Abstract
In the space of their 16-month posting to Poland, the 500 men of Police Battalion 101 genocidally massacred 38,000 Jews by rifle and pistol fire. Although they were acting as members of a formal security force, these men knew that they could avoid participation in killing operations with impunity, and a substantial minority did so. Why, then, did so many participate in the genocidal killing when they knew they did not have to? Landmark historical studies by Christopher Browning and Daniel Goldhagen proffer contrasting explanatory answers to this troublesome question. This article focuses on a criticism that has often been leveled at the internal coherence of Goldhagen’s controversial explanatory theory. Goldhagen’s explanation is that the men freely, willingly, and responsibly participated in the genocidal killing because of their beliefs about Jews—beliefs that they were causally determined to hold. Critics charge that this is incoherent: How could perpetrators have been passive recipients of deterministically acquired action-determining beliefs and freely responsible agents of genocidal killing? I defend Goldhagen’s explanation against this charge of incoherence, and go on to explore the implications of his account, and Browning’s, for the moral culpability of the perpetrators.
1. “Functionalism” versus “Intentionalism” in Holocaust Historiography
The Holocaust stands as a monumental challenge to historians and social scientists. Its occurrence in late modern history and its execution by a sophisticated modern society of actors and institutions demands explanation and understanding. But it was also a monstrous moral and legal crime, and there is an equally powerful demand to respond with due moral appropriateness to its perpetrators. Very often these demands have seemed to be in conflict and tension. This is manifest in the overarching historiographical dispute over effective and proper modes of inquiry into the Holocaust. The historiographical standoff was seminally brought into focus by Tim Mason in 1979 (Bessel 2003). Deploying the dichotomy of “functionalism” versus “intentionalism” (closely synonymous with that of structure and agency in the social sciences), Mason (1995) adumbrated two purportedly antagonistic stances that orientate and condition inquiry into the Holocaust. 1
Mason aligned the functionalist stance with “modern social science” (Mason 1995, 219) in virtue of its theoretical and methodological commitment to the identification of social structures and forces, and collective processes, that act as causes and conditions of individuals’ action. In particular, he championed the explanatory power of theories that purport to disclose the effects of the chaotic, fragmentary, and competitive structure of Third Reich governance, the transpersonal dynamic of “cumulative radicalisation” (Mason 1995, 214), and the unintended and unforeseen consequences of various policy commitments.
Those that adopt what Mason calls the “intentionalist” stance, by contrast, take it to be transparently obvious that the Holocaust issued directly from “the distinctive murderous will of the Nazi leadership” (Mason 1995, 218). Seeking to explain the actions, motivations, and decisions of these key players by way of super- and supra-individual processes, structures, forces, and pressures, as functionalists do, is therefore otiose according to intentionalists, and it serves only to divert attention away from their self-conscious intentionality. Such modes of explanation lead inexorably, albeit unwittingly, to “trivialisation” of the diabolically criminal character of the Nazi regime and diminishment of the moral responsibility of its active members (Mason 1995, 213). 2 The reason for this alleged effect is not specified, but the idea is something like this: explanation yields understanding, and understanding makes actions “understandable.” If one understands how someone else could perform a particular action one thereby can envisage oneself performing it, which inexorably nudges one into judging the actor’s culpability more leniently (“there but for the grace of odds go I” [Alford 1997, 27]).
The explanatory and ethical issues that divide “functionalist” and “intentionalist” historians are revealingly exhibited in a public exchange of letters between the eminent historians Martin Broszat and Saul Friedländer in 1987 (Broszat and Friedländer 2005). The occasion for their exchange arose out of the critical controversy surrounding Broszat’s earlier published “Plea for a historicisation of National Socialism.” Broszat was one of the historians that Mason invoked to exemplify the functionalist perspective. His concept of historicization implores historians to bring the standard methods of modern historical and social scientific inquiry to the study of the Holocaust, and to approach it as a historical, not an untouchably sacrosanct, phenomenon.
Broszat insisted to his intentionalist correspondent that the historicization he advocated was wholly compatible with taking “a stance of resolute political and moral condemnation” (Broszat and Friedländer 2005, 266). Because of the maintenance of “critical distancing” that he declared to be integral to his concept of “critical, enlightening historical understanding” there was, he avowed, “no danger whatsoever of relativizing the atrocities of National Socialism.” As examples of concepts, methodologies, and perspectives that exemplify the aim of historicization, he mentioned Hannah Arendt’s concept of “the banality of evil,” the micro-history of everyday life in the Third Reich, along with “the vantage of a longer-range historical perspective” (Broszat and Friedländer 2005, 276, 278).
Friedländer was unconvinced. The alleged banality of many perpetrators and their leaders is belied, he rejoins, by their “expression of a Rausch, the feeling of an almost superhuman enterprise” in “accomplishing something truly, historically, metahistorically, exceptional” with their genocidal program (Broszat and Friedländer 2005, 284). He also rejected the legitimacy of the history of everyday life under such a regime—widespread “knowledge of ongoing massive crimes committed by one’s own nation and one’s own society,” he insisted, “is not so normal after all” (Broszat and Friedländer 2005, 284). The exchange closes with Friedlander’s plaintive counter-plea that the seduction of historicization be resisted. He concedes, though, that historicization will inexorably occur at some point, because “the human mind” naturally “prefers to dwell on the normal rather than the abnormal, on the understandable rather than on the opaque, on the comparable rather than on the incomparable, on the bearable rather than on the unbearable” (Broszat and Friedländer 2005, 298).
Although the functionalist-intentionalist dichotomy was concerned from the beginning with how to explain (i.e., via social structure or individual agency) and the ethical implications of explanation, subsequent discussion has concentrated almost entirely on the former. 3 Up to the 1990s, central points of contestation concerned divergent conceptions of the authorship, genesis, shape, structure, and developmental drive of the Holocaust as a whole. This trained scholarly focus on the ideas, motivations, and actions of political leaders and managers in government and administration, and the mechanics of political office and the state bureaucracy.
This focus changed with the publication of two landmark studies by Christopher Browning ([1992] 2001) and Daniel Goldhagen ([1996] 1997), both of which investigated the actions of the German Order Police, which was “at the core of the Holocaust” (Browning 2001, xiii). These studies shifted scholarly attention from policy-makers and order-givers (the so-called “desk murderers” whose actions Arendt’s concept “the banality of evil” was constructed to explain) to policy implementers and order followers (Browning 2013). Browning’s study is seen to fall largely on the “functionalist” side of the functionalist-intentionalist dichotomy, and Goldhagen’s on the “intentionalist” side (Moses 1998). Thus Browning invokes social-structural and situational causes to explain the actions of the Order Police whereas Goldhagen grounds his explanation in the personal agency of its members. However, while the moral implications of different kinds of explanation and the unequivocal attribution of moral responsibility are primary concerns for Goldhagen, which aligns him with intentionalist historiography, he evidently does not think that explanation as such blinds one to the moral reality of perpetrators’ actions. Browning (1992) himself identifies as a “modified functionalist,” partly because he does not want to suggest that individual agency played no significant role in the events, nor that the perpetrators should be excused from full moral responsibility. Goldhagen might then be called a “modified intentionalist” (though Roth [2003, 320] refers to him without qualification as “a strong [and broad] intentionalist”) in that he embraces both explanation and steadfast moral judgment.
Goldhagen’s Hitler’s willing executioners quickly became an international bestseller and subject to ferocious criticism. Most of the criticism emanating from professional historians was extraordinarily hostile and dismissive. 4 It has often been observed that this reaction contrasts with the generally laudatory reception of the book by the journalistic media and wider public. What seems to have passed unnoticed though is that most philosophers that have discussed Goldhagen’s work have found it worthy of serious engagement and importantly insightful. 5 As will become evident, I count myself among this latter group.
This essay focuses on a fundamental criticism that has frequently been leveled at the internal coherence of Goldhagen’s explanatory theory. The criticism charges that Goldhagen is oblivious to a subverting contradiction emanating from the incoherent conjunction of a “functionalist” (social-structural) account of the perpetrators’ belief formation with an “intentionalist” insistence on their autonomous agency and moral responsibility. After outlining the explanatory problem posed by the actions of the Order Police, and presenting Browning’s and Goldhagen’s contrasting explanatory responses to it, I proceed to defend Goldhagen’s explanation against the “incoherence” charge. I go on to explore the implications of Goldhagen’s and Browning’s explanations for the moral culpability of the perpetrators. The principal aim of this essay is to probe more deeply into the relation between explanation of perpetrators’ actions and attributions of moral responsibility and culpability to them than participants in the functionalist-intentionalist dispute hitherto have ventured.
2. Reserve Police Battalion 101: Why Did They Do It?
Goldhagen’s and Browning’s studies both focus on the actions of Reserve Police Battalion 101 of the Order Police, though they take their explanations to apply not just to this particular group, but to countless others who participated in the Holocaust in a variety of ways. Both also argue that most other “ordinary Germans” (Goldhagen), 6 or “ordinary [not just German - N.P.] men” (Browning), would have acted in just the same way as the men of Battalion 101 did, had they been in their situation, for the reasons specified by their respective explanations.
The 500 men of Battalion 101 were reservists whose average age was 39. They had been conscripted to serve on policing duties in occupied territories. There was a low rate of Nazi party membership among them (circa 25%; Browning 2001, 48), and they had no bespoke “ideological” preparation for genocidal killing. In short, these people “would not seem to have been a very promising group from which to recruit mass murderers” (Browning 2001, 48; Goldhagen 1997, 468). Yet in the course of their 16-month posting to Poland, they proceeded to execute 38,000 Jews and deport a further 45,000 to the Treblinka death camp.
Typical killing operations involved entering a town, seizing all the Jewish inhabitants from their homes, separating men fit enough to work for despatch to forced labor camps, then guarding the remainder (babies, children, women and the sick, disabled and elderly) who had to await their turn for execution. Rotating groups of policemen then marched the victims to the killing site in outlying woods and fields where they massacred them by close range rifle and pistol fire.
Why did the policemen do these things? The answer may seem obvious: they were members of a state security force, serving under a supposedly “totalitarian” regime, and were simply following orders that they dare not refuse. It is commonly believed that failure to follow orders under the Third Reich automatically incurred harsh, very likely lethal, punishment. This assumption is exhibited, for example, by Jan Narveson (2002, 188), who asserts that “it is very clear that most German participants in the evils of the holocaust did so under orders from superiors, and that those superiors had extreme powers, typically that of life and death, over those subordinates.” Thus, Narveson continues, “A murders B because C has given A his choice between that and being murdered himself” (Narveson 2002). But this is a myth, largely fabricated by the perpetrators themselves at postwar criminal trials (Browning 2001, 170). Browning (2001, 170) and Goldhagen (1997, 379-81) are in agreement that the policemen could, and knew that they could, have avoided participation in killing operations without suffering any serious consequence.
The absence of punitive duress on the policemen is dramatically illustrated in the case of Battalion 101 by the way that their first operation was presented to them by their commanding officer. When revealing to his men their first day’s genocidal mission (the execution of a town’s 1500 Jewish inhabitants), the major confessed that he personally found it “frightfully unpleasant” and “highly regrettable,” but nevertheless, he said, his orders came from “the highest authorities” (Browning 2001, 2). He then announced that if anyone “did not feel up to the task” they could step aside and be exempted from killing duties. 7 Browning reports that 12 or 13 of the 500 men stood down at this point. More found ways of desisting at various points after the killing was underway. Browning (2001, 74) estimates that in total around 10% to 20% of the Battalion either declined participation from the beginning, or extricated themselves from killing operations after they began.
The stand-out feature of the behavior of the men of Battalion 101 that demands explanation is the following: why did they comply with their orders to kill when they knew that they did not have to? A substantial minority (some 50 to 100 out of 500 men) did evade participation; why did not more do so? Drawing on classic studies in situationist social psychology, Browning argues, in “functionalist” manner, that a range of factors in the policemen’s social and interpersonal circumstances impacted invasively on their decision-making capacities. They included such things as normative pressure to comply with the Battalion’s orders and not to step out of line with their comrades, aversion to looking “weak” or “cowardly” to comrades and leaders, the sudden escalation of events (from police training and experience to genocidal killing) leaving little time or space to deliberate on what to do. These factors, according to Browning, had the effect either of impeding the policemen from engaging in critical reflection on what to do, or making it hard for them to choose their preferred option, namely, nonparticipation in killings that were moral anathema to them. But Goldhagen contends that Browning assumes, without evidence, that what needs explanation is the following question: what made the men who killed act so egregiously against their moral conscience? 8
However, if, as Goldhagen (1997, 394) claims, the policemen not only did not find genocidal killing of Jews morally wrong but also actually believed it a “just and necessary” cause, then Browning’s explanation misidentifies the explanandum. The question “Why did they kill when they knew they did not have to?” is then straightforwardly answered. The policemen understood it to be their duty to do their part for the good of the nation. But this brings forth the more demanding question: Why did, and how could, they believe the killing just and necessary? Goldhagen’s answer to this is that it is because the policemen were born into, and grew up in and lived in, a society in which “eliminationist antisemitism” was an integral part of its people’s way of life. The core content of eliminationist antisemitism was the fervent belief that Jewish people constituted a race that posed an existential threat to the German people. The policemen therefore conceived the killing of Jews in occupied territories as an important component of their nation’s legitimate war-aims (which is how their commander presented the genocidal campaign to them in his initiating oratory [Browning 2001, 2; Goldhagen 1997, 212-13]).
Goldhagen thinks that Browning’s explanation of the policemen’s behavior (along with other “functionalist” explanations of various kinds of perpetrator behavior) makes them look like mere puppets of external social-structural and situational forces and pressures. To avoid this caricature, he says, we have to see and acknowledge that the perpetrators were “agents, moral beings capable of making moral choices” (Goldhagen 1997, 392). They were “people who had beliefs and values about the wisdom of the regime’s policies, which informed the choices that they made” and “were ultimately the authors of their own actions” (Goldhagen 1997, 477, 482). Unsurprisingly then, given Goldhagen’s emphasis on the moral agency of the policemen, moral condemnation of their actions and attitudes appears to suffuse his book. 9
Having summarized the central points in Browning’s and Goldhagen’s contrasting and competing explanations of Police Battalion 101’s behavior, I turn now to frequently iterated criticisms of the overall coherence of Goldhagen’s explanation. I will defend his explanation against this criticism, but will not adjudicate on whether his empirical claims on the pervasion, intensity, and content of eliminationist antisemitic beliefs and values in German society are historically accurate.
3. A Fatal Flaw in Goldhagen’s Explanation?
3.1. The “Incoherence” Criticism
A common criticism of Goldhagen’s explanation is that at its core it incoherently asserts a deterministic (“functionalist”) thesis on the acquisition and effects of the policemen’s eliminationist beliefs, alongside an “intentionalist” insistence on the voluntariness of their genocidal actions. 10
There are two points in the structure of Goldhagen’s explanation where critics identify what they take to be an agency-subverting determinism. First, there is the means by which the perpetrators acquired their eliminationist beliefs. Browning (2001, 221, quoting Goldhagen 1997, 34 [Browning’s ellipsis]) states the objection thus: [Goldhagen’s] claim to treat perpetrators as “responsible agents who make choices” is difficult to reconcile with his deterministic conclusion: “During the Nazi period, and even long before, most Germans could no more emerge with cognitive models foreign to their society . . . than they could speak fluent Romanian without ever having been exposed to it.”
That is, Goldhagen’s “deterministic conclusion” is that “most Germans” acquired an eliminationist “cognitive model” of Jews and Jewishness as inevitably, and at the same time, as they acquired their natural language, through the same mechanisms and processes.
Second, there is the idea that, once acquired, these beliefs determined the genocidal actions of the perpetrators. As Paul Roth (2003, 324) puts it, “Goldhagen’s Germans” are “held in the almost literally hypnotic sway of beliefs,” such that they are “moved to act by circumstances beyond their power to resist or control.” Browning (2001, 222) similarly characterizes Goldhagen’s explanation as being founded on the perpetrators’ membership of a “culture that permitted them to think and act in no other way than to want to be genocidal executioners.”
The manner in which critics present what I shall henceforth call the “Incoherence” criticism suggests that they take it to be a knock-down objection: How could perpetrators have been the passive recipients of deterministically acquired action-determining beliefs and freely-responsible agents of those actions? Is this not, as Chris Lorenz (2002, 139) declares, “paradoxical?”
11
Proponents of the Incoherence criticism do little more than draw attention to what they assume will strike the reader also as an obvious contradiction. Their reasons for this assumption are as follows: Goldhagen asserts (a) that the perpetrators had the capacity to make free choices and decisions, and that they exercised this capacity when they willingly and enthusiastically complied with their Battalion’s instructions to massacre Jews. He also claims (b) that they made these choices because they inescapably held ardent beliefs about their victims which positioned those victims as an existential threat to their society’s way of life. Given those beliefs, perpetrators could do no other than act in the way that the beliefs directed. But there is a glaring incompatibility between (a) and (b): If the policemen had the capacity to choose and act freely, their genocidal actions could not have been determined by beliefs that they deterministically acquired; or, if they did unavoidably hold beliefs of this kind, they cannot be said to have acted freely and responsibly in complying with the Battalion’s instructions.
12
I think that, despite its apparent obviousness to the critics that deploy it, the Incoherence criticism is misconceived. I will argue that there is no incompatibility between an agent’s actions being caused by beliefs that they are caused to acquire and those actions being performed freely and responsibly. 13
3.2. Belief Acquisition
Incoherence critics might be objecting to any of the following ideas: beliefs being acquired through causal processes; beliefs being acquired through deterministic causal processes; beliefs being acquired through “cultural determinism.” Intuitions on the supposed incompatibility between metaphysical determinism and free and responsible action undoubtedly underlie these objections. I proceed to interrogate these objections and intuitions.
The idea that the acquisition of beliefs is not a causal process is, I submit, very peculiar. What would the alternative be—that the agent simply chooses which beliefs to acquire? Most philosophers agree with Bernard Williams’s (1973) seminal argument that this is simply incoherent. 14 Take a very basic case of belief acquisition: one looks at an apple and is thereby caused to believe that the object of one’s gaze is an apple; one cannot but believe that there is an apple in one’s visual field. One cannot just decide what to believe, or choose to believe otherwise. One may want it not to be raining, or believe that it should not be raining, but if one looks or steps outside and experiences rain falling from the sky, the belief that it is raining will be caused to form. Moreover, surely one’s freedom, one’s ability to deliberate, to choose, and to act freely, is not undermined by these and, one hopes, most of one’s other beliefs being causally generated representations of how things actually are?
The meaning of “determined” is closely synonymous with that of “caused.” To say of an event Y that it was determined by X is just to say that it was caused by X, or that X featured prominently in its causation. Some philosophers, though, subscribe to an indeterministic conception of causation, according to which some or all causes function indeterministically. 15 A particular belief’s acquisition would be indeterministically caused if the following counterfactual obtains: were that event to be repeated a number of times with every fact of the individual’s personal psychology and external circumstances remaining the same, sometimes they would acquire the belief and sometimes they would not. I suspect that Goldhagen’s Incoherence critics do subscribe to indeterminism, but it does not aid, nor is it needed for, their objection.
Even if all belief acquisition is subject to indeterministic causation, it could still be the case that, say, 90% of the early 20th century German population were (indeterministically) caused to acquire eliminationist beliefs. Moreover, the fact that some beliefs are virtually universally acquired—for example, that “every human being has parents” (Wittgenstein 1975, §211)—shows that if all belief acquisition is indeterministically caused, some beliefs are indeterministically caused with a very high degree of probability (infinitesimally close to 1 in this example). Thus Goldhagen could plausibly claim, if he wanted to, that the acquisition of eliminationist beliefs was indeterministically caused to a high degree of probability.
Robert Kane (1999, 218), the renowned libertarian philosopher of free will, opines that “most ordinary persons . . . believe there is some kind of conflict between freedom and determinism.” Whether or not this is so, it does seem to be the view of Incoherence critics. Most philosophers, though, are compatibilists (Kane 1999, 218), and from this perspective the Incoherence criticism dissolves. According to compatibilism, an action being causally determined (by the agent’s beliefs, desires, and values) is not incompatible with it being performed freely and responsibly. From this metaphysical standpoint, Goldhagen’s explanation does not look incoherent in the way that Incoherence critics charge.
But Incoherence critics probably assume incompatibilist (libertarian) metaphysics, and this is an entirely respectable, albeit minority, philosophical position. Even so, the critics’ charge against Goldhagen does not have to stand on libertarian metaphysics; it can just as well rest on compatibilism. This is because from a compatibilist, just as much as from a libertarian, perspective it could be the case that the specific etiology or nature of the policemen’s (alleged) eliminationist beliefs rendered their genocidal actions un-freely enacted. It is incumbent on both compatibilists and libertarians to distinguish actions that the agent performs freely from ones that they do not, according to whether they were acting under constraint, duress, addictively or compulsively, or from false information or desires manipulatively implanted in them, etc. (Only hard determinists and radical libertarians would deny this distinction, and there is no indication that Incoherence critics identify with either of these metaphysical extremities.) So, for example, Browning’s claim that the policemen acted as they did because peer pressure, etc. pushed them into it contrarily to their moral disposition is compatible with both compatibilist and libertarian metaphysics, as is Goldhagen’s attribution of eliminationist beliefs to the policemen. There is, therefore, no need for Incoherence critics (or Coherence defenders) to become embroiled in metaphysical dispute.
The Incoherence criticism does not need to be seen as resting on the alleged incompatibility between causal determination and freely willed action per se. It is best seen, rather, simply as the claim that genocidal actions motivated by beliefs acquired in the way that eliminationist beliefs were, according to Goldhagen, cannot be said to have been performed freely and responsibly. On this construal of the criticism, it is not that people in possession of beliefs of the eliminationist kind would thereby lack the very capacity for free and responsible action, 16 but that if the perpetrators’ genocidal actions were motivated by such beliefs these actions would not be freely and responsibly enacted. As the prominent compatibilist John Martin Fischer (2000, 385, 389) formulates it, what is in question here is not “[causal] determination per se,” but “a certain sort of [causal] determination,” and whether or not eliminationist beliefs, desires, and values were acquired through causal processes “in the normal way of human . . . development.” 17 The process that Goldhagen posits as the means by which the policemen (and most other German citizens) acquired their eliminationist beliefs is that of cultural determinism. Is this a causal process that renders actions motivated by beliefs acquired via it un-freely enacted?
Cultural determinism (which could function via either deterministic or indeterministic causation) is the process whereby individuals come to hold, and hold onto, certain beliefs that are held by virtually every member of their society or social group. Such beliefs—on the basic physical, historical, social, moral, and political dimensions of the world that they inhabit—are inculcated into the individual in their formative years by their society’s socialization agencies. Most uncontroversial beliefs that are held by all, or nearly all, members of a society or social group are transmitted and acquired through processes of cultural determination. Culturally determined beliefs play a functional role in our lives: they are foundational, structuring, and orientational. The individual’s “internalisation” of such beliefs is a condition of their competent participation in their society’s way of life (e.g., without assimilating central socially shared beliefs about the nature and purpose of money one could not function in modern society). The individual acquires these beliefs through processes of cultural education, training, and socialization—not from autonomous judgment of the reasons and evidence for them. For example, while most people could, if pushed, adduce some reasons as to why slavery is wrong, it is evident upon reflection that we do not come to the belief that slavery is wrong by examining those reasons. This can be contrasted with the belief that eating meat is wrong, which, for most of those who believe it, is acquired through assessment of the reasons for it.
Once acquired, culturally determined beliefs are strongly resistant to critical questioning, challenge, and personal reflection, and often impervious to the very possibility of disconfirming evidence. 18 They are held in place by the agent seeing that everyone, or nearly everyone, else in their society or group believes likewise, and seeing no credible sources of dissent. With regard to beliefs that have been acquired thus, the individual usually cannot, or can hardly, believe otherwise. This is not because something prevents them, or it is too difficult to do so, but because it does not occur to most people that they can or should. They see no good reason to reflect critically on these beliefs, and if they are aware of alternatives these seem to lack even prima facie plausibility. For example, how many of us have ever given serious critical attention to whether the compulsory schooling of children is morally justified (even those of us who are aware of Ivan Illich’s [1971] radical proposal)? It is noteworthy though that the cultural determination of even central and pivotal social, moral, and political beliefs is rarely universal in any society—there are always a few mavericks that are recalcitrant to the normative consensus. Most people (circa 90% or more) are brought up to believe, and continue to believe, that it is obviously morally permissible to eat meat, and an even greater proportion (circa 99%) believe it morally permissible to eat animal products such as milk and eggs. These proportions bear comparison with the incidence of eliminationist belief that Goldhagen attributes to early 20th century German society.
I take it that the operative criteria of a culturally determined belief are as follows: (a) it is held by the large majority of a society’s, or a social group’s, members; (b) the best explanation for someone having that belief is that it emanates from cultural instruction and inculcation rather than individual responsiveness to the reasons and evidence for it. However, in qualification of (b), it is usually only said of widely held beliefs that are deemed false or lacking epistemic objectivity that they issue from cultural determination.
Is the acquisition and holding of eliminationist beliefs, according to Goldhagen’s portrayal, culturally deterministic? His claim is only that “most” (non-Jewish) Germans had eliminationist beliefs. But given that he says that these beliefs were the common-sense currency of their society, held by all (non-Jewish) sections of its membership, and that the beliefs bore no objective resemblance to their objects (Jewish people and Jewishness), he clearly conceives their acquisition as the outcome of cultural determination. While Goldhagen’s critics, along with most, or many, other historians, social scientists, and philosophers, assume that cultural determinism per se is a bad thing (because supposedly agency-negating), 19 I want to challenge this assumption.
It is pretty clear that some, indeed many, of our core and pivotal beliefs are acquired through cultural determination. Take, for example, the belief that every human being possesses a brain that is the seat and vehicle of their consciousness (Wittgenstein 1975, §159). Of course, there is absolutely no reason or ground to question the truth of this belief. Nevertheless, we do not acquire (and hold onto) it through our own independent assessment of the evidence for it. We have the belief simply because we are born into a society in which these facts about brains are dictated to us from an early age (along with sound reasons for trusting the authority of the sources of dictation).
Moreover, not only is this the case, but I think that on reflection we might see it as good that it is so. Would we not think it banefully amiss if some people came to believe, for example, that common-sense beliefs about brains are mythical, and that human heads are really solid bone and consciousness is an ethereal spirit diffused throughout the body? Would we want our children to grow up with an open mind on such culturally determined beliefs as the wrongness of slavery, women’s right to vote, etc., in order to judge autonomously whether or not these beliefs are really justified? (I am not saying that we would not want them to be able to offer some reasons for these beliefs, just that we would not want them—or indeed ourselves—to be open to the possibility of being wrong about such beliefs.) 20
The fact that our most central beliefs are acquired through processes of cultural determination in itself presents no impediment to our moral agency, or to our epistemic agency and rationality. This is because in order to be able to engage in reason-giving, reflection, critical questioning, deliberation, etc., one needs a doxastic grounding (“paradigm” [Kuhn 1996]; pre-intentional “Background” [Searle 1996]; “world-picture” [Wittgenstein 1975]) that is not itself subject to reflection, questioning, deliberation, etc. As Wittgenstein (1975, §94, §162) argues, in the course of our primary socialization, education, and enculturation, we acquire a “picture of the world,” including its basic physical, historical, social, moral, and personal dimensions, which serves as “the inherited background against which [we] distinguish between true and false” and is “the substratum of all [our] enquiring and asserting.” 21 One does “not get [one’s] picture of the world by satisfying [oneself] of its correctness”; it is “inherited” (Wittgenstein 1975, §94), that is, the outcome of a causal process.
This is not a pessimistically conservative view of our epistemic situation. A people that has a worldview that promotes the equal value of all human beings and upholds egalitarian principles of social organization (as we like to think ours does) is just as culturally determined in holding it as is a people with eliminationist antisemitism at the core of its worldview. It might be objected that a people that values and practices open-mindedness, critical reflection, independence, etc., is thereby free from cultural determination. But this is an illusion. If a society places high value on such epistemic principles and wants them to be upheld by its citizenry it will need them to be reliably transmitted via its socialization and educational agencies, and embedded in its public culture. The key point to be extracted from Wittgenstein’s observations is that members of a modern, secular, scientific, egalitarian society, no less than those of a pre-modern, superstitious, hierarchical society, will be orientated to their society’s way of life by a culturally transmitted world-picture of the basic shape, structure, and contents of the natural and social world that they inhabit. That is, people do not become secular, reflective, scientific reasoners because they made an autonomous choice to think and live that way rather than by superstition and magic; they think and live that way because that is what they have been brought up to do.
I submit, then, that the acquisition of pivotal and foundational beliefs via the mechanism of cultural determination does not in itself render actions motivated by such beliefs un-freely performed. But perhaps Incoherence critics want to distinguish the cultural determination of beliefs the truth and rationality of which can be supported with culture-independent evidence and reasons, from culturally determined beliefs lacking epistemic objectivity and rationality. This distinction might be inferred from their presumed unwillingness to use expressions such as “culturally brainwashed” (by which Roth [2003, 324] characterizes the “ordinary Germans” of Goldhagen’s depiction) to characterize our beliefs on moral equality, brains, evolution, etc. But this distinction concedes what I have argued, namely, that there is nothing inherently bad and agency-negating about cultural determinism per se.
Some types of cultural determinism are indeed rightly seen as agency-negating. It might be held that the types of cultural determinism seen in early 20th century Germany occurred via manipulative processes of belief inculcation, such as state-directed propaganda or brainwashing programs. Ideas of such “covert non-constraining control” (Fischer 2000) agencies have been the staple of common-sense (and much academic) thinking about the National Socialist era. But this is not Goldhagen’s view of the way in which eliminationist beliefs were transmitted and acquired. He does not say that an unsuspecting public was manipulatively duped with false, “hallucinatory” (Goldhagen 1997, 28), beliefs by controlling elites that deliberately manufactured an ideology of eliminationist antisemitism to serve their own interests. Thus it was not, as is popularly believed, that Hitler was the forceful originator of rabidly antisemitic propaganda that had a corruptive effect on those attracted to National Socialism. On the contrary, Goldhagen holds that Hitler (and the other Nazi leaders) acquired his eliminationist antisemitism from just the same source as the wider public. He maintains that the beliefs, attitudes, and values constituting eliminationist antisemitism had been the common-sense cultural currency of German society for many decades before the birth of Hitler and the rise of National Socialism. For a rogue type of cultural determination to be in operation, via “covert non-constraining control” agencies, there has to be a gap between the controllers and the controlled. With regard to the acquisition of eliminationist beliefs at least, Goldhagen denies that there was any such gap. 22
I conclude, therefore, that Goldhagen’s depiction of the acquisition of eliminationist beliefs via cultural determinism points to just the same mechanisms and processes via which we acquire many of our central social, political, and moral action-generating beliefs. There is no more reason to think that policemen of Battalion 101 acting in accordance with beliefs acquired thus would be acting un-freely than there is to think that when we act in accordance with our beliefs on women’s suffrage these acts are un-freely enacted.
I turn now to Incoherence critics’ charge that the eliminationist beliefs that Goldhagen attributes to the policemen determined their genocidal actions, thereby rendering these actions un-freely and non-responsibly enacted.
3.3. Determination of Action by Belief
The crux of the Incoherence criticism on this point is the charge that the eliminationist beliefs that Goldhagen attributes to perpetrators were “so strong that [they] could not possibly think or choose other than as they did” (Roth 2003, 325). Thus according to Goldhagen’s explanation, in virtue of the eliminationist beliefs that they held, “individual Germans could do little or nothing other than pursue their national project, that is, the Holocaust” (Lorenz 2002, 141); they “could not have acted differently” (Hay 2002, 99).
The agent being able to have done otherwise (at least in the non-metaphysical sense) is usually taken to be the sine qua non of free and responsible action. But Goldhagen patently does not say that eliminationist beliefs exercised such a determining force that the policemen who willingly killed could not have done otherwise. Along with Browning, he highlights the fact that some policemen did avoid or escape participation in killing operations. As noted above, unlike Browning, he argues that the reason for most of the avoidance was not moral conscientious objection but visceral repugnance “at the gruesomeness of face-to-face killing” (Goldhagen 1997, 252). Those policemen that avoided participation in killing operations out of visceral repugnance decided that they would not, or found themselves unable to, do what, ex hypothesi, they believed they should do, and thus acted contrarily to their eliminationist beliefs and values.
Incoherence critics might offer two responses to this point. They could first retort that given that Goldhagen (1997, 9) maintains that eliminationist beliefs “were the central causal agent” of the genocidal killings, then he should infer that the actions of those evading policemen show that they did not have eliminationist beliefs, or did not hold them as devoutly as the participating policemen held theirs. Goldhagen would reject this admonition. His argument is that the fact that evaders typically explained their evasion by self-confessed personal shortcomings (weakness, cowardliness, squeamishness, etc.), with no mention of any moral consideration (see note 8), shows that they did hold the same eliminationist beliefs as their participating comrades. Critics might also offer the converse objection, 23 namely, that the existence of evaders with (ex hypothesi) eliminationist beliefs shows that these beliefs did not have the causal power that Goldhagen attributes to them. Goldhagen could return with two counters: First, he might contend that the effects of eliminationist beliefs on the holder’s actions were subject to indeterministic causation. 24 Second, he could complain that the critics’ objection begs the question against his pivotal contention that the perpetrators were not thoughtless automatons but active agents who freely decided how to act in the light of their beliefs and values.
In any case, the Incoherence critics’ stated objection is to the imputed causal power of the eliminationist beliefs of the circa 90% of the policemen who did participate in the killing. The principal objection is that Goldhagen attributes to these men beliefs that irresistibly compelled them to engage in genocidal killing, and that therefore they cannot be said to have acted freely and responsibly in doing so. The assumption is that beliefs of this power and forcefulness (rather like hypnotically induced beliefs) would bypass the agent’s capacity for freely willed action.
There is an important sense in which Goldhagen does indeed depict the participating policemen as unable to have done otherwise, but this is what I will call an “agential inability,” not a disabling incapacity. That is, it is not that the men literally could not have done otherwise but that they believed that they should not do otherwise. In other words, they reflexively endorsed the content of their eliminationist beliefs and willingly accepted the action implications. As Goldhagen (1997, 396) contends, they saw it as their duty to contribute to the genocide, just as other people “have through the ages volunteered to go to war in order to fight for their countries.”
What I am calling “agential inability” is the expression of an agent’s underlying commitment to doing what they take to be the right thing (or not doing the wrong thing) when the occasion arises, as when we hear someone saying of their heroic action: “I just did what had to be done; anyone would have done the same.” Just this phenomenon has frequently been observed in the testimony of those heroic people who risked their lives to save Jewish people from German forces in occupied Europe. Many insisted that they simply could not have not done what they did (Darley 1995, 642-43). What they mean is not that it was not possible for someone in their situation to refuse to help (they knew that the vast majority in their situation did not help) but that they could not have chosen not to. Moreover, many also reported that they did not enter into any explicit decision-making process when first confronted with an opportunity to help—they just acted, without deliberation (Darley 1995). Thus it seems that their deeply entrenched beliefs and values on ordinary decency immediately caused them to act as they did. But we would not want to deny that these rescuers acted freely and responsibly, indeed heroically, on the grounds that their actions were directly caused by their basic beliefs and values. By symmetry, why then think that the policemen of Battalion 101 could not have acted freely and responsibly if their actions were directly caused by deeply entrenched (eliminationist) beliefs and values that they reflexively endorsed?
4. Explanation and Culpability
I have not sought to defend the factual correctness of Goldhagen’s diagnosis of the nature and incidence of eliminationist beliefs. This is an empirical matter, and my aim was conceptual, namely, to show that his claim that the policemen of Battalion 101 were culturally determined to acquire beliefs that played a dominant causal role in the generation of their genocidal actions does cohere with his claim that those actions were freely and responsibly performed. This leaves to be addressed the question of the moral culpability of the policemen according to Goldhagen’s (and later, according to Browning’s) explanation of their actions.
Notwithstanding Goldhagen’s disavowals to the contrary, it certainly seems that he holds the policemen individually morally culpable for their willful participation in genocidal killing. But his moralistic and condemnatory manner of writing could be read as just an expression of abhorrence and outrage at the events, the perpetrators’ actions and the suffering inflicted on the victims. One could speak or write in this way while deliberately leaving open and unaddressed the question of the perpetrators’ moral culpability. 25 In support of this possible reading one might note that in the thick of his characterization of the men’s actions as gratuitously cruel, brutal, sadistic, etc., he (Goldhagen 1997, 245) is solicitous to assert, and to emphasize, that with regard to their participation in genocidal killing, “they did not conceive of themselves as having been engaged in crime.” Rather, he says, they considered it “justified extermination” (Goldhagen 1997, 254). They believed this because of the eliminationist antisemitism that they almost inevitably acquired from the eliminationism-ridden society in which they were raised and lived. Moreover, Goldhagen says nothing to indicate that he judges the policemen to have been culpably at fault for believing the illusory things about Jews and Jewishness that he says they inveterately believed.
I do not actually think that the foregoing reading is what Goldhagen intended, 26 but it does cohere with his (Goldhagen 1997, 481) insistence that “issues of guilt and responsibility are never directly addressed” in Hitler’s willing executioners. Geoffrey Scarre (1998) and Richard Kamber (2000) argue that if Goldhagen is right about the eliminationist beliefs that he attributes to the policemen then their culpability is thereby substantially diminished by virtue of their factual ignorance (false empirical beliefs about the nature, powers, and danger of Jewish people and Jewishness). But whether or not such ignorance is possible, and if it is, whether it can serve to excuse or diminish the culpability of wrongdoers for their wrongful actions, is a hotly disputed issue in moral epistemology and psychology.
Some philosophers have argued that perpetrators of actions and practices that inflict terrible suffering on innocent victims may nevertheless be excused, or judged leniently, if they nonculpably believe that they are behaving morally permissibly. A frequently invoked example is that of institutionalized slavery (which bears comparison with the institutionally administered genocidal killing of the Holocaust). Historians tell us that for most of the history of institutionalized slavery (prior to the emergence of the abolition movement in the 18th century), nearly everyone who lived with it simply took for granted that it was permissible to treat certain people in the ways that slaves were treated. They acquired these assumptions through processes of cultural determination. In the light of this historical scholarship, Gideon Rosen (2003, 66) asserts that it “would have taken a moral genius to see through to the wrongness of chattel slavery.”
But other philosophers assert, with equal assuredness, the polar opposite. Alexander Guerrero (2007, 71-72), for example, rejoins that it is not “particularly complicated to figure out that slavery is morally wrong,” due to “the relatively simple and apparently a priori nature of the reasoning required.” On this basis, Guerrero argues that it is not possible to nonculpably hold beliefs that apparently seem to the holder to license the infliction of such palpable suffering and injustice on innocent people as slavery did. Elizabeth Harman accepts that such beliefs might have been held, even nonculpably so, by those that were implicated in slavery, but argues that this does not diminish their culpability (because they “inadequately car[ed] about what is morally significant” [Harman 2011, 460]).
This dispute shows that there are strong arguments that would support the attribution of culpability to those policemen of Battalion 101 that participated in genocidal killing, while acknowledging that they acted as they did because of their culturally determined beliefs. This, I think, is probably the stance that Goldhagen himself takes. But one could accept Goldhagen’s explanation without having to adopt this condemnatory stance (for the same reasons that some philosophers invoke in support of the judgment that those who participated in slavery are diminished in personal culpability). Thus it remains an open question what kind and degree of moral blame the perpetrators deserve. 27
In addition to one’s philosophical stance on whether and how factual (and moral) ignorance might excuse wrongdoers to varying degrees, how one ultimately judges culpability is also a function of what kind of judger one is. One might, that is, be someone that seeks to judge culpability on the basis of strict desert and justice, or mercifully. A merciful judger is one who judges people “less harshly than they deserve” (Markosian 2013, 269). Martha Nussbaum (2006, 42) argues powerfully that “while judging the wrong to be wrong,” still we can and should aspire to a more humane, lenient, and merciful mode of judgment of the wrongdoer than that which emanates from strict adherence to the principle of general and impartial justice. She finds grounds for this merciful outlook in coming to a detailed appreciation of the difficult circumstances in which wrongdoers are often embedded (in terms of luck, opportunity, contingency, constraint, ignorance, a “socially taught scheme of values” that is “diseased” [Nussbaum 2006, 17], etc.).
Nussbaum argues that the merciful attitude toward judgment can be nurtured and cultivated through the appreciation of literature and drama, which makes one sensitive to the situational detail of characters’ lives and enhances one’s capacity for empathetic identification with them. I will shortly consider some empirical evidence that suggests that contemplating historical and social scientific explanations might have a similar “softening” effect on one’s judgment of culpability. For now, I want to reiterate that I am not arguing for, or commending, any particular standpoint on the spectrum between the merciful and the juridical judger of wrongdoing. The point that I do want to press is that acceptance of Goldhagen’s explanation of the policemen’s actions does not thereby prescribe the kind or degree of moral blame that they are due.
5. Conclusion: Excusing the Inexcusable?
Some readers may be sickened by my entertaining even the possibility that one could have a mitigatory view of the culpability of the genocidal policemen. An underlying assumption of the Incoherence criticism is that Goldhagen’s explanation entails that the policemen must be excused from moral blame for their actions. But this is normatively unacceptable to Incoherence critics (and, indeed, to most scholars), for whom it must follow from any viable explanation of the policemen’s behavior that their culpability is unmitigatedly upheld. 28 However, Browning’s opposing explanation (which virtually all of Goldhagen’s critics endorse) is no more unequivocally able to meet this condition than Goldhagen’s is.
Browning’s explanation does not say that the policemen were literally forced to act as they did, but it does claim to identify social and situational forces and pressures that made it hard for them to have chosen to act otherwise. Even so, he is adamant that they “not only had the capacity to choose but exercised that choice in various ways,” as is evident, he says, in the fact that “some refused to kill and some stopped killing” (Browning 2001, 221, 188). Because of this fact Browning (2001, 188) insists that “those who killed cannot be absolved by the notion that anyone in the same situation would have done as they did.” Browning might mean either (i) even if it were true that anyone in the same situation would act as the killers did, this fact would not absolve the killers, or (ii) that this fact would absolve the killers, but it evidently did not pertain, so it is not true that anyone in the same situation as the killers were in would act as they did (the evaders did not). It is clear that he means (ii). But it is of some significance that Browning thinks that if it were the case that anyone in the same situation would act as the killers did, this fact would absolve the killers.
According to Browning’s explanation, the policemen acted as they did despite being aware that it was morally wrong to do so. The key question for assessing their culpability then is as follows: How forceful were the social and situational pressures that bore upon them, and how difficult would it have been for them to choose what, ex hypothesi, they knew was the morally correct course of action? Browning must think that the forcefulness of these pressures was very substantial indeed, for he candidly confesses: “I must recognize that in the same situation, I could have been either a killer or an evader” (2001, 188). Given that he reports an 80% to 90% participation rate in the killing, and that the killers were essentially no different from him (in virtue of being “ordinary men”), he must think it highly likely that he would have been a killer in that situation. Thus Browning deems the pressures so forceful that he thinks even someone like himself (an “ordinary,” but evidently intellectually sophisticated, morally sensitive and humane man) would probably have succumbed to them in that situation. And what goes for Browning surely goes for all of us and all the people we know too (“there but for the grace of odds go we”). 29 So, while it is not quite the case that anyone in the same situation as the killers would do what they did, it is true (if Browning’s explanation is correct) that anyone in that situation might very well, to a high degree of probability, do what they did. And this does look like the basis for a strong claim for mitigated culpability, if not absolution, of the policemen.
While Browning and Goldhagen would no doubt protest vehemently against the idea that their explanations license any significant degree of diminished culpability for the policemen, both explanations afford just that possibility. One might well ponder the following questions, the answers to which I do not profess to know: Which, if either, of Browning’s and Goldhagen’s explanations licenses the strongest mitigatory claim for the policemen? And more generally, which people are the more culpable: those that succumb to extreme (but not irresistible) pressure to knowingly do terrible things, or those that willingly do these terrible things whilst erroneously believing they are justified in doing so? Or are they equally culpable (or equally non-culpable)?
Perhaps mindful of the original intentionalist denunciation of the allegedly extenuating effect of social-structural explanation, Browning is solicitous to disclaim “the old clichés that to explain is to excuse.” “Explaining is not excusing,” he insists (2001, xviii). 30 Goldhagen makes no such explicit pronouncement, but evidently concurs. However, experimentally informed research conducted by Arthur Miller, Anne Gordon, and Amy Buddie (1999) calls such confident denials into question. These social psychologists devised experiments to examine the effects of entertaining “explicit [“causal”/“situational”] explanations” of wrongdoing on observers’ judgment of the perpetrator’s culpability. They concluded that there is a strong tendency for people to take up “a more condoning attitude toward perpetrators” subsequent to doing the cognitive work of engaging with explanations of the perpetrator’s actions, compared with those that judge independently of explanatory mediation (Miller, Gordon, and Buddie 1999, 254).
Browning can quite reasonably assert that to explain the policemen’s behavior is not thereby to excuse them from culpability, and that he himself does not excuse them. But the explanation that he produced might well exercise a powerful influence on its audience, inducing them to excuse the perpetrators (or judge them leniently). In the light of evidence on the effects of explanation on observers’ judgment of culpability, Browning might want to warn his readers that they should be aware of this phenomenon and try to guard against it. Whether the phenomenon is susceptible to willful conscious control, on being forewarned, has not, as far as I am aware, been investigated yet. If it is not susceptible to willful conscious control (it might be like, or a form of, implicit bias in this respect), and one agrees with Browning that one’s instinctively condemnatory judgment of perpetrator culpability should not become toned down, that would be reason to take seriously the original intentionalist injunction against social-structural explanation of the Holocaust.
However, one might be persuaded by some of the contributors (including Nussbaum) to a book on “judgement and understanding” (Tabensky 2006) who argue that it is right and good that one’s natural inclination to pass condemnatory judgment is diminished upon gaining insight into perpetrators’ circumstances of action. If one agrees with them that it is a good thing, then not only would one not be troubled by the intentionalist claim on the excusing effects of social-structural explanations on judgments of culpability and the experimental findings that support this claim, one would embrace them. Conversely, if one thinks this a lamentable corruption of sound and just judgment, then one has reason to be wary of social scientific and historical explanations of the Holocaust and other evil or wrongful events.
Intentionalists, it seems then, were right all along to warn that social-structural (“functionalist”) types of explanation inherently carry the capacity to extenuate judgments of culpability, even when the purveyor of the explanation disavows any such intention. However, as we have seen, it is not just social-structural types of explanation that have this capacity, but “intentionalist” ones—as exemplified by Goldhagen’s—too. Although such explanations are focused on the free agency, intentionality, and motivations of the individual perpetrators, and hence agreeable to the intentionalist standpoint, they still appeal to something external to the perpetrators’ consciousness. With Goldhagen’s explanation, the external factors are the sources and modes of transmission of perpetrators’ beliefs, values, and desires. Indeed, without the identification of something external to the consciousness and agency of the actors there would be no explanation. What this observation shows is that the original intentionalists should perhaps have been opposed not just to social-structural explanations but to any social scientific or historical explanation of the events of the Holocaust. Whether this opposition is justified depends on whether one thinks it good or bad that judgment of wrongdoers’ culpability may be susceptible to moderation by explanatory insight into the causes and conditions of their actions.
Footnotes
Acknowledgements
I would like to thank the following for their sharp and insightful comments and suggestions on earlier drafts of this article: Mikel Burley, Benjamin DeMesel, Göran Duus-Otterström, Michael Hauskeller, Neil O’Hara, and the Journal’s two anonymous referees. Their comments and suggestions were of great help to me in my revisions.
Declaration of Conflicting Interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of this article.
