[Enclosure 1]
Memorandum by the Assistant Secretary of
State (Moore)
[Washington,] October 4,
1933.
Mr. Secretary: Impressions relative to the
recognition of the Russian Government derived from the data
furnished me by the Secretary and other data available at this
moment:
(1) It seems clear that there should and must be recognition
eventually and without undue delay, provided there is assurance that
the Russian Government will not directly or indirectly make any
effort to affect the political institutions or integrity of the
United States and that certain other major matters can be
satisfactorily disposed of.
(2) According to the statements contained in Mr. Atherton’s communication,13 as illustrated by the experience of Great Britain,
Russia is (a) inclined to a more reasonable
attitude towards nations that have not accorded the recognition she
seeks than towards those that have, and (b)
after eagerly seeking and obtaining recognition she becomes more
indifferent to her obligations than theretofore.
(3) If what is said in the last paragraph can be assumed as a correct
premise, it may be thought best in advance of actual recognition to
take the time necessary to explore the entire situation and endeavor
to reach a full agreement between the two governments to be embodied
in a treaty, pertaining to all or most of the very large number of
important questions that sooner or later will call for
consideration, e. g. as to the alleged desire of Russia to undermine
our system of government; as to the personal, religious and property
status and rights of our nationals in Russia and the ports of that
country; as to the claims of Americans for the repayment of loans or
for damages, and the claims that may be asserted against our
Government by the Russian Government in its own behalf or in behalf
of its subjects; as to the basis and character in various aspects of
the commercial dealings between the two nations, etc., etc.
(4) An act of recognition is not revocable and it is certainly
retroactive unless otherwise limited.* Should the President extend recognition
without the situation being dealt with in advance as suggested, then
for the purpose of eliminating disputable questions as far as
possible it might be accompanied by such conditions as may be agreed
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upon. The general effect
of conditions attached to recognition is stated as follows by a
leading authority, it being noticed, however, that in cases where
such conditions are violated there is really no practical method of
enforcing their observance:
“Recognition will, as a rule, be given without any conditions
whatever, provided the new State is safely and permanently
established. Since, however, the granting of recognition is
a matter of policy, and not of law, nothing prevents an old
State from making the recognition of a new State dependent
upon the latter fulfilling certain conditions. Thus the
Powers assembled at the Berlin Congress in 1878 recognised
Bulgaria, Montenegro, Serbia, and Roumania under the
condition only that these States should not impose any
religious disabilities on any of their subjects. The meaning
of such conditional recognition is not that recognition can
be withdrawn in case the condition is not complied with. The
nature of the thing makes recognition, if once given,
incapable of withdrawal. But conditional recognition, if
accepted by the new State, imposes the internationally legal
duty upon such State of complying with the condition;
failing which a right of intervention is given to the other
party for the purpose of making the recognised State comply
with the imposed condition.” (Oppenheim, International Law, page 136, Volume I)
A restricted representation of each country, in the other until
otherwise mutually determined, might well be specified and in such
manner as to encourage the performance of the conditions
accompanying recognition.
(4) [(5)] It would seem that immediate and
unconditional recognition would not be of any special moral or
material advantage and, on the other hand, might be attended by very
widespread adverse criticism.
[Enclosure 2]
Memorandum by the Special
Assistant to the Secretary of State (Bullitt)14
Dear Mr. Secretary: Pursuant to our
conversation of this afternoon:
Whatever method may be used to enter into negotiations with the
Soviet Government, it seems essential that formal recognition should
not be accorded except as the final act of an agreement covering a
number of questions in dispute. Before recognition and before loans,
we shall find the Soviet Government relatively amenable. After
recognition or loans, we should find the Soviet Government adamant.
Among the chief agreements which, in my opinion, must be reached
before recognition are the following:
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- 1.
- Prohibition of communist propaganda in the United States
by the Soviet Government and by the Comintern.
- 2.
- Protection of the civil and religious rights of Americans
in Russia which are inadequately protected under current
Russian practice (e. g. “economic espionage”).
- 3.
- Agreement by the Soviet Government that the act of
recognition shall not be retroactive to the foundation of
that government (which is the usual practice), but shall
take effect only from the day on which it may be accorded.
This is essential to protect both our Government and many
citizens and corporations from suits for damages.
By negotiation before recognition, we should also attempt to obtain
an agreement in regard to the repayment of the loans of the
Government of the United States to the Kerensky Government, a waiver of Russian counter
claims based upon our Vladivostock, Archangel and Murmansk
expeditions;15 also some sort of provision for the settlement of
claims of American nationals and corporations for property, goods
and cash seized by the Soviet Government.
There are of course scores of other questions involved in resuming
normal relations with Russia. Our position would be strongest, I
believe, if all these questions, whether of a legal, economic or
financial nature, should be handled as a unit in one global
negotiation, the end of which would be signature of the agreements
and simultaneous recognition.
Yours very respectfully,
William C. Bullitt
[Washington,] October 4,
1933.
