OrnaVerum
v 6.30.00
28 Jan 2022
updated 19 Nov 2022
nsarchive.gwu.edu/briefing-book/russia-programs/2017-12-12/nato-expansion-what-gorbachev-heard-western-leaders-early

Document 05
Memorandum of conversation between Mikhail Gorbachev and James Baker in Moscow.
Feb 9, 1990
Source

U.S. Department of State, FOIA 199504567 (National Security Archive Flashpoints Collection, Box 38)

Even with (unjustified) redactions by U.S. classification officers, this American transcript of perhaps the most famous U.S. assurance to the Soviets on NATO expansion confirms the Soviet transcript of the same conversation. Repeating what Bush said at the Malta summit in December 1989, Baker tells Gorbachev: “The President and I have made clear that we seek no unilateral advantage in this process” of inevitable German unification. Baker goes on to say, “We understand the need for assurances to the countries in the East. If we maintain a presence in a Germany that is a part of NATO, there would be no extension of NATO’s jurisdiction for forces of NATO one inch to the east.” Later in the conversation, Baker poses the same position as a question, “would you prefer a united Germany outside of NATO that is independent and has no US forces or would you prefer a united Germany with ties to NATO and assurances that there would be no extension of NATO’s current jurisdiction eastward?” The declassifiers of this memcon actually redacted Gorbachev’s response that indeed such an expansion would be “unacceptable” – but Baker’s letter to Kohl the next day, published in 1998 by the Germans, gives the quote.

Document 06
Record of conversation between Mikhail Gorbachev and James Baker in Moscow. (Excerpts)
Feb 9, 1990
Source

Gorbachev Foundation Archive, Fond 1, Opis 1.

This Gorbachev Foundation record of the Soviet leader’s meeting with James Baker on February 9, 1990, has been public and available for researchers at the Foundation since as early as 1996, but it was not published in English until 2010 when the Masterpieces of History volume by the present authors came out from Central European University Press. The document focuses on German unification, but also includes candid discussion by Gorbachev of the economic and political problems in the Soviet Union, and Baker’s “free advice” (“sometimes the finance minister in me wakes up”) on prices, inflation, and even the policy of selling apartments to soak up the rubles cautious Soviet citizens have tucked under their mattresses.

Turning to German unification, Baker assures Gorbachev that “neither the president nor I intend to extract any unilateral advantages from the processes that are taking place,” and that the Americans understand the importance for the USSR and Europe of guarantees that “not an inch of NATO’s present military jurisdiction will spread in an eastern direction.” Baker argues in favor of the Two-Plus-Four talks using the same assurance: “We believe that consultations and discussions within the framework of the ‘two+four’ mechanism should guarantee that Germany’s unification will not lead to NATO’s military organization spreading to the east.” Gorbachev responds by quoting Polish President Wojciech Jaruzelski: “that the presence of American and Soviet troops in Europe is an element of stability.”

The key exchange takes place when Baker asks whether Gorbachev would prefer “a united Germany outside of NATO, absolutely independent and without American troops; or a united Germany keeping its connections with NATO, but with the guarantee that NATO’s jurisdiction or troops will not spread east of the present boundary.” Thus, in this conversation, the U.S. secretary of state three times offers assurances that if Germany were allowed to unify in NATO, preserving the U.S. presence in Europe, then NATO would not expand to the east. Interestingly, not once does he use the term GDR or East Germany or even mention the Soviet troops in East Germany. For a skilled negotiator and careful lawyer, it seems very unlikely Baker would not use specific terminology if in fact he was referring only to East Germany.

The Soviet leader responds that “[w]e will think everything over. We intend to discuss all these questions in depth at the leadership level. It goes without saying that a broadening of the NATO zone is not acceptable.” Baker affirms: “We agree with that.”