Christopher Andrew - The Sword and the Shield

1. See above, chapter 12.

2. In 1977 the KGB apparat at Karlshorst was training seven East German illegals and investigating another fifty-two potential recruits, most of whom would probably not make the grade; k-5, 774.

3. On its foundation in 1952, the Stasi’s foreign intelligence arm was known as Hauptverwaltung XV (Main Department XV); it was renamed the HVA in 1956.

4. Childs and Popplewell, The Stasi, pp. 122-3.

5. Wolf, Man without a Face, p. xii.

6. k-16, 522. The residencies in Cologne and Hamburg were subordinate to that of Bonn, whose head had the title of Chief Resident.

7. k-19, 247.

8. The leader of the snatch squad was another German agent, WAGNER (later renamed FLORA). For this and other special actions, he was awarded the Order of the Red Star. While WAGNER was stationed in Belgium from 1964 to 1967, SERGEYEV acted as courier to him. k-5, 88; k-16, 212.

9. k-5, 88.

10. k-5, 283.

11. k-5, 284.

12. k-9, 65.

13. Höhne and Zolling, The General was a Spy, ch. 12. Rositzke, The KGB, pp. 189-94. Andrew and Gordievsky, KGB, pp. 412, 452-3; Murphy, Kondrashev and Bailey, Battleground Berlin, pp. 430-9. Mitrokhin’s brief notes on Felfe contain no detailed examples of the intelligence he provided; they confirm, however, that Felfe’s memoirs, Im Dienst des Gegners, contains disinformation fabricated by Service A (k-5, 284).

14. vol. 6, ch. 2, part 1, n.

15. Peet, The Long Engagement, pp. 3, 101-3, 184-5, 229-31.

16. Peet, The Long Engagement, ch. 30. Childs and Popplewell, The Stasi, pp. 145-6.

17. The best account of the Otto John case is Murphy, Kondrashev and Bailey, Battleground Berlin, ch. 10. Mitrokhin saw no file on the case.

18. Nationalrat der Nationalen Front des Demokratischen Deutschland, Braunbuch and Graubuch.

19. Schmeidel, “Shield and Sword of the Party,” pp. 146-7.

20. k-26, 88. The fact that Brandt was given a codename is not, of course, evidence that he was an agent. Even Churchill and Roosevelt were referred to by codenames in wartime Soviet intelligence cables.

21. Brandt, My Road to Berlin, chs. 2-4.

22. k-26, 88. On Rein, see Brandt, My Road to Berlin, pp. 79-80.

23. The British also had ULTRA intelligence on the movements of the Tirpitz. After several unsuccessful British attacks, the battleship was finally sunk in November 1944 with the loss of 1,204 lives.

24. TERENTY was the Czech Communist journalist Walter Taube. Mitrokhin’s note identifies VANYA as Vanek, a former Czech intelligence officer now working for the British. It is unclear whether “Vanek” is a forename or surname (k-26, 88).

25. k-26, 88.

26. k-26, 88.

27. k-26, 86.

28. Colitt, Spy Master, p. 97.

29. Brandt, People and Politics, pp. 47-8.

30. Operations against major foreign statesmen normally required the approval of the political leadership.

31. k-26, 88.

32. Mitrokhin’s notes on Brandt’s file go only to 1962. They do, however, include later references to Brandt from other files.

33. Brandt, People and Politics, pp. 102-3. Abrasimov, later accused of behaving like a Soviet pro-consul, was ambassador in East Berlin.

34. Wolf, Man without a Face, ch. 9; Colitt, Spy Master, ch. 4; Murphy, Kondrashev and Bailey, Battleground Berlin, p. 300.

35. Probably the best study of Ostpolitik is Garton Ash, In Europe’s Name.

36. Wolf, Man without a Face, p. 156.

37. k-19, 248, 250.

38. Prittie, Velvet Chancellors, pp. 170-1.

39. Marshall, Willy Brandt, pp. 86-7.

40. k-2, 52.

41. Wolf, Spionagechef im geheimen Krieg, p. 261.

42. Marshall, Willy Brandt, pp. 88-90.

43. k-2, 52.

44. “Bank pay-in Slip Published in Bonn Bribes Scandal,” The Times (June 20, 1973). “Steiner Tells of Work as an Agent,” Daily Telegraph (August 8, 1973).

45. Wolf concludes that “it is impossible to establish whether [Steiner] was paid twice over for his services”—by Wienand as well as the HVA directly. Wolf, Spionagechef im geheimen Krieg, p. 261.

46. “Bonn Bribery Allegations ‘Not Proven,’” The Times (March 28, 1974).

47. Genscher, Erinnerungen, pp. 197-201.

48. Wolf, Man without a Face, pp. 157-65. Wolf identifies a number of boastful inaccuracies in Guillaume’s own account of his career.

49. Genscher, Erinnerungen, pp. 201-2.

50. Wolf, Man without a Face, pp. xi, 171-2.

51. Wolf, Man without a Face, p. 124.

52. Andrew and Gordievsky, KGB, pp. 238-40, 442-4, 456-7, 611.

53. The identity of Wolf’s first “Romeo spy,” codenamed FELIX, who began operations in the early 1950s, remains unknown. Wolf, Man without a Face, p. 124.

54. k-5, 30, 31.

55. k-5, 31.

56. Barron, KGB, pp. 198-9.

57. k-16, 139. The alias “Franz Becker” is not recorded by Mitrokhin, but was later revealed at Höke’s trial.

58. k-10, 56; k-16, 139.

59. k-10, 56; k-16, 139.

60. k-16, 65.

61. k-16, 139; k-5, 19.

62. k-16, 65.

63. k-16, 139; k-5, 19.

64. k-10, 56; k-16, 139.

65. RENATA was married to RYBACHEK, a Czech illegal based in Switzerland, who was also working for the KGB. k-16, 94, 139; k-12, 5; k-8, 25-6; k-2, 46, 84.

66. “Russia May Have Learned War Secrets,” Observer (September 1, 1985); “Bonn Spy Knew Army Secrets,” Observer (September 8, 1985); “Glamour Spy’s Love Ends in treachery,” Observer (December 14, 1986); “Spionage: Wie ein Helmspiel,” Der Spiegel (December 29, 1986); “KGB Lover Led Shy Secretary into Treason,” Daily Telegraph (September 1, 1987).

67. Mitrokhin’s notes on ROSIE do not give her real name. Press reports after her arrest in December 1976 identify her as Heidrun Hofer.

68. k-8, 7, 177; k-18, 385. According to k-8, 177, ROSIE was recruited in October 1971; according to k-16, 108, she was recruited in 1973. The two dates probably refer, respectively, to the point at which she began to supply information to ROLAND, and to her meeting with VLADIMIR in February 1973, after which the importance of her role as an agent appears to have increased.

69. k-16, 61. From 1970 to 1982 VLADIMIR was an illegal trainer based in Karlshorst, who performed various assignments in the GDR, FRG and Austria. His wife, Irina Yevseyevna (BERTA), was also an illegal.

70. “Bettgeflüster Nach Dienstschluss,” Quick (January 13, 1977).

71. k-5, 20.

72. “Bettgeflüster Nach Dienstschluss,” Quick (January 13, 1977). “Hat Spionin Hofer den BND auf Jahre gelähmt?,” Die Welt (January 14, 1977).

73. k-16, 70; k-18, 5, 145. Details of the lonely hearts column and the alias used by GEORG (though not his real identity) were revealed at Falk’s trial in 1989. Childs and Popplewell, The Stasi, p. 160.

74. Childs and Popplewell, The Stasi, p. 160.

75. k-16, 70; k-2, 374.

76. k-19, 357. Childs and Popplewell, The Stasi, p. 160.

77. k-18, 145.

78. Childs and Popplewell, The Stasi, pp. 160-1.

79. vol. 6, app. 1, part 5; k-14, 747, 748; k-11, 91; k-12, 435.

80. k-14, 747.

81. k-11, 91.

82. t-1, 45, 135; k-5, 193; k-24, 236; vol. 6, app. 2, part 3.

83. k-14, 237; k-8, 72.

84. Wolf, Man without a Face, pp. 142-8; Colitt, Spy Master, pp. 128-34. Gast was arrested on September 29, 1990, four days before the reunification of Germany, betrayed by a former senior official of the now defunct HVA.