Black Notebook 1 Translation of original notes from KGB archival files by Alexander Vassiliev (1993-1996) Translated by Philip Redko, reviewed and edited by Alexander Vassiliev and John Earl Haynes (2007) [Pagination and formatting track the handwritten original notebook. Phrases in English in the original are italicized. Phrases that were transliterated from English to Russian in the original are in Arial font. Marginal comments in the left margin are chiefly page numbers from the archival file while those in the right margin are Vassiliev’s topic designations, his own comments, or notes to himself. Endnotes were added in translation. Minor translation correction 11/1/2014] ************************************************************************************************* DOP No. 057 (organizational file for USA 1933-1935) archive No. 17407 v.1 p.9 Agents in the USA station as of 15.12.1933. S-1. An American citizen by the name of Jacobson. Currently unemployed. S-II was recruited through him. Robert wanted to make him a bookkeeper in the accounting office. Robert? In Robert’s opinion, S-1 is a recruiter with prospects. (illegal?) S-II. A secretary in the U.S. Department of Aviation. Gave blueprints. Recruited through S- S-II, 1. S-1 S-8. Last name Lukomsky. Former emigrant. Personal secretary for one of the S-8 representatives of the “BRP” in NY – Chernikov. Gave valuable information about the Butz affair, regarding the terrorist act against Cde. Litvinov. The source is exposed. A new terrorist act? station should not be connected. It is expedient to transfer him to Europe. p.10 “Hamilton.” He is being sent as an illegal, to be a recruiting agent. “Hamilton” p.10 “Beam.” Registered through the Red Cross. Assignment – leads for recruitment. “Beam” p.11 “Doctor.” Frocht. U.S. citizen, doctor, connected with us since 1931. Currently de- Frocht activated. It is proposed to transfer him to San Francisco, where he would have a medical practice and operate a cover for us. He has been to the USSR twice. He knows who he works for. Provided us with passports and conducted a number of operations. Recruitment preliminary outline and former agents of the station from 1928. “Bab.” A senator, vice chairman of the Senate Finance Committee. Visited the USSR, has a “Bab” difficult financial situation. Agreed through an acquaintance. However, the acquaintance is unverified and de-activated (“Attorney”) è we are refraining from recruiting “Bab.” p.12 Oth. – “Hansen,” “Second,” Colonel Pierce, “Uncle,” “Japanese,” “Consul,” “Journalist.” ¬ p.23 Terms of rendezvous with Jung Jung – Akhmerov? p.42 Network: Gennady – Beam, Talent, Idealist, Singer (- stenographer?) Georgy – S-7 (- Chicago source?) Frank – S-1 and S-2 Nikolay – Brit, Jung Ukrainian – S-10 S-6 is de-activated Black Notebook 2 p.50 Econ. Directorate of the OGPU – To INO OGPU: Inquiry Report on the American zoologist – doctor at the University of Baltimore, Walter Allen Mosley, b. 1904 in England. He collects mollusks and is interested in Lake Baikal and the Mosley Altai region. Came to Leningrad at the invitation of the president of the All-Union Academy of Agriculture, the Academician Vavilov. “According to agent reports, Mosley is an imposter, does not hold the title of professor, and gives the impression of being a poorly educated man of indeterminate qualifications. It is exceedingly strange that Mosley had been taken under the wing of the Academician Vavilov, who heads the Plant Cultivation Institute and whose work has not even the slightest bearing on Mosley (the mollusk specialist).” p.51- By assignment of the Econ. Directorate of the OGPU – information about Vavilov’s contact, Oliver Edwin Baker, an economic geographer, who works in the Department of Baker Agriculture in Washington as a sr. economist. “He has a close personal relationship p.55 with the USSR’s worst enemy – Mr. Hyde (Secretary of Agriculture, Hoover’s right hand man in the Cabinet). p.58 Reply from the Econ. Directorate of the OGPU: “Your report about O. Baker is extremely interesting, as it shows the political and practical 28 July side of a highly authoritative official in the American Department of Agriculture, who 1932 supports a counterrevolutionary group of agricultural specialists and professors cultivated by us – Vavilov and Ko, who are trying to disrupt the socialist reconstruction of agriculture and subject it to America’s interests. The anti-Soviet figure of Baker, his closeness to the U.S. Secretary of Agriculture Hyde and President Hoover, his connection to highly qualified, anti-Soviet professors in the USSR, and the existence of agent information describing the promotion of the American interests in the USSR in all possible ways by the Group1 which we are cultivating (stealing highly valuable seeds and sending them to America), attest to the need for a serious and in-depth cultivation of Baker and his counterrevolutionary and espionage connections with the Academician N.I. Vavilov’s group. In addition to receiving agent reports about this connection, we are setting ourselves an absolutely concrete assignment, with the approval of the Deputy Chairman of the OGPU, Cde. Akulov: receiving documents, photocopies, and personal correspondence irrefutably confirming Vavilov’s counterrevolutionary connection to American agricultural, government, and intelligence agencies. In light of this assignment (documenting Counterrevolutionary Connection between Vavilov and the Americans), the EKU OGPU asks that you brief your station at once and have them pay serious attention to the matter. Please inform the EKU OGPU (6th Department) of the results as soon as possible. Deputy Chief of the EKU OGPU Gay Head of the 6th Department Apresyan Black Notebook 3 p. 61 The station reported information about Baker’s career and confirmed the fact that he had met with Vavilov in America. p.67 Sector IV of the INO: Tasks before the station. A. 1. Documents shedding light on Standard’s commercial activities in the global oil market and its struggle with global oil concerns (Shell, Anglo-Persian, Romanian Oil, Iraqi Oil). 2. Documents shedding light on Standard’s policies with regard to the Soviet Union, shedding light on its “Russian division,” which trades in our oil products (prices, quotas, Standard? etc). 3. Cultivate Standard’s intelligence work in the USSR (persons and its agents in Soviet agencies abroad and within the Soviet Union). For this purpose, Sector IV has sent the Cde. Brit – illegal worker Cde. Brit, who knows English and is familiar with the oil business. illegal? B. 1. Documents shedding light on the activities of the American company “General Electric,” which is part of the global electric bloc. It is spying on our orders, projects, etc. Work was also being conducted through European agents. Its connections in Amtorg and the trade delegation. p.68 C. Chicago Grain Exchange. “To improve the maneuverability of our grain operations in the foreign market (crop yield, prices, movement of cargo through European ports, advance sales and purchases, deals between companies against the USSR, transactions in futures. Establish agents in Chicago and Winnipeg. D. Furs. F. Monitoring of operational activities of Soviet agencies abroad. p.70 On the tasks of the USA station. Brief note (April 1934) A. – Unique position with regard to questions of politics, economy, and technology. Major influence in European countries. + influence in the Far East è U.S. government’s position on Europe and the Far East è we need to recruit 2-3 agents from among the officials in the DOS. “As of now, we do not have any agents, and must begin this work from scratch. This is to be done through our agents contacts about whom we have scant p.71 information. A second channel – through legal representatives. Result of Disposition of Forces: persecution? New York – General consulate: ¬ Nikolay – station chief Osip – vice consul (connected with our apparatus). Amtorg Gennady – engineer, cadre worker. Connections in industrial circles, where suitable people for polit. intelligence can be found. Vasya – prominent engineer (unclear if he is oper. or not). Red Cross Beam – doctor. Very gifted intelligence operative. Worked in Persia. p.72 Nefteexport – Pasha. Black Notebook 4 In addition to the base in NY, points are being established in Washington and San Francisco. Primary objective in Washington – the DOS: information about Europe, and most importantly – about Japan. Far East Division + agents in the Intelligence Service (the main thing – also Japan). Through: S-1. An accountant, who supposedly has connections in polit. circles. He should S-1 be developed as a recruiting agent on the diplo. line. No other connections. “In past archives we found certain people who had been connected with our work, but because of a lengthy interruption in our work, the connection with them was lost.” p.73 The most interesting contacts: two journalists (one of them has a cousin who is close to Roosevelt) “Bab “Bab” Employed by the International Press Division of DOS. Worked in ’28. Unclear why the connection was lost.“Second” “Second” “Pier” – worked in ’28, gave documentary information. Connection with all of them was “Pier” lost. Frank will lead the work in Washington. Frank San Francisco – point where American anti-Japanese intelligence and Japanese anti- American intelligence are concentrated. Establish a base for work on Japan. 1. Recruitment of agents in American intelligence è materials on J. p.74 2. Recruitments in Jap. consulates and firms 3. Baron Butberg’s White Guard group 4. Jap. and Chinese emigration 5. Muslim circles (with their help, the Japanese are establishing a pan-Asian movement) 6. Recruitment of agents on steamships crossing the Pacific Ocean in order to establish connections with Jap. and Chinese ports (with our stations in these countries, in order to send mail). 7. Recruitment of employees of American companies that have dealings with Japan. Agents Tom, – Tom and James.