennedy at Vienna, 4 Jun 1961, in Documents
on Germany, 1944–1961, Senate Committee on Foreign Relations, Dec 1961, pp. 642–46.
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KHRUSHCHEV’S ULTIMATUM
On 4 June 1961, Kennedy met privately with Soviet
Premier Nikita Khrushchev to make one last effort
to impress upon the Soviet leader the importance the United States placed on its commitment to
the people of West Berlin. Khrushchev replied
that he appreciated the frankness of Kennedy’s
remarks, but if the U.S. insisted on maintaining its
presence in Berlin after a treaty was signed, the
Soviet Union would have no choice but to assist
the German Democratic Republic in defending its
borders. His decision to sign the treaty, he added,
was irrevocable. The Soviet Union would sign it in
December if the United States refused an interim
agreement. As he departed, Kennedy closed the
conversation saying it “would be a cold winter.”2
Immediately after the conclusion of the Vienna
summit, in an unprecedented fireside chat on
Soviet television, Khrushchev repeated his
demands, telling his people that the Soviets
would sign a peace treaty whether the West was
ready to do so or not. He added that the Soviet
Union would oppose any and all violations of
East Germany’s sovereignty. The chairman of
East Germany’s council of state, Walter Ulbricht,
also publicly warned the West to negotiate its
use of access routes into Berlin with his country
or risk “interruptions.” He made it clear that the
Communists wanted the Western Allies out of
Berlin so that the city would no longer be a lure to
refugees from the East.3
President Kennedy and his military advisers
weighed their options in light of Khrushchev’s
increasing belligerence. Understanding that the Communists’ initial actions would include cutting
off Western access to Berlin, the Joint Chiefs of
Staff began refining contingency plans for various
military probes of the main roadway into West
Berlin, an autobahn that ran 105 miles to the city
from the town of Helmstedt on the West German
border. Although they were prepared to mount an
airlift similar to the one that had broken a Soviet
blockade in 1949, they privately decried the lack
of options available to them for dealing with the
impending crisis. They informed the president and
Secretary of Defense Robert S. McNamara that the
Allies’ lack of military strength in Europe allowed
only limited ground probes, which, if turned back
by superior Communist forces, would result in a
choice between accepting humiliation or initiating
nuclear war. To keep that from happening, they
urged the president to build up U.S. military power
in Europe and to encourage the North Atlantic
Treaty Organization (NATO) allies to do the same.4
From Europe, the Supreme Allied Commander
Europe [SACEUR], General Lauris Norstad, also
lobbied for increasing the U.S. military presence
in the theater. He praised the Seventh Army in
Europe as the best peacetime force the United
States had ever fielded and commended the
dedication and commitment of NATO units, but he
stressed the overwhelming number of Soviet tanks,
aircraft, and men arrayed against those forces. He
urged the president to call up additional reserve
units and to deploy additional battle groups to
Europe under the guise of training exercises. He
also wanted the president and the Joint Chiefs to
position additional U.S. naval and air forces where
they could contribute to theater readiness, and he
suggested that the Seventh Army should conduct
more exercises that would require its divisions
to move into their alert positions. Those steps,
combined with an increase in U.S. military strength
in Europe, would give the United States greater
freedom of action, the general said, and provide
alternatives short of nuclear war.5
After several weeks of discussions with his cabinet,
the National Security Council, the Joint Chiefs
of Staff, and a variety of other advisers, the
president made his decision. At 2200 on 25 July,
he addressed the nation on the situation in Berlin.
After summarizing the course of events since his
meeting with Khrushchev, he stated that the United
States would never allow the Soviet Union to drive
it out of Berlin, either gradually or by force. He
then announced a series of steps that he was taking
to increase military readiness. First, he would ask
Congress for an immediate additional appropriation
of $3.2 billion for the armed forces, about half of
which would go to the procurement of conventional
ammunition, weapons, and equipment. A request
would then follow, Kennedy said, to augment the
total authorized strength of the Army from 875,000
to 1 million men, and increase the Navy and Air
Force active-duty strength by 29,000 and 63,000,
respectively. He also called for a doubling and
tripling of draft calls in the coming months; the
activation of some reservists and certain readyreserve
units; and the extension of tours of duty
for soldiers, sailors, and airmen scheduled to leave
the service in the near future. Finally, the president
postponed programs to retire or mothball older
ships and aircraft and delayed the deactivation of a
number of B–47 bomber and aerial refueling wings.
Shortly thereafter, Secretary of Defense McNamara
announced that 50 percent of the Strategic Air
Command’s bomber wings would be placed on
15-minute ground alert and that three of the Army’s
divisions in the United States would be relieved
of training duties and prepared for emergency
deployment to Europe.6
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THE WALL
Meanwhile, the situation continued to deteriorate.
Soviet and East German soldiers increased their
harassment of U.S. vehicles and troop trains trying
to enter the city, and Soviet authorities periodically
renewed attempts to conduct unauthorized inspections of Allied vehicles as they crossed
checkpoints into and out of Berlin. The Soviets
also tried to institute new restrictions on flights
approaching the city while allowing their fighters to
buzz Allied aircraft flying through approved access
corridors. In May 1960, Soviet fighter aircraft
forced down an American C–47 transport that had
strayed off-course on a flight from Copenhagen to
Hamburg. Although the plane and its crew were
released a few days later, the incident heightened
the tension for pilots flying the Berlin routes.
Border officials slowed barge traffic, as well, by
implementing new inspections and controls.7
In response, the two battle groups of the U.S.
Army’s 6th Infantry that made up the bulk of the
U.S. garrison in West Berlin increased their tempo
of training and placed additional emphasis on riotcontrol
drills and combat operations in the city.
West Berlin’s expansive Grunewald Park, the only
open space in the sector where units could train,
hosted a series of exercises where the troops tested
their readiness to attack and defend. Companies
donned civilian clothing and acted as rioters to test
the ability of their compatriots to maintain order in
the face of Communist-inspired civil disturbances.
In some cases, U.S. commanders went out of their
way to ensure that the Soviets knew exactly what
they were doing. It was an essential element in
the American effort to convince the Soviets that
the United States would fight for West Berlin
and that, while U.S. forces might not be able to
hold the city, they would inflict unacceptable
losses on the attacker. In response, the East
Germans built an observation tower to get a better
view of the training. One American lieutenant
colonel commented that he did not mind the close
observation. As a matter of fact, he said, “We want
them to know that we’re here to stay.”8
For the Communists, however, time was apparently
running out. Khrushchev’s repeated threats to
conclude a separate peace treaty with East Germany spurred an increase in the already considerable
number of refugees heading west. Since 1945,
well over three million people fled from the East.
German authorities recorded that more than half
of those had come through West Berlin, making
the city unmistakably the “escape hatch” from
the Soviet zone. In 1960, manpower shortages
reached a point where the German Democratic
Republic experienced difficulties in completing
winter planting and harvesting and admitted to
a shortage of five hundred thousand workers of
all types in East Berlin alone. By the end of the
year, for example, only 380 dentists remained in
the Soviet sector, as compared to 700 the year
before. Complicating matters, some 20,000 of the
150,000 refugees who entered West Berlin were of
military age, a serious loss in East German military
manpower. The trend accelerated in 1961. During
February, the exodus averaged 2,650 persons per
week. By the end of May, this figure had risen to
3,200. In July, more than 30,000 refugees crossed
over to the west, the largest monthly total since
1953. In an appeal broadcast to its own citizens,
the East German government said that the mass
migration was disrupting the economy, damaging the
nation’s standing abroad, and threatening its future.9
Communist efforts to stem the tide grew desperate.
The East Germans employed more than 5,000
police to guard the borders around West Berlin.
When that proved to be insufficient, they began
drafting members of the “Free German Youth,”
a Communist political organization, to assist
transportation police in checking buses and trains
at crossing points. Party officials took steps to
force East Berliners working in West Berlin to
give up their jobs. Vigilante groups sanctioned
by the Communist government turned in persons
suspected of planning to flee the East or of helping
others to do so. Increased propaganda meanwhile
labeled refugees as traitors and accused the West
of plotting to sabotage the East German economy
through blackmail and a trade in slaves.10
On 12 August 1961, the East German regime
announced that all but 13 of the 120 bordercrossing
points between East and West Berlin
would be closed to both vehicular and pedestrian
traffic. Then, in the predawn hours of 13 August,
East German police, armored cars, and tanks were
deployed along the entire border of the Soviet
sector of the city. Workers set up barbed-wire
barricades and began construction of permanent
cement-block walls. In some places, sections of the
cobblestone streets were removed. Although West
Berliners and Allied personnel were still allowed in
and out of East Berlin through a few well-guarded
checkpoints, decrees from the East German
government forbade its citizens from entering West
Berlin.
As a precaution against an internal uprising
in East Berlin, it appeared that the Soviet 10th
Guards Tank Division and 19th Motorized Rifle
Division deployed to the north and south of the
city, and Soviet tanks moved into East Berlin to
take positions at various locations in the city. To
western reporters and military personnel who could
still move about East Berlin, the Soviets clearly
wanted no uprisings of the sort that had occurred
in Hungary in 1956 in response to the imposition of
Soviet power.11
Over the course of the next several days, the East
Germans worked to complete the isolation of West
Berlin. They announced that train traffic would
be reorganized so that there would no longer be
direct service between the two parts of the city. In
the future, travelers would have to change trains
and submit to identity checks before entering
the eastern sector. Trains from West Germany
into West Berlin would pass normally, but they
would no longer be allowed to continue into the
Communist sector. Local commuter trains and
buses from outside the city limits as well as those
originating in East Berlin were also denied access to West Berlin. Even the pleasure boats that
transported tourists from lakes in East Berlin to the
Havel River in the western sectors were terminated.
Within a week, the East Germans designated a
crossing point at Friedrichstrasse in the American
sector as the only point of entry into East Berlin
for the Allies and other foreign nationals. As East
German police and workmen sealed off doors and
windows in buildings that made up portions of the
barricade and replaced barbed wire with concrete,
the grim reality of a divided city began to sink in to
citizens on both sides of the wall.12
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Berlin, October 1961
American tanks were brought up to Friedrich
Strasse on October 25 after two U.S. army
buses were refused entry into East Berlin for
a sightseeing tour.
Berlin (1)
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NATO BERLIN CRISIS OF 1961
FACING THE SOVIETS WHILE
MAINTAINING UNITY
D R . GREGORY W. PEDLOW
SUPREME HEADQUARTERS ALLIED POWERS EUROPE
When East German border guards began stringing
barbed wire on 13 August 1961 – the first step in
constructing what soon became known as the Berlin
Wall – NATO [North Atlantic Treaty Organization]
and the West had already been confronted by an
on-again, off-again crisis over Berlin since late
1958. On 27 November 1958, Soviet Premier Nikita
Khrushchev had stated he would end the fourpower
occupation of Berlin and sign, within six
months, a separate peace treaty with the German
Democratic Republic, threatening the continued
presence in West Berlin of British, French and U.S.
forces. Soon afterward, at the NATO Ministerial
Meeting of 16 December 1958, the Alliance’s
foreign ministers gave full support to the position of
the three Western Allies in Berlin by declaring that
“the denunciation of the inter-allied agreements
on Berlin can in no way deprive the other parties
of their rights or relieve the Soviet Union of its
obligations.”1 But in terms of developing responses
to possible Soviet moves against the Allies’ position
in Berlin, NATO was not actively involved prior
to the summer of 1961. Instead, the three Western
Allies preferred to deal with this crisis themselves,
and established tripartite mechanisms to do so.
The Washington Ambassadorial Group (WAG) –
consisting of the British and French ambassadors to the United States and Deputy Under Secretary
of State Robert Murphy – became the senior forum
for tripartite consultation in January 1959, and in
April the three powers established the LIVE OAK
contingency planning staff in Paris to prepare
military responses to possible Soviet restrictions on
Allied access to Berlin. General Lauris Norstad was
the first “Commander LIVE OAK” as a third “hat”
in additions to those he wore as NATO’s Supreme
Allied Commander Europe (SACEUR) and the US
Commander-in-Chief Europe (USCINCEUR).2
In the autumn of 1959, tensions over Berlin eased as
Khrushchev quietly dropped his ultimatum against
the Western Allies. General Norstad therefore
reduced the LIVE OAK planning staff in size
but chose not to eliminate entirely this source of
expertise for Berlin planning. LIVE OAK continued
to produce various contingency plans to deal with
Soviet threats to Western access to Berlin. For
ground access, LIVE OAK had developed plans
that included a small (company-sized) tripartite
probe to test whether or not the Soviets actually
were stopping all Allied access to Berlin, and a
larger tripartite battalion effort to demonstrate the
Allies’ determination to reopen the access routes.
To deal with threats to Allied use of the three air corridors to West Berlin, LIVE OAK also developed
a series of air contingency plans. These plans did
not, however, include plans for another airlift
like the one of 1948-1949. Not wishing to rush
immediately into another airlift without first testing
Soviet intentions on the ground, the United States
had ordered the removal of all airlift planning from
LIVE OAK in January 1960.3
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SOVIETS TEST METTLE OF NEW U.S. PRESIDENT
NATO’s involvement in Berlin contingency
planning did not come until the crisis reawakened
in 1961, after Khrushchev decided to test the new
U.S. administration of President John F. Kennedy
by renewing his earlier threats against the Western
presence in Berlin. Initial hints of such an action
had already come in the early months of 1961, and
Khrushchev’s intentions became clear at a summit
meeting with Kennedy in Vienna on 3-4 June 1961,
when he again threatened to sign a separate peace
with East Germany and said that Allied forces
would have to depart from Berlin within six months
after the signing.4
The renewed crisis over Berlin came at a time when
NATO was in the midst of a substantial debate
about the future direction of its military strategy,
which was still officially one of heavy reliance on
nuclear weapons to defend the Alliance’s territory.
After the new U.S. administration began calling
for a considerable strengthening of NATO’s
conventional forces in order to postpone the
start of nuclear conflict in the event of war, the
European NATO members began to fear that the
United States was moving away from the strategy
set forth in MC 14/2, a strategy that is commonly
called “massive retaliation” even though the actual
strategy was not quite so inflexible as to launch all the missiles and strategic bombers as soon as the
first Soviet soldier crossed a NATO border.5
On 5 June 1961, one day after the Kennedy-
Khrushchev summit in Vienna, U.S. Secretary
of State Dean Rusk appeared before the North
Atlantic Council to inform the nations about the
Vienna meeting. He expressed the belief that the
Soviets would force the Berlin issue before the end
of the year.6 Two days later the U.S. Permanent
Representative to NATO,7 Ambassador Thomas K.
Finletter, informed his colleagues about the state
of tripartite military contingency planning, the
first such report to the Council since December
1959. He noted that in order to meet this “new
threat” from the Soviet Union, additional
multinational planning had become necessary,
including work on economic countermeasures by
NATO, and a tripartite plan for further nonmilitary
countermeasures.8
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A DIVIDED, INDECISIVE, AND IRRESOLUTE NATO
What Ambassador Finletter did not say to the
Council, however, was that the three Western
Allies still held widely divergent views on their
own military contingency plans. Thus even before
President Kennedy met with Premier Khrushchev
in Vienna, members of the Kennedy administration
were already expressing dissatisfaction with the
existing contingency plans for Berlin. On 5 May
1961 Secretary of Defense Robert S. McNamara
had written to the President calling the existing
military contingency plans for an access crisis over
Berlin “deficient” and complaining that they could
be stopped even by the East Germans acting alone.
He therefore called it “mandatory, that in any
military operation larger than a probe, we have at
least the level of forces required to defeat any solely
Satellite force, without employing our nuclear
response.”9 In stark contrast to the growing belief
in the Kennedy Administration that plans for much
larger operations to restore access were needed, the
United Kingdom Chiefs of Staff still believed that
large-scale operations were “militarily unsound and,
moreover, could not succeed in their object unless it
was made clear that they were backed by the threat
of nuclear striking power and that the West was in
all respects prepared to go to war.”10 The French
also had their doubts about the quality of existing
military plans for Berlin. Ministère des Armées
Pierre Messmer told British Prime Minister Harold
Macmillan in July 1961 that “LIVE OAK planning
certainly did not seem very realistic.”11
General Norstad shared British concerns about the
effectiveness of large-scale operations to restore
access to Berlin. In a letter he wrote to McNamara
as USCINCEUR on 29 May 1961, he stated that
he was planning to order the development of a
corps-level plan on a unilateral basis, but his letter
gave only one possible justification for such a
force – rescuing a probe – while pointing out many
grave disadvantages: “A large probe, that is, one of
several divisions, could be stopped almost as easily
as a small one, perhaps even by the East Germans
without Soviet assistance, and the greater the force
used, the greater the embarrassment which would
result from failure . . . We must also, in considering
the size of the effort to be used, remember that
nothing would impress the Soviets less than wasting
in the corridor the forces that are known to be
essential to our over-all defense.”12
Berlin (1)
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DEFENDING BERLIN AIR CORRIDORS EXPOSES NATO VULNERABILITIES
This was the great dilemma of the larger
military contingency plans for Berlin: they
endangered the overall defense of the NATO area
by placing substantial forces in a position that
was completely untenable from a military point of
view. For the Kennedy Administration, the only
way out of this dilemma – which would otherwise
force the early use of nuclear weapons in a Berlin
access crisis – was to consider a major build-up
not only of the U.S. forces deployed in Europe
but also those of the NATO allies. At the request
of Secretary McNamara, the U.S. Joint Chiefs of
Staff developed a “Requirement Plan for the Allies”
listing measures that the NATO allies could take to
increase their forces’ readiness.
President Kennedy
then issued a direct appeal to the NATO allies
on 20 July 1961 to undertake such an immediate
military build-up to meet the Soviet challenge over
Berlin. This appeal took the form of personal letters
to President de Gaulle, Prime Minister Macmillan
and Chancellor Adenauer, plus directives to U.S.
ambassadors in the other capitals to inform the
foreign ministers of the proposed U.S. military
build-up and the United States’ desire that the
other NATO members make a comparable effort.13
As a follow-up, Secretary of State Rusk addressed
a private meeting of the North Atlantic Council on
8 August 1961. He urged the Alliance to support
the preparation of economic countermeasures and
NATO coordination of “propaganda and political
action in support of our position in Berlin.” He
supported the need for a NATO military build-up,
noting that “If there is any way, short of the actual
use of force, by which the Soviets can be made to
realize Western determination, it is by making our
strength visibly larger.” He also stated that the
build-up may “influence Soviet political decisions.”
Secretary Rusk informed the Council that existing
military contingency plans were being reviewed,
“the military contingency planning group known
as Live Oak is being brought into the SHAPE
[Supreme Headquarters Allied Powers Europe]
area, and we can expect close coordination of that
planning with NATO as a whole.” He called for the
West to have a “wide choice of courses of action
after the first Soviet use of force,” even though
some of these plans might never be executed and
recognizing the fact that “planning implies no
commitment to execute.” He also called for the
NATO allies to bring their forces up to previously
agreed forces levels and to make their first-echelon
forces combat ready. In the economic field they
should be prepared to impose a total embargo on
the Communist bloc in the event Western access is
blocked. Reaction in the Council to Rusk’s speech was generally supportive, and the ambassadors
agreed to meet again to consider their governments’
preliminary reactions.14
Secretary Rusk’s statement that LIVE OAK “was
being brought into the SHAPE area” referred
simply to the physical move of the staff from the
USEUCOM compound to the SHAPE compound,
a move for which General Norstad had requested
authorization from the Tripartite Chiefs of Staff on
4 August 1961 in order to provide the British and
French staffs at LIVE OAK access to their national
secure communications facilities at SHAPE, to
enable him to supervise the staff’s work more
closely, and to facilitate the transfer of control
of operations to NATO if that proved necessary.
However, there was some initial confusion about
this statement at NATO Headquarters, with the
head of defense planning in NATO’s International
Staff informing the Deputy Secretary-General that
“the decision to transfer direction of LIVE OAK’s
operations to SHAPE confirms the intention of
the United States, Great Britain, and France to
put this matter under NATO, in particular into the
hands of the military authorities of the Alliance.”15
In reality, LIVE OAK remained an independent
organization until the end of its existence in 1990,
but the move to SHAPE did symbolize the desire to
create a closer relationship between quadripartite
and NATO planning as well as to ensure a rapid
transfer of control once operations to restore access
to Berlin moved past the smaller LIVE OAK plans.
In addition to the move to SHAPE, LIVE OAK
underwent another key change on 9 August 1961,
when a German liaison officer joined the staff. The Washington Ambassadorial Group also became
quadripartite through the addition of the German
ambassador to the U.S. in late July. Although
German military personnel and diplomats were now
involved in the LIVE OAK planning and approval
process, the Bundeswehr could not take part in any
Allied military actions on the access routes or in the
air corridors; these had to remain tripartite.
As a follow-on to Secretary Rusk’s call for stronger
conventional forces in the Alliance, SACEUR
Norstad wrote to Secretary-General Dirk Stikker
on 11 August outlining a series of “actions which
could be taken by NATO countries to prepare for a
possible Berlin crisis.” He provided detailed tables of
the current land, sea, and air forces for each NATO
member, including their authorized versus actual
periods of compulsory military service, and he made
recommendations for specific measures to “improve
the posture of the Alliance in the next few months.”16
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Berlin, 1961
Barbed wire is coiled underneath the sign
announcing the end of the French sector
of West Berlin. Behind the East German
soldiers guarding the border, East Berlin
civilians stand silently watching.
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CRISISBOVER BERLIN
A STUDY PRODUCED
BY THE HISTORICAL OFFICE,
UNITED STATES DEPARTMENT OF STATE1
Crisis over Berlin was produced by the Historical
Office of the Department of State at the request of
Martin J. Hillenbrand, a senior Foreign Service
Officer and scholar of Germany. Hillenbrand
requested the document in his capacity as Deputy
Head of the Berlin Task Force (BTF), an interagency
body charged with coordinating responses to the
Berlin crisis. Hillenbrand’s formal request of March
4, 1963 notes that the BTF found military histories
of the crisis operationally helpful. Hillenbrand also
hoped a State Department project focusing on the
diplomatic aspects of the crisis would be, “useful in
the future when the history of this particular foreign
policy problem comes to be written.”2 The Historical
Office accepted the tasking on March 22, 1963.
Dr.
Arthur Kogan was relieved of his other duties to
fulfill Hillenbrand’s request. In conversation with
Kogan, Hillenbrand emphasized the historical import
of the project, requesting a “thorough” account of
“some length.”3 Kogan received extensive access to
highly classified Department of State documents
for the purpose of creating the most comprehensive
possible account.
To address Hillenbrand’s request
for a comprehensive account, Kogan designed an
eight-part study covering the period November
1958-December 1962. Kogan transmitted the draft of
Part I to Hillenbrand on August 21, 1964. Hillenbrand
extensively involved himself in the project, critiquing
Part I in detail. Kogan noted, “Your comments and
suggestions regarding Part I were most helpful and
they have been fully taken into account in the drafting
of the final version.”4 While waiting for Hillenbrand’s comments on Part I, Kogan finished drafts of Parts II,
III, and IV. Hillenbrand, newly appointed Minister
to Bonn, brought Kogan to Berlin in June 1965 so he
could take an aerial tour of the city and speak to key
actors in the Berlin crisis. Soon after the completion of
this trip, Kogan was appointed Chief of the Research
Guidance and Review Branch of the Historical Office.
Kogan’s new duties prevented him from working
extensively on the Berlin study; he noted regretfully
on January 24, 1967 that Hillenbrand’s revisions to
Parts II, III, IV, and V had not been included and
that his work on the draft of Part VI was incomplete.
Kogan sent Part VI to Hillenbrand on June 14,
1967. Writing that he would not be able to undertake
the final two sections of the study, he expressed his
belief that the present study, extending to September
1961, was sufficiently detailed to accomplish
Hillenbrand’s goals. The final copy of Part II was sent
to Hillenbrand on August 11, 1969. The transmission
letter for Part II stated that Parts III, IV, V, and
VI, “will be given the final treatment before many
months.”5 In March and April of 1970, Hillenbrand,
then serving as Assistant Secretary of State for
European and Eurasian Affairs (EUR), sent final
versions of the Parts I through VI to senior officials
in EUR, the Executive Secretariat to the Secretary
of State, the United States Embassy in Bonn, and the
NSC. Hillenbrand’s enduring fondness for the project
led him to request declassification of the study, and
in his memoir, Fragments of Our Time: Memoirs of a
Diplomat, Hillenbrand praised Kogan’s valuable and
detailed work.6
selected intelligence documents
CIA Report
Russia Uprise
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