annals of communism Each volume in the series Annals of Communism will publish selected and previously inaccessible documents from former Soviet state and party archives in a narrative that develops a particular topic in the history of Soviet and in- ternational communism. Separate English and Russian editions will be pre- pared. Russian and Western scholars work together prepare the documents for volume. Documents are chosen not for their support of any single inter- pretation but for their particular historical importance or their general value in deepening understanding and facilitating discussion. The volumes are de- signed to be useful to students, scholars, and interested general readers. executive editor of the annals of communism series Jonathan Brent, Yale University Press project manager Vadim A. Staklo american editorial committee Ivo Banac, Yale University Jonathan Haslam, Cambridge Zbigniew Brzezinski, Center for University Strategic and International Studies Robert L. Jackson, Yale University William Chase, University of Pitts- Czeslaw Milosz, University of Califor- burgh nia, Berkeley Victor Erlich, Yale University Norman Naimark, Stanford University Friedrich I. Firsov, former head of the Gen. William Odom, Hudson Institute Comintern research group at and Yale University RGASPI Daniel Orlovsky, Southern Methodist Sheila Fitzpatrick, University of Chicago University Gregory Freeze, Brandeis University Mark Steinberg, University of Illinois, John L. Gaddis, Yale University Urbana-Champaign J. Arch Getty, University of California, Strobe Talbott, Brookings Institution Los Angeles Mark Von Hagen, Columbia University Piotr Wandycz, Yale University russian editorial committee K. M. Anderson, director, Russian V. P. Kozlov, director, Rosarkhiv State Archive of Social and Political N. S. Lebedeva, Russian Academy of History (RGASPI) Sciences N. N. Bolkhovitinov, Russian Acad- S. V. Mironenko, director, State Ar- emy of Sciences chive of the Russian Federation A. O. Chubaryan, Russian Academy of (GARF) Sciences O. V. Naumov, assistant director, V. P. Danilov, Russian Academy of RGASPI Sciences E. O. Pivovar, Moscow State University A. A. Fursenko, secretary, Department V. V. Shelokhaev, president, Associa- of History, Russian Academy of Sci- tion ROSSPEN ences (head of the Russian Editorial Ye. A. Tyurina, director, Russian State Committee) Archive of the Economy (RGAE) The KGB File of Andrei Sakharov Edited and annotated by Joshua Rubenstein and Alexander Gribanov With an introduction by Joshua Rubenstein Documents translated by Ella Shmulevich, Efrem Yankelevich, and Alla Zeide Yale University Press New Haven & London This volume was prepared with the cooperation and support of the Andrei Sakharov Archives and Human Rights Center at Bran- deis University. The archive, now called the Andrei Sakharov Archive, was transferred to the Houghton Library, Harvard Uni- versity, in the summer of 2004. The documents and the pho- tographs from the archive are reproduced by permission. Introduction copyright © 2005by Joshua Rubenstein. Copyright © 2005by Yale University. All rights reserved. This book may not be reproduced, in whole or in part, including illustrations, in any form (beyond that copying permitted by Sections 107and 108of the U.S. Copyright Law and except by reviewers for the public press), without written permission from the publishers. Designed by James J. Johnson and set in Sabon Roman type by The Composing Room of Michigan, Inc. Printed in the United States of America by Vail-Ballou Press. Library of Congress Cataloging-in-Publication Data The KGB file of Andrei Sakharov / edited by Joshua Rubenstein and Alexander Gribanov. p. cm. — (Annals of Communism) Includes bibliographical references and index. ISBN 0-300-10681-5 (alk. paper) 1. Sakharov, Andrei, 1921– 2. Human rights workers—Soviet Union. 3. Dissenters— Soviet Union. 4. Soviet Union. Komitet gosudarstvennoi bezopasnosti—Archives. I. Rubenstein, Joshua. II. Gribanov, Alexander, 1945– III. Series. JC599.S58K43 2005 323(cid:2).092—dc22 2005002061 A catalogue record for this book is available from the British Library. The paper in this book meets the guidelines for permanence and durability of the Committee on Production Guidelines for Book Longevity of the Council on Library Resources. 10 9 8 7 6 5 4 3 2 1 Yale University Press gratefully acknowledges the financial sup- port given for this publication by the Daphne Seybolt Culpeper Foundation, the David Woods Kemper Memorial Foundation, Joseph W. Donner, the Edward H. Andrews Foundation, the Historical Research Foundation, the John M. Olin Foundation, the Lynde and Harry Bradley Foundation, Jeremiah Milbank, Roger Milliken, the Milton V. Brown Foundation, Lloyd H. Smith, the William H. Donner Foundation, and Keith Young. If a man speaks out, it does not mean that he hopes necessarily to achieve something. He may hope for nothing but nonetheless speak because he cannot remain silent. andrei sakharov, 1973 Contents Preface by Alexander Gribanov ix Acknowledgments xv Chronology xix List of Abbreviations xxv Introduction: Andrei Sakharov, the KGB, and the Legacy of Soviet Dissent, by Joshua Rubenstein 1 chapter one Emergence of a Public Activist 86 chapter two Who’s Afraid of an Organized Opposition? 100 chapter three Counterattack: Disorganizing the Opposition 167 chapter four Bitter Air of Exile 240 chapter five New Rules of Engagement 315 Annotated List of KGB Documents 351 Glossary of Names 373 Selected Bibliography 385 Index 387 Illustrations follow page 166 Preface More than four years after the death of Andrei Sakharov in December 1989, the Federal Counterintelligence Service (FCS) of the Russian Federation gave his widow, Elena Bonner, a collection of sixty-four re- ports from the Secretariat of the Committee of State Security (the no- torious KGB, or Soviet secret police) to the Central Committee of the Communist Party. The FCS had inherited domestic functions from the KGB and also a considerable part (if not all) of the KGB archives. The associates of Sergei Stepashin, who was director of the FCS from March 3, 1994, until June 30, 1995, selected these documents and handed copies to Elena Bonner at a conference in May 1994marking the anniversary of Sakharov’s birth. Bonner later obtained additional documents from the Archive of the President of the Russian Federation (APRF), which inherited materials from the Central Committee and its archives. Among the files from the presidential archive are political reports from the KGB. Copies of other KGB documents were provided by the Russian State Archive for Social and Political History (RGASPI), which was at one time the Cen- tral Party Archive. Several other documents appear through the cour- tesy of the human rights activist and former prisoner of conscience Vladimir Bukovsky, who obtained a copy of the files of the 1992Con- stitutional Court trial of the Communist Party of the USSR. There is ix