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The United States, Soviet Union, and Private Citizens, 1975-1989 A Wielding the Human Rights Weapon: The United States, Soviet Union, and Private Citizens, 1975-1989 A dissertation presented to the faculty of the College of Arts and Sciences of Ohio University In partial fulfillment of the requirements for the degree Doctor of Philosophy Christian Philip Peterson June 2009 © 2009 Christian Philip Peterson. All Rights Reserved. 2 This Dissertation titled Wielding the Human Rights Weapon: The United States, Soviet Union, and Private Citizens, 1975-1989 by CHRISTIAN PHILIP PETERSON has been approved for the Department of History and the College of Arts and Sciences by Chester J. Pach, Jr. Associate Professor of History Benjamin M. Ogles Dean, College of Arts and Sciences 3 ABSTRACT PETERSON, CHRISTIAN PHILIP, Ph.D., June 2009, History Wielding the Human Rights Weapon: The United States, Soviet Union, and Private Citizens, 1975-1989 (592 pp.) Director of Dissertation: Chester J. Pach, Jr. My dissertation will explore the complexities of the role human rights played in U.S.-Soviet relations from 1975 to 1989 through the prism of globalization. It will describe how Western private citizens, Soviet dissenters, and members of Congress exploited the language of Final Act (Helsinki Accords) to forge a transnational network committed to globalizing the issue of Soviet human rights violations. This development challenged bureaucratic discretion in ways that gave the Carter and Reagan administrations little choice but to challenge Soviet internal behavior in forthright fashion. Instead of viewing transnational activities as a threat to their expertise, many officials in each administration made working with and supporting non-governmental groups an integral element of their approach to undermining the international and internal legitimacy of the USSR. Utilizing Soviet internal documents available in English, this dissertation will also explain why many Soviet policymakers feared the human rights critiques of dissenters and Western private citizens just as much, if not more, than the statements of U.S. politicians. Without losing sight of the pivotal role private citizens and Congress played in tarnishing the international reputation of the Soviet Union, this work will also offer an in- depth comparison of the Carter and Reagan administrations’ efforts to promote human 4 rights in USSR. It will argue that a transnational perspective calls into question many of the standard interpretations of each administration’s efforts to promote human rights in the Soviet Union. In the case of the USSR, a transnational framework complicates arguments that focus on the inherent weaknesses of Soviet dissent during the early to mid 1980s. After exploring these topics, this work will outline the limitations of “constructivist” accounts of how international human rights “norms” shaped Soviet reform efforts after Mikhail Gorbachev became General Secretary. Approved: _____________________________________________________________ Chester J. Pach, Jr. Associate Professor of History 5 DEDICATION TO CORI MEGAN MCCARTHY—THE LOVE OF MY LIFE 6 ACKNOWLEDGEMENTS I would like to thank the Ohio University History Department and Contemporary History Institute (CHI) for giving me an excellent graduate education. Dr. Chester Pach could not have been a better dissertation advisor. Because of his professionalism and firm commitment to mentoring graduate students, he made this work much better than it otherwise would have been. In particular, he helped me develop my arguments and see the numerous shortcomings in my original drafts. Dr. Steven Miner and Dr. John Brobst expanded my knowledge of Soviet and British history. Dr. Paul Milazzo and Dr. Alonzo Hamby proved excellent instructors in twentieth-century U.S. political history. Dr. Patrick Griffin’s seminar on U.S. colonial history stands out as one of the most informative and interesting classes that I have ever taken. I would also like to thank Dr. Patricia Weitsman for serving as the outside reader on my committee. The feedback that gave me will prove valuable when I begin to prepare this dissertation for publication. I also need to thank the archivists and scholars who helped me carry out the research necessary to complete this project. The staff at the Jimmy Carter Presidential Library expressed interest in my dissertation topic during my two visits and helped me locate a wide variety of documents that had just been declassified. At the National Security Archive, Svetlana Savranskaya permitted me to examine her personal copies of transcripts from a series of conferences examining U.S.-Soviet relations from 1977-1981. The archivists at the National Archive went out of their way to help me locate and examine the files of the U.S. Helsinki Commission and copies of the CSCE Digest. 7 In conclusion, I would like to thank my graduate peers who made studying at Ohio University such a memorable experience. I enjoyed discussing a wide variety of works with Jack Epstein, Sherry Hill, Mark Rice, Tom Bruscino, Ricky Garlitz, Robert Davis, and Jon Peterson. I also enjoyed hanging out with and discussing history with Bill Knoblauch, Paul Isherwood, Todd Pfeffer, Steve Heinze, and Mario Cinquepalmi. No matter where I end up over the long term, I will never forget eating “salmon and salad” with these individuals on the porch at 34 East Carpenter Street. For me, this residence will always be a “gorgeous” abode with picture perfect windows. 8 TABLE OF CONTENTS Page Abstract …………………………………………………………………………………...3 Dedication ………………………………………………………………………………...5 Acknowledgements………………………………………………………………………. 6 Abbreviations…………………………………………………………………………… 10 Chapter 1: Introduction ………………………………………………………………… 13 Chapter 2: The Human Rights Weapon Emerges: Soviet Dissent, Private Citizens, and the U.S. Congress, 1975-1977..……………………………………………… …46 Chapter 3: Setting the Stage for a Superpower Confrontation: Jimmy Carter, the Soviet Union, and Human Rights, 1975-1976…………………………………………..88 Chapter 4: The Carter Administration Wields the Human Rights Weapon, January 1977- August 1978…………………………………………………………………… 139 Chapter 5: The Soviet Government versus Dissenters: Conflicting Interpretations of the “Globalization of Human Rights” and Jimmy Carter, January 1977-August 1978…………………………………………………………………………… 195 Chapter 6: A Delicate Balancing Act Topples: The Carter Administration, Human Rights, and Private Citizens, September 1978-January 1981…………………………. 241 Chapter 7: The Soviet Government versus Dissenters, Part II: Conflicting Interpretations of the “Globalization of Human Rights” and the Carter Administration, September 1978-January 1981………………………………………………… 288 9 Chapter 8: The Reagan Administration’s “Conservative” and “Private” Human Rights Campaign, January 1981-November 1985……………………………………. 334 Chapter 9: The Soviet Government versus Dissenters: Conflicting Views of the “Globalization” of Human Rights, Peace, and the Reagan Administration, January 1981-September 1986…………………………………………………………. 389 Chapter 10: Holding Mikhail Gorbachev and Soviet Bureaucrats Accountable: U.S.- Soviet Relations, Human Rights, and the Final Act, December 1985-January 1989……………………………………………………………………………. 431 Chapter 11: Revolutions from Above and Below: Mikhail Gorbachev, Soviet Bureaucrats, Human Rights, and the Tribulations of Soviet Civil Society…… 475 Chapter 12: Conclusion ……………………………………………………………...... 529 Bibliography………………………………………………………………………....... 549 10 ABBREVIATIONS Used in text: AFL-CIO American Federation of Labor and Congress of Industrial Organizations AI Amnesty International AFTU Association of Free Trade Unions of Workers BEA Bureau of European Affairs CIA Central Intelligence Agency CEC Conference on East European Churches CAPR United Nations Covenant on Civil and Political Rights CBM Confidence-Building Measures CDE Conference on Security and Disarmament in Europe CCECB Council of Churches of the Evangelical Baptists COCOM Coordinating Committee for Multilateral Export Controls CPSU Soviet Communist Party CSCE Conference on Security and Cooperation in Europe ES Executive Secretariat ESACR United Nations Covenant on Economic, Social, and Cultural Rights Exit Group Initiative Committee to Fight for the Right of Free Exit from the USSR HAIG Helsinki Agreements Implementation Group HRF Human Rights Foundation IHF International Helsinki Federation KGB Committee of State Security KOR Committee of Workers Defense ICFTU International Confederation of Free Trade Unions ICA International Communication Agency ILO International Labor Organization ISKAN Soviet Institute on the United States and Canada KP Klub Perestroika LDC Less-Developed Country MFA Ministry of Foreign Affairs (Soviet) MFN Most-Favored Nation NATO North Atlantic Treaty Organization NCSJ National Council on Soviet Jewry NED National Endowment for Democracy NGOs Non-Governmental Organizations NSC National Security Council NSDD National Security Decision Directive NTS People’s Labor Alliance (France) PCG Press Club Glasnost 11 PD Presidential Directive PRM Presidential Review Memorandum RFE/RL Radio Free Europe/Radio Liberty SALT Strategic Arms Limitation Treaty SI Socialist International SMOT Free Interprofessional Association of Workers SOS Scientists for Sakharov, Orlov, and Shcharansky UCSJ Union of Councils for Soviet Jews UNESCO U.N. Educational, Scientific, and Cultural Organization UNHRC United Nations Human Rights Commission UNHRCM U.N. Human Rights Committee USIA United States Information Agency USNAS United States National Academy of Sciences VOA Voice of America
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