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T H E K I L L I N G T R A P
The Killing Trap offers a comparative analysis of the genocides, politi-
cides, and ethnic cleansings of the twentieth century, which are estimated
to have cost upwards of forty million lives. The book seeks to understand
both the occurrence and magnitude of genocide, based on the convictionthat such comparative analysis may contribute to prevention of genocide
in the future. Manus Midlarsky compares socioeconomic circumstances
and international contexts, and includes in his analysis the Jews of
Europe, Armenians in the Ottoman Empire, Tutsi in Rwanda, black
Africans in Darfur, Cambodians, Bosnians, and the victims of conflict
in Ireland. The occurrence of genocide is explained by means of a frame-
work that gives equal emphasis to the non-occurrence of genocide, a
critical element not found in other comparisons, and victims are given a
prominence equal to that of perpetrators in understanding the magni-
tude of genocide.
M A NU S I . M I D L A R S K Y is the Moses and Annuta Back Professor of
International Peace and Conflict Resolution at Rutgers University,
New Brunswick, NJ. He has authored or edited eleven books and sixty-
five articles and book chapters. Most recently he has published The
Evolution of Inequality: War, State Survival, and Democracy in
Comparative Perspective and the edited volumes Inequality, Democracy,
and Economic Development (Cambridge), and the Handbook of War
Studies II .
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T H E K I L L I N G T R A PGenocide in the Twentieth Century
M A N U S I . M I D L A R S K Y
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Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo
Cambridge University PressThe Edinburgh Building, Cambridge , UK
First published in print format
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© Manus I. Midlarsky 2005
2005
Information on this title: www.cambridg e.org /9780521815451
This publication is in copyright. Subject to statutory exception and to the provision of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press.
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Cambridge University Press has no responsibility for the persistence or accuracy of sfor external or third-party internet websites referred to in this publication, and does notguarantee that any content on such websites is, or will remain, accurate or appropriate.
Published in the United States of America by Cambridge University Press, New York
www.cambridge.org
hardback
paperback
paperback
eBook (EBL)
eBook (EBL)
hardback
http://www.cambridge.org/9780521815451http://www.cambridge.org/http://www.cambridge.org/9780521815451http://www.cambridge.org/
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For Liz, with extreme gratitude, and for Tali: May she and hergeneration never bear witness to genocide.
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Right or wrong, we must win. It is the only way . . . And once we have
won, who is going to question our methods?
Adolf Hitler
Evil, violent, iniquitous, and inhuman means, even supposing thatthey had an appearance of immediate utility at the moment of crisis,
leave behind . . . long and disastrous traces.
Charles Augustin Sainte-Beuve
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CONTENTS
Preface page xiii
P A R T I Introduction 1
1 Preliminary considerations 3
Purposes of the book 4
The role of theory 11
Research strategy 16
Plan of the book 18
2 Case selection 22
Excluded cases 25
Three cases of genocide 34
P A R T II Explaining perpetrators: theoretical foundations 41
3 Continuity and validation 43
Continuity of the killing in the three cases 43
Validation 61
4 Prologue to theory 64
Rational choice 64
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Utopianism 74
Two historical cases 76
5 A theoretical framework 83
The domain of losses and state insecurity 86
Three types of realpolitik 92
Realpolitik, property, and loss compensation 97
The domain of losses, risk, and loss compensation 103
Altruistic punishment 107
PART III The theory applied 111
6 Threat of numbers, realpolitik, and ethnic cleansing 113
The Irish famine 115
Germans and Jews in Poland 123
Muslims in Bosnia 129
7 Realpolitik and loss 135
The Holocaust 135
The Armenians 153
The Tutsi 162
Conclusion 167
8 The need for unity and altruistic punishment 169
Germany 170
The Ottoman Empire 173
Rwanda 176
Himmler and the necessity for cooperation 180
viii C O N T E N T S
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Conclusion 190
9 Perpetrating states 194
Italy: a genocidal trajectory 195
Vichy France 196
Romania 202
P A R T IV Victim vulnerability: explaining magnitude and
manner of dying 209
10 Raison d’état, raison d’église 211
The Armenians 212
The Holocaust 220
The Tutsi 228
Conclusion 234
11 Cynical realpolitik and the unwanted 237
The United States 237
Great Britain and Commonwealth countries 245
Impact on the Holocaust 248
12 High victimization: the role of realpolitik 250
Hungary 250
The Netherlands 259
13 Inequality and absence of identification 264
Inequality and absence of identification between
perpetrators and victims 264
C O N T E N T S ix
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Inequality and absence of identification among
the victims 266
On the possibilities of survival 279Equality and identification between Jews and
non-Jews 283
14 On the possibility of revolt and altruistic
punishment 287
Łódź 287
Warsaw 291
Vilna 298
Comparisons among the three ghettos 302
Conclusion: the role of altruistic punishment 305
P A R T V Exceptions 307
15 A dog of a different nature: the Cambodian
politicide 309
Variation in victimization 311
Genocide of the Vietnamese 312The Communist models 315
Purges 321
Summary comparisons 323
16 Dogs that didn’t bark I: realpolitik and the absence
of loss 325
Bulgaria 326
x C O N T E N T S
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Finland 331
Comparisons 332
17 Dogs that didn’t bark II: affinity and vulnerability
reduction 335
Affinity and genocide 336
Greeks in the Ottoman Empire 337
Jews in Eastern Europe 343
Poland at the time of the Partitions 347
Britain and Ireland 354
Israel and Intifada II 363
The impact of war 364
P A R T V I Conclusion 367
18 Findings, consequences, and prevention 369
Similarities and differences 369
Consequences of genocide 375
Genocide prevention and the role of democracy 381
Validation 394Coda 395
References 396
Index 423
C O N T E N T S xi
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PREFACE
I write this book after a 46-year gestation period. This does not meanthat my thinking about the book spanned nearly five decades. Instead,my experiences as a seventeen-year-old were formative and ultimately decisive in the decision to do the research and writing.
For many years, I avoided the issue of the Holocaust, despite anintense training in Orthodox Judaism and a household deeply affectedby the news of the Holocaust. Although both sides of my family wereoriginally from Eastern Europe, site of the most extensive massacres, wewere fortunate in that none of our immediate relatives was murdered by the Nazis. To my knowledge, not even a first or second cousin of minesuccumbed to this bestiality. Yet, as in most American-Jewish house-
holds of that period, feelings ran deep, especially as the full extent of thehorrors had been so recently revealed. At the age of seventeen, I wasafforded the opportunity to experience them vicariously.
On Yom Kippur in Israel, in 1954, I visited an uncle (throughmarriage), who escaped from eastern Poland with his immediate family to live with relatives in Voronezh, in the depths of Russia. Virtually all of his relatives who remained in Poland perished in the Holocaust. Now inIsrael after leaving the displaced persons camp in Germany, he was living
in one of the last of the Israeli transit camps (Maabarot). Most of the younger couples with children had already been placed in new housing,leaving only the older people who remembered only too well the extentof their losses. When it came time for the Memorial Service for the Dead(Yizkor), the extent of their agony became abundantly clear. I have neverbefore, or since, heard such anguished weeping. It was as if the many dead in the full extent of their suffering had entered the consciousness of the living, and we were now hearing their cries of horror at experiencing
their wholly unjustified fate.Such intensity of feeling was simply too much for a seventeen-year-oldrelatively sheltered American. For the next thirty years, I blocked out thismemory. It was revived only after my wife, Professor Elizabeth Midlarsky of
xiii
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Teachers College, Columbia University, who was then in the midst of aresearch project on helping during the Holocaust (supported by theNational Institutes of Health) and editing a special issue of the Humboldt Journal of Social Relations on that topic, asked that I contribute an article.I was exceedingly reluctant for reasons already given; the subject also wasthen outside my field of expertise. Yet perhaps it was the memory of thatYizkor service long ago, now revived, that was decisive in my ultimateagreement to write the article. As it happens, the article received a favorablecitation in a review article on altruism in the 1990 Annual Review of Sociology , thereby allaying fears over my handling of this important andsensitive topic. Subsequent research on ethnic conflict brought me closerprofessionally to the topic of genocide, the subject of this book.
These heightened sensitivities to the Holocaust then led to anincreased awareness of other genocides, including, of course, theArmenian and Tutsi, as well as the Cambodian politicide. All areexplored in this volume.
My first and heartfelt thanks go to my wife, Liz, for dragging mekicking and screaming to face the reality of my recent heritage. She alsowas immensely helpful in suggesting better ways to frame the arguments,and to make them more coherent and accessible. My children, Susan,
Miriam, and Michael, all contributed through their questions and con-cern within this long gestation period, Miriam perhaps most of all. Inher rabbinical studies at the Jewish Theological Seminary, Miriam (now Rabbi Miriam Midlarsky Lichtenfeld) has continually raised importantissues about the future of Judaism and the Jewish people in light of theHolocaust. These conversations fueled much of the thinking that fedinto the writing of this book.
Acknowledgments and thanks are extended to Laura Ahrens, Yaı̈r
Auron, Joseph Bendersky, Claudio Cioffi-Revilla, Helen Fein, BrianFerguson, Joseph Grieco, Max Herman, Jan Kubik, Jack Levy, Roy Licklider, Robert Melson, Alexander Motyl, Jack Porter, Scott Straus,Anna Stubblefield, and Benjamin Valentino for their comments onportions of the book. For their efforts, the book is stronger. All errors,of course, are my own.
Research support of the Back family to the Moses and Annuta Back Chair of International Peace and Conflict Resolution at Rutgers
University, New Brunswick, NJ, made this effort possible. For that too,I am extremely grateful.Last, but certainly not least, are the secretarial and administrative
efforts that were needed to complete the manuscript. Isabel La Venuta
xiv P R E F A C E
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and Sonya Riley rendered extremely competent service that frequently went beyond the call of typical office work. Sonya especially displayed aloyalty to the project and reliability of effort that led to completion of themanuscript in a timely fashion. She deserves the highest praise for herwork.
One point needs to be made with great clarity. Although the primary purpose of this book is social science explanation, I hope that thisanalytic emphasis does not prove to be offensive to the survivors of genocide. The attempt to explain mass murder, which often involvesunderstanding the perspective of perpetrators of great evil, can some-times appear to be callous by those who experienced the full impact of that evil. Theory, with its necessary mode of abstraction, itself can be
viewed as offensive by people who lost whole families and even entiresocieties. The question of abstraction pales before that of existence. Eventhe children and grandchildren of survivors can harbor justifiable sensi-tivities on this issue. Yet to explain is not to condone. Explanation hasthe virtue of perhaps establishing the foundation for the future preven-tion of mass murder. Without such explanation, certainly the probabil-ity of the future repetition of genocide is increased. It is my hope thatsocial science analysts and genocide survivors, ultimately, are not mem-
bers of disjoint sets on this issue. Hopefully, they can agree on the utility of the analytic mode, even when it appears to be abstracted from theimmense brutalities of everyday existence in concentration camps orother killing traps.
P R E F A C E xv
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P A R T I
Introduction
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1
P r e l i m i n a r y c o n s i d e r a t i o n s
O n t h e m o r n i n g o f A p r i l 1 1 , 1 9 2 2 , H a n s M o r g e n t h a u p r e s e n t e d a s p e e c hi n h o n o r o f t h e d u k e o f C o b u r g , l e a d e r o f a n a u t o n o m o u s d u c h y w i t h i nW ei ma r G er m an y. T hi s w as a n h o n or t r ad it i on al ly c on fe rr e d o n t h e t o p-r an ke d e li gi b le s tu d en t a t t h e l oc al gymnasium. N o J e w h a d e v e r b e e ns e l e c t e d f o r t h i s h o n o r ; i n d e e d , M o r g e n t h a u w a s t h e o n l y J e w e n r o l l e d a tt hi s e li te i ns ti tu ti on . Y et , th er e w as no ge tt in g a ro un d t he f ac t t hatM o r g e n t h a u m e r i t e d t h i s d i s t i n c t i o n a n d s o t h e d u c h y a l l o w e d h i m t op r e s e n t t h e s p e e c h . T h a t m o r n i n g , c i t i z e n s o f C o b u r g d i s t r i b u t e d a n t i -S e m i t i c l e a fl e t s i n c l u d i n g d e m e a n i n g d i s t o r t i o n s o f h i s J e w i s h - s o u n d i n gn am e a nd u rg in g a b oy co tt o f t he s pe ec h. L at er , M or ge nt ha u w ro te :‘ ‘ N o b o d y w o u l d s p e a k t o m e . . . A n d p e o p l e w o u l d s p i t a t m e a n d s h o u t
a t m e . P e o p l e w o u l d s h a k e t h e i r fi s t s a t m e a n d s h o u t i m p r e c a t i o n s o ra nt i- Se m it ic i ns ul ts , a nd s o f or t h. I t w as a bs ol u t e ly t e r ri b l e, a b so l ut e l y t e r r i b l e . . . p r o b a b l y t h e w o r s t d a y o f m y l i f e . ’ ’1 D u r i n g t h e s p e e c h , t h ed u k e a n d o t h e r n o t a b l e s h e l d t h e i r n o s e s i n a s h o w o f d i s g u s t . A f t e r h i se m i g r at i o n , M o r g e nt h a u ’ s c l a s s ic Politics Among Nations w o u ld e s ta b -l is h t he s tu dy o f i nt er na ti on al r el at io ns a s a d is ti nc t fi el d o f i nq ui ry i n t heU n i t e d S t a t e s .
I s t h i s a n i l l u s t r a t i o n o f v i r u l e n t a n t i - S e m i t i s m t h a t D an i e l G o l d h a g e n
w ou ld a rg ue q ui ck ly m or p he d i nt o ‘‘ e li mi n at io n is t’’2
a n t i - S e m i t i s mp ri or t o a nd d ur in g t he H ol oc au st ? Or ar e t he re o th er an sw er s t ha tpr o vi de a m o re c o mpe ll i ng e xp la nat io n? D es pi te a l ong h is to ry o f G e rm a n a n ti - S em i t is m ,3 t he o ve rt ly a nt i- Se mi ti c p ol it ic al p ar ti ese xp er ie nc ed a s te ep d ec li ne p ri or t o W or ld W ar I . B y 19 12, to ge th ert he y c ap tu re d l es s t ha n 1 p er ce nt o f t he v ot e.4 W e a l s o k n o w t h a t , f o rm o s t s u p p o r t e r s o f N a z i s m d u r i n g t h e e a r l y 1 9 3 0 s , t h e p r i n c i p a l a t t r a c -t i on o f t h e N S DA P ( N at i on a ls o zi a li s t is c h e D e u ts c h e A r be i t er p ar t e i, o r
N az i P ar t y) w a s n ot a nt i- Se mi ti sm , b ut t h e p e rc e iv e d n ee d f or r a di c als ol ut io ns t o t he c ou nt ry ’s e co no mi c a nd p ol it ic al c ha os . P er ce iv ed
1 F r e i 2 0 0 1 , 2 2 . 2 G o l d h a g e n 1 9 9 6 . 3 H i l b e r g 1 9 8 5 . 4 M e l so n 1 9 9 2 , 1 1 9 .
3
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i n j u s t i c e s o f t h e T r e a t y o f V e r s a i l l e s a l s o f e d i n t o s u p p o r t f o r p o l i c i e s o f t h e N SD AP .5 T he A pr il 1 , 1 93 3, e co no mi c b oy co tt o f J ew is h- ow ne db u s i n e s s e s s p on so r ed b y H it l er ’s g o ve rn me nt w a s p ar t ic u la rl y u ns uc -c e s s f u l .6 W hy , t he n, t he a tr oc io us t re at me nt o f M or ge nt ha u, a mo ngo th er J ew s, a t t hi s t im e? A ns we rs a re t o b e f ou nd i n t he w id er s et ti ngo f E u r o p e a n s o c i e t y a t t h e e n d o f W o r l d W a r I , a s w i l l b e e m p h a s i z e d i nt h i s b o o k .
Purposes of the book
I n t he b ro ad es t s en se , t hi s b oo k i s a bo ut threat ( th e f ea r o f p o te nt ia ll o s s )7 and vulnerability , t w o n e c e s s a r y c o n d i t i o n s f o r t h e o c c u r r e n c e o f
g e n o c i d e . T h e t a r g e t e d p o p u l a t i o n n e e d s t o b e p e r c e i v e d a s t h r e a t e n i n g ,o r a t l ea st h av e a t en uo us c on ne ct io n t o e xt er na l t hr ea te ni ng a ge nt s,w ha te ve r t he r ea li ty o f t ha t p er ce pt io n, a nd t he t ar ge te d p op ul at io nm us t b e v ul ne ra bl e t o m as s m ur de r. A t t he s am e t im e, t he p ot en ti alp e rp e tr at or s o f g e no ci d e a ls o m us t e x pe r ie nc e s om e v ul ne r ab il it y t og e n e r a t e t h e i r r e a l o r f a n t a s i z e d i m a g e s o f t h r e a t e n i n g c i v i l i a n p o p u l a -t i o n s . A n y p r o c e s s t h a t s i m u l t a n e o u s l y i n c r e a s e s b o t h t h r e a t t o t h e s t a t ea n d i t s v u l n e r a b i l i t y , a s w e l l a s v u l n e r a b i l i t y o f a t a r g e t e d c i v i l i a n p o p u -
l at io n, a ls o i nc re as e s t h e p ro b ab il i ty o f g en oc i de . I t i s f or t h is r ea so n,a mo ng o th er s, t ha t a ll o f t he c as es e xa mi ne d h er e, e ve n t ho se t ha t a reu lt im at e ly e xc l ud e d f ro m l e ng th y c o ns id e ra ti o n, o cc ur d u ri ng t i me o f w ar , i nt er st at e o r c i vi l. T h re at m an ag e me nt b y t h e s t at e c an b e u nd e r-s t o o d a s a c r i t i c a l f u n c t i o n o f r e a l p o l i t i k ( d e fi n e d a s p o l i c i e s d e s i g n e d t op re se rv e a nd s tr en gt he n t he s ta te ),8 w hi le v ul ne ra bi li ty o f s ta te s o rp o t e nt i a l c i v i l i a n ta r g e t s i s m o s t f r e q u e nt l y s i g n ale d b y lo s s .R e a l p o l i t i k a n d l o s s a r e t h e t w i n t h e o r e t i c a l f o c i o f t h i s b o o k .
U n de r s ta n di n g t h e d y na m ic s o f g e no c i de a t t h e m o me n t o f d e c is i o n i sa t b e st i nc o mp l et e, f o r m od el s o f g eno ci de e ti ol og y h av e b ee n p utf o r w a r d i n f r e qu e n t l y.9 T h u s f a r , t w o b a s i c a p p r o a c h e s h a v e b e e n t a k e nt o u nd er s ta nd i ng t h e a nn i hi l at i on o f E ur op e an J ew r y, t h e e x em p la r o f
5 A b e l [ 1 9 3 8 ] 1 9 8 6 ; M e r k l 1 9 7 5 . 6 F r i e d l än d e r 1 9 9 7 .7 F o r t h e i m p a c t o f e x t e r n a l t h r e a t o n d o m e s t i c s o c i e t i e s , s e e M . M i d l a r s k y 2 0 0 0 b , 2 0 0 2 ,
and 2 0 0 3 ; s e e a l s o c h a p t e r 5 .8
W a l t z 1 9 7 9, 1 1 7 .9 R a u l H i l b e r g 1 9 8 5 ( o r i g i n a l l y p u b l i s h e d i n 1 9 6 1 ) p u t f o r w a r d p e r h a p s t h e e a r l i e s t m o d e lo f t h e H o l oc a u st i n t h e f o r m o f t h e se q ue n ce : d e fi ni t io n –e x p ro p r ia t i on – c on c e nt r a ti o n –e xt er m in at io n. M or e r ec e nt a nd c om pr eh en s iv e m od el s o f g en oc id e a r e f ou nd i n F ei n1979, 1984, 2000; K u p e r 1981; a n d H a r f f 2003.
4 I N T R O D U C T I O N
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t we nt i et h -c e nt ur y g en oc i de s b ec a us e o f i t s m ag ni t ud e a nd t h e a bs e n c eo f i d e n t i fi a b l e J e w i s h p r o v o c a t i o n . T h e fi r s t i s t h e ‘ ‘ i n t e n t i o n a l i s t ’ ’10 t ha tp o s i t s a n u l t i m a t e i n t e n t i o n o n t h e p a r t o f H i t l e r a n d h i s h e n c h m e n t ode s t r oy al l o f E ur o pe ’ s J e ws . T h e s ec o nd i s t h e ‘‘ fu nc t io na li st ’’ a rg u-m e n t11 t h a t p o i n t s t o t h e c o e r c i v e b u i l d - u p ( b y t h e G e r m a n s ) o f J e w i s hp op u la ti on s i n u ns an it a ry g he tt o s, w h ic h w e re n ot o nl y d i se as e -p r on eb u t a l s o r e q u i r e d t h e m a t e r i a l s u p p o r t o f t h e o c c u p y i n g G e r m a n f o r c e s ,a s t h e r oo t c au se . W it h s o m an y ‘‘ un wa nt e d’’ J e ws e xc l ud e d f ro m t hee c o n o m y a n d t h e b i c k e r i n g b e t w e e n b u r e a u c r a t i c a g e n c i e s o f t h e T h i r dR e i c h a s t o t h e u l t i m a t e r e s p o n s i b i l i t y f o r t h e i r w e l f a r e , t h e d e c i s i o n t ol i q u i d a t e t h e m w a s m a d e .
N e i th e r o f t he s e t w o e x p l an a t i o ns , n o r o t h e r s s uc h a s Sa ul
F r i e dl ä n d er ’ s m o st r e c en t e m p ha s i s o n ‘‘ r e de m p ti v e a n ti - S em i t is m ,’’12
e x p l a i n s t h e e s s e n t i a l l y d y n a m i c c i r c u m s t a n c e o f t h e i n c r e a s i n g p r o p e n -s it y t o m ur de r J ew s a s W or ld W ar I I p ro gr es se d. I n o th er w or ds , t hi sb oo k s ee ks to e xp lo re t he t ra ns it io n f ro m g en oc id al b eh av io r – t het en de nc y t o m as sa cr e some p eo p l e h a vi n g a p a rt i c ul a r e t h no r e li g io u si d en ti ty – t o g en oc id e i t se lf w h er e in t he m as s m ur de r i s s ys t em at i ca l ly e x t e n d e d t o i n c l u d e all p e o p l e w i t h t h a t i d e n t i t y .
T hi s di s t i n c t i o n i s n o t m e r e l y a m a t t e r o f de fi n i t i o n a l s e m a n t i c s , f o r t he
l iv es o f m il l io ns o f p eo p le w e re f or fe it e d i n t he t r an si ti on f r o m t h e m o r el i m i t e d b e ha v i o r t o t he f a r m o r e e x t e n s i v e o n e . M a s s a c r e s13 c a n b e u s e d t ot e rr o r iz e a n d c o w a ha te d c i v il i an po pul a ti o n, a s o c cu r re d i n t he l a r g e -s c al em u r d e r o f b o t h P o l i s h a n d J e w i s h l e a d e r s ( C o m m u n i s t s , h i g h c h u r c h a n da rm y o f fic ia ls , r ab b is , p r of e ss or s) a ft e r t he i n va si on o f 1 93 9. I nd e ed , t hem u r d e r o f t h e P o l i s h l e a d e r s o c c u r r e d p r i o r t o t h a t o f t h e J e w s b e c a u s e o f t he g r e a t e r t hr e a t o f P o l i s h a n t i - G e r m a n a g i t a t i o n g i v e n t he i r m u c h l a r g e rn u m b e r s , y e t t hi s m u r de r o u s b e ha v i o r i s di s t i n c t f r o m t he l a t e r H o l o c a u s t
b o t h i n k i n d a n d s c a l e . O r c o n s i de r t he m a s s a c r e o f a ppr o x i m a t e l y 2 0 0 , 0 0 0A r me n i an s b y t he O t to m an a u tho ri t ie s i n 1 89 4 –9 6. T hi s l a rg e -s c al e m a s-s a c r e i s q u a l i t a t i v e l y di s t i n c t f r o m t ha t o f t he g e n o c i de o f 1 9 1 5 – 1 6 whe n a sm a n y a s 1 m i l l i o n o r m o r e A r m e n i a n s we r e s y s t e m a t i c a l l y m u r de r e d. O n ec an m ak e s im i la r d is ti nc ti on s b et w ee n t he e p is od i c m a ss ac re o f T ut si b y H u t u i n R w a n d a a n d t h e g e n o c i d e o f 1 9 9 4 i n w h i c h a l i k e l y m a x i m u m o f 8 0 0 , 0 0 0 T u t s i we r e k i l l e d.
10 D a w i d o w i c z 1 9 8 6; Jä c k e l 1 9 8 1 ; F l e m i n g 1 9 8 4 .11 F r a e n k e l 1 9 4 1 ; N e u m a n n 1 9 4 2 ; B r o s z a t 1 9 8 1 . 12 F r i e d l ä n d e r 1 9 9 7 .13 F o r c o m p r e h e n s i v e t r e a t m e n t s o f m a s s a c r e s , s e e L e v e n e a n d R o b e r t s 1 9 9 9 .
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T h e e m p h a s i s o n c h a n g e o v e r t i m e , p a r t i c u l a r l y d u r i n g a w a r , m i g h ta pp e ar t o b e s el f- e vi de nt , y et m aj or p ub l ic a nd s c ho l ar l y fi gu re s h av el a rg e l y i g n or e d i t . I n a d d it i o n t o t h e d i s ti n ct i o n b e t we e n ‘‘ i nt e nt i o na l -
i s t s ’ ’ a n d ‘ ‘ f u n c t i o n a l i s t s , ’ ’ j o u r n a l i s t s s u c h a s S e b a s t i a n H a f f n e r , h i m s e l f a n on -J e wi s h a nt i- Na zi r e fu ge e f ro m H i tl er w ho h as b e en c al le d ‘‘ th ec on sc i en ce o f p os t- w ar G er ma ny ,’’ a rg ue d t ha t o ve r a nd a bo v e e ve ry -t h in g e ls e , i n cl ud i ng v ict o ry , t he p ri nc ip al g oa l o f N az i G er ma ny w asd e s t r u c t i o n o f t h e J e w s .14 M o r e r e c e n t l y , O m e r B a r t o v , w h o h a s e m e r g e di n r e c e n t y e a r s a s o n e o f t h e l e a d i n g H o l o c a u s t h i s t o r i a n s , a l s o a f fi r m e dt hat , ‘‘ wh en al l o th er p la ns fe ll th ro ug h, e ve n w he n t he f ro nt s w er ec ol la ps in g a nd G er ma ny w as a bo ut t o b e i nv ad ed , t he J ew s r em ai ne dwh at t h ey h ad be e n f ro m t he v er y b eg in ni ng : G er ma ny ’s fi rs t a nd primary target.’’15 A s w e s h al l se e , t he a n al y s e s he re wi l l b el i e t h is
p r e s u m e d c o n s t a n c y o f m o t i v a t i o n .C o n ti ng e nc y al s o i s o n e o f th e m a j o r e m ph a s e s o f t hi s b o o k .
G en oc id e, I a rg ue , i s a c on ti ng en t e ve nt , o ne m ad e m or e p ro ba bl e b y t h e e a r l i e r e x p e r i e n c e o f l o s s a n d i t s c o n s e q u e n c e s . I n c o n t r a s t t o J o h nL ew is G ad di s, w ho a rg ue s fo r t he a bs en ce o f p at te rn s i n c on ti ng en te v en ts ( ‘‘ By c o nt in g en ci e s, I m ea n p h en om e na t h at d o n ot f or m p at -t e r n s . T h e s e m a y i n c l u d e t h e a c t i o n s i n d i v i d u a l s t a k e f o r r e a s o n s k n own
o n l y t o t h e m s e l v e s : a H i t l e r o n a g r a n d i o s e s c a l e , f o r e x a m p l e ’ ’ ) ,16 t hi sb o o k d e m o n s t r a t e s t h a t p a t t e r n s o f c o n t i n g e n c y i n g e n o c i d e d o o c c u r .
T hi s b o ok , th en , a t te mp ts t o s o l v e t wo p uz zl e s i n t h e s t u d y o f g e n o c i d e . F i r s t , h o w d o e s t h e p a t t e r n o f m a s s a c r e , s o m e t i m e s r a n d o m ,o ft -t i me s o rg an iz ed f or s pe c ifi c p ur p os es , b e co m e t r an sf or m ed i nt og en oc id al p ol ic y o rg an iz ed a t t he s ta te l ev el ? T er ro r i s o ft en u se d t oa c h ie v e s p e ci fi c p u r po s e s. P o t en t ia l l y h o s ti l e c i v il i an p o p ul a ti o ns n e e dt o b e c o w e d i n t o s u b m i s s i o n ; e v e n o n t h e b a t t l e fi e l d , t e c h n i c a l c h a n g e s
a re s om et im es i nt ro du ce d s ol el y i n o rd er t o i nd uc e t er ro r a nd a c on -s eq ue nt d em or al iz at io n o f o pp os in g f or ce s. T he fi tt in g o f s hr ie ki ngs i r e n s t o t h e w i n g s o f G e r m a n S t u k a d i v e b o m b e r s i n W o r l d W a r I I i sa c a s e i n p o i n t . A n d t e r r o r i s o f t e n s u f fi c i e n t t o a c h i e v e n e u t r a l i z a t i o n ,e v e n c o m p l e t e s u b m i s s i v e n e s s . A c t i v e C z e c h o p p o s i t i o n t o t h e G e r m a no c c u p a t i o n e f f e c t i v e l y c e a s e d a f t e r t h e m a s s a c r e o f t h e m a l e p o p u l a t i o na n d i n t e r n m e n t i n c o n c e n t r a t i o n c a m p s o f t h e w o m e n a n d c h i l d r e n , a sw e l l a s p h y s i c a l d e s t r u c t i o n o f t h e t o w n o f L i d i c e n e a r t h e a s s a s s i n a t i o n
s i t e o f R e i n h a r d H e y d r i c h , p r o t e c t o r o f B o h e m i a - M o r a v i a a n d a n a r c h i -t e c t o f t h e ‘‘ F i na l S o lu t io n .’’ M o re g e ne r al l y, a s E d w ar d L u tt w a k n o te s ,
14 H a f f n e r 1 9 7 9 . 15 E m p h a s i s a d d e d ; B a r t o v 2 0 0 3 , 93. 16 G a d d i s 2 0 0 2 , 3 0 – 3 1 .
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‘ ‘ T h e r e p r i s a l p o l i c y o f t h e G e r m a n f o r c e s d u r i n g W o r l d W a r I I w a s v e r y e f f e c t i v e i n m i n i m i z i n g t h e re s u l t s t h a t g u e r r i l l a s c o u l d a c h i e v e , i n m o s tp la ce s, m os t o f t he t im e. ’’17 G en oc id e o f t he C ze ch p op ul at io n w asu n n e c e s s a r y a n d d i d n o t o c c u r .
E u r o p e a n J e w i s h p o p u l a t i o n s h a d f o r c e n t u r i e s t r a i n e d t h e m s e l v e s t ob e u t t e r l y s u b m i s s i v e t o C h r i s t i a n s e c u l a r a u t h o r i t i e s i n t h e e x p e c t a t i o n ,f r eq u en t ly r e al i ze d , t h a t e v e n s e v er e o p p re s si o n u l ti m at e ly w o ul d p a ss ,a n d t h e J e w i s h c o m m u n i t y w o u l d s u r v i v e . O r t h o d o x , e s p e c i a l l y H a s i d i cJ ew is h c om m un it ie s i n e as te r n P ol an d, B el or us si a, a nd U kr ai ne w e res i n g u l a r l y i n d i f f e r e n t t o t h e s e c u l a r a u t h o r i t y o f t h e m o m e n t . T h e i r l i v e sw er e i nt en se ly s pi r it ua l a nd p r ed o mi na nt ly c on ce rn ed w i th d o ct ri na lJ ew is h m at te r s. I n t h e f ac e o f s uc h m an if es t i nd i ff er en ce o r s ur r en de r ,
w h y i n s t i t u t e g e n o c i d e ?S e c o n d , w h y d o e s g e n o c i d e p e r s i s t ? O n e o f t h e o l d e s t r e c o r d e d g e n o -
c i d e s , t h e M e l i a n o f t h e P e l o p o n n e s i a n W a r , o c c u r r e d a l m o s t 2 5 m i l l e n -ni a ag o, w hi le t he m os t r ec en t, th e T ut si , t oo k p lac e w it hi n t he p as td e c a d e . A n d t h e s e g e n o c i d e s a p p e a r n o t t o h a v e c o n f e r r e d a n y t a c t i c a l o rs t r a t e g i c a d v a n t a g e o n t h e p e r p e t r a t o r . A l l o f t h e m a j o r i n s t a n c e s o f t h ep a s t c e n t u r y , a s w e l l a s t h e p r o t o t y p i c a l M e l i a n c a s e , w e r e c o m m i t t e d b y t he l os in g s id e in a m aj or w ar . I nd ee d, i ns te ad o f i nc re me nt al g ai n,
g e n o c i d e ap pe a r s to ha v e i n c u r r e d s u b s t a nt i a l l o s s e s , a s i n t h eH ol oc au st w h en G er m an t ra ns po r t a nd p e rs o nn el h ad t o b e d iv e rt e df r o m t h e p r i n c i p a l t a s k o f w a g i n g w a r a g a i n s t a n i n c r e a s i n g l y f o r m i d a b l ea rr ay o f o p po ne nt s . A r at i on al c h oi c e d e ci s io n c a lc ul us e mp h as iz in gi ns tr um en ta li ty a pp ear s no t t o h av e b ee n d ec is iv e in c ho os in g th eg en oc id al o pt io n, a n a rg um en t t ha t w il l b e d ev el op ed m or e f ul ly i nc ha pt e r 4.
T h e p a s t i s u n a l t e r a b l e . T h i s p a i n f u l a x i o m o f i n v a r i a n c e s e t s t h e s t a g e
f o r a t t e m p t s t o c o n f r o n t a n d t h e n r o l l b a c k t h e d i c t a t e s o f h i s t o r y . B a s e do n s o m e u n d e r s t a n d i n g o f t h e p a s t , f r e q u e n t l y fl a w e d a s i n t h e c a n a r d o f J e wi sh r e sp o ns ib i li ty f or G er m an y’ s d e fe at i n W or ld W ar I , g e no c id ee me rg es a s a r ad ic al s ol ut io n t o t he p er ce pt io n o f a n u na cc ep ta bl e,i n d e e d i n t o l e r a b l e , h i s t o r i c a l c i r c u m s t a n c e . G e n o c i d e i s n o t a n i n e v i t a -b l e c o n s e q u e n c e n o r i s i t a f r e q u e n t o n e . B u t w h e n c e r t a i n s o c i o p o l i t i c a lc on di ti on s c oi nc id e, g en oc id e h as e ns ue d. T he t as k o f t hi s b oo k i s t od el i ne at e t h es e c o nd i ti o ns i n t h re e a lm o st u ni v er sa ll y a ck no w le d ge d
g en oc id e s: t h e H ol o ca us t o f 1 94 1– 45 , t h e A rm en ia ns o f 1 91 5– 16 , a ndt he T u t s i o f 19 94 . B y c o n fi n i n g t h e a na l y s i s to c as e s o f m ax im u m
17 L u t t w a k 1 9 8 7 , 1 3 3 .
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v i c t i m i z a t i o n ( i n t h e 6 6 – 7 0 p e r c e n t r a n g e ) ,18 I a l s o a l l o w f o r t h e p o s s i -b i l i t y o f f e r r e t i n g o u t v a r i a b l e s t h a t h a v e t h e s t r o n g e s t i m p a c t o n e x t e n -s i v e m a s s k i l l i n g . T h e r o l e o f t h e s t a t e , r e a l p o l i t i k , a n d l o s s w i l l t u r n o u tt o b e c ru ci al . T he se v ar ia bl es a ls o a ll ow f or t he p os si bi li ty o f s pe ci ficp ol ic y r ec om me nd at io ns – i nc lu de d i n t he c on cl ud in g c ha pt er – a no ut co m e f re q ue nt ly d en ie d to t he m or e m ac ro v ar iab le s t yp ic al ly f ou nd i n l ar ge -N a na ly se s .19 L at er , a p ol it ic id e – t he m as s m ur de r o f d es ig na te d e ne mi es o f t he s ta te b as ed o n s oc io ec on om ic o r p ol it ic alc r it er ia – t h e C am b od i an p o li ti c id e o f 1 97 5– 79 , w i ll b e s h ow n t o h a vea d i f f e r e n t e t i o l o g y , s t e m m i n g f r o m a n e q u a l l y fl a w e d u n d e r s t a n d i n g o f h i s t o r i c a l c a u s a t i o n .
I c h o o s e t h e s e i n s t a n c e s n o t o n l y b e c a u s e t h e r e i s l i t t l e d e b a t e a b o u t
t h e i r s t a t u s a s g e n o c i d e s i n c o n t r a s t t o m a n y o t h e r p o t e n t i a l c a n d i d a t e s ,b u t a l s o b e c a u s e m u c h i n f o r m a t i o n i s a v a i l a b l e f o r t h e a n a l y s t t o d r a w u po n. T hi s i s e sp ec ia ll y t ru e o f t he H ol oc au st . I ts s he er m ag ni tu de o f 6 , 0 0 0 , 0 0 0 d e a d , a n d t h e a b s e n c e o f a n y i d e n t i fi a b l e J e w i s h p r o v o c a t i o nr en de r i t u ni qu e a nd a lm os t e nd le ss ly a tt ra ct iv e t o h is to ri an s, s oc ia ls c i e n t i s t s , a n d p h i l o s o p h e r s w h o s e e k t o e x p l a i n t h e a p p a r e n t l y i n e x p l i c -a bl e. T h e l it er at ur e o n t h e H ol oc au st , t he r ef or e , i s f ar m o re e x te n si vet h a n t h a t f o u n d i n o t h e r c a s e s . Y e t e x p l a i n i t w e m u s t , b e c a u s e i t i s t o o
i m p o r t a n t a n e v e n t t o l e a v e t o t h e m y s t i fi e r s w h o c o n t e n d t h a t i t s i m p l y c an no t b e e xp la in ed i n t he t em po ra l r ea lm . T he H ol oc au st a ls o h as am u c h w i d e r g e o g r a p h i c a l r a n g e o f o c c u r r e n c e t h a n d o a n y o t h e r g e n o -c id es i nc lu di ng t he A rm en ia n a nd R wa nd an . I t t oo k p la ce i n t we nt y E ur op e an c ou nt ri e s ( i nc lu d in g B ri ta in , i n t h e c o ll ab or a tio n o f l oc alg ov er nm en t w it h t he N az is o n t he C ha nn el I sl an ds )20 w i th v ar yi ngd e gr ee s o f c ol la bo r at io n o r d e fia nc e a mo ng t h ei r l ea de r s a nd p o pu la -t i o n s , a n d o v e r a l o n g e r t i m e p e r i o d . T h i s p l e t h o r a o f d a t a a l l o w s f o r t h e
e x a m i n a t i o n o f a w i d e v a r i a t i o n o f b e h a v i o r s a m o n g c o u n t r i e s a n d e v e na mo ng t he J ew is h g he tt os i n P ol and b etw ee n 194 0 a nd 1 94 4. T hi sb eh av io ra l v ar ia ti on , t oo , i s a bs en t i n o th er c as es . F or t he se r ea so ns ,t h e H o l o c a u s t r e c e i v e s g r e a t e r e m p h a s i s . B y s t u d y i n g i t i n i t s e n t i r e t y , w e
18 F e i n 2 0 0 4 l i s t s t h e H o l o c a u s t , t h e A r m e n i a n , a n d t h e T u t s i g e n o c i d e s i n t h a t c a t e g o r y .O n l y t h e H e r e r o a r e a l s o t o b e f o u n d i n t h e c a t e g o r y o f m a x i m u m v i c t i m i z a t i o n b u t , a sw e s ha ll s e e i n c ha pt er 2 , t h e a m bi g uo u s e x te n t o f s t at e i n vo l ve m en t a n d c o mb a ta n t
s t a t u s l e a d t o i t s e x c l u s i o n .19 S e e, f o r e x am p le , t h e i m po r ta n t a s s oc i at i on b e tw e en p o li t ic a l u p he a va l a n d g e no c id ef ou nd i n H ar ff 2 0 0 3 . P ol it ic al u ph ea va l, o f c ou rs e, a ll ow s f or a l ar ge n um be r o f m a n i f e s t a t i o n s t h a t l a c k s t h e s p e c i fi c i t y r e q u i r e d f o r p o l i c y r e c o m m e n d a t i o n s .
20 F o r a n a r t i s t i c r e n d e r i n g o f t h i s c o l l a b o r a t i o n , s e e P a s c a l 2 0 0 0.
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s i m p l y l e a r n m o r e f r o m t h e v a r i e t i e s o f b e h a v i o r f o u n d a c r o s s m o s t o f t h e E u r o p e a n c o n t i n e n t .
I n o rd er t o m ax im iz e e xp la na ti on , w e m us t l is te n t o t he v oi ce s o f p e r p e t r a t o r s a n d r e s c u e r s a l i k e . V o i c e s o f t h e v i c t i m s h a v e m o s t l y b e e ns t i l l e d b y m a s s m u r d e r a n d t h e r a v a g e s o f t i m e , b u t t h e i r r a g e , s o r r o w ,p ow e rl es sn es s, a nd , f or t h e s ur v iv or s , a l i fe ti m e o f p a in , a ss ua ge d o nl y i nt er m it te nt l y b y n ew f am i li e s a nd p e rs on al a ch i ev e me nt s, h av e b ee nr ec or d ed i n m e mo ir s a nd o ra l h i st or i es . W he r e a p pr o pr i at e, t he i r e vi -d e n c e c a n h e l p u s a s w e l l .
T hi s b oo k i s a bo ut l os s i n t wo i mp or ta nt s en se s. F ir st , i n t he e no r-m o u s l o s s e s o f h u m a n l i f e , p o s s i b i l i t y , a n d c u l t u r e v i s i t e d o n t h e w o r l db y g e no ci d e. T h e t hr ee g en oc i de s e x am in ed h er e r es ul te d i n t h e d i re c t
de at hs o f a ppro x i ma t e ly 8 ,0 0 0, 0 00 pe opl e ; t he a f te r s ho c ks a n d c o nt a gi o np r o c e s s e s l e d p r o b a b l y t o a m i n i m u m o f a n o t h e r 4 – 5 m i l l i o n d e a d . T h i sn u m b e r i s g r e a t e r t h a n t h e n u m b e r o f c o m b a t d e a t h s i n W o r l d W a r I ,w i t h t h e o b v i o u s d i f f e r e n c e t h a t n e a r l y a l l o f t h e W o r l d W a r I c o m b a td e a d w e r e m a l e . G e n o c i d e s i n t h e t w e n t i e t h c e n t u r y m a d e n o p r o v i s i o nf o r t h e r e s c u e o f w o m e n a n d c h i l d r e n .
E nt ir e c ul tu re s w e re l o st . T he v ib r an t Y id d is h- ba se d c ul tu re o f E as tEu r o p e a n t o wn s an d c it i e s i s no m o r e . T he r e a r e no l o ng e r an y
A r m e n i a n c o m m u n i t i e s i n e a s t e r n A n a t o l i a ; t h e i r c h u r c h b e l l s n o l o n g e rr in g fo r S un da y se rv i ce s. I n R w an da t od a y, o nl y w i th s om e ef fo r t c an o nefi n d a T u t s i w h o w a s l i v i n g i n R w a n d a i n 1 9 9 4 . M o s t T u t s i i n R w a n d ano w a re r et ur ne es o r m ig ra nts w ho ar ri ve d a ft er th e g en oc id e. T hee no rm it y o f t he l os se s c an p er ha ps b es t b e a pp re ci at ed b y t ho se w hod ir ec tl y e xp er ie nc ed t he m o r t he ir r el at iv es o r e th ni c k in . Y et a ll o f u sc a n a t l e a s t c o g n i t i v e l y u n d e r s t a n d t h e m o n s t r o u s d i m e n s i o n s o f t h e s el o s s e s .
T h e s e c o n d m e a n i n g o f l o s s i s m o r e a n a l y t i c , f o r i t p r o v i d e s a b a s i s f o ru n d e r s t a n d i n g t h e b e h a v i o r o f m a n y o f t h e p e r p e t r a t o r s . I n d e e d , l o s s i st he si ng l e c o m m o n t h r e a d t ha t un d ul at e s t h r o u g h o ut th es ev er al t he or et ic al f oc i t ha t a re u se d h er e t o u nd er st an d t he o ns et o f g en oc id e. L os s is u nd er st oo d as e it he r ( 1) t he t ra ns fe r o f t er ri to ry ,p op ul at io n, au th or it y, o r s om e c om bi nat io n o f an y o f th e t hr ee t oa n o t h e r p o l i t i c a l e n t i t y , o r ( 2 ) s i g n i fi c a n t c a s u a l t i e s i n p o l i t i c a l v i o l e n c e( e . g . , w a r ) t h a t e i t h e r a r e a b o u t t o b e o r h a v e a l r e a d y b e e n i n c u r r e d .
W hy s h ou ld a p o li ti c al s ci e nt i st l ik e m y se lf , i n a dd i ti o n t o p e rs o na lr ea so ns , s ee k t o s tu dy t he o ri gi ns o f g en oc id e? A ft er a ll , g en oc id e i s ap r o f o u n d l y h u m a n c o n d i t i o n i n v o l v i n g t h e d e a t h s , i n t h e a g g r e g a t e , o f m i l l i o n s o f p e o p l e , o f t e n b y e x t r a o r d i n a r i l y b a r b a r i c m e a n s . I n t h a t , i t i s
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fi r s t a n d f o r e m o s t a h u m a n t r a g e d y a n d j u s t i fi a b l y i t h a s b e e n t r e a t e d a ss u c h . Y e t t o u n d e r s t a n d t h e e t i o l o g y o f g e n o c i d e , a n d t h a t i s m y p r i n c i -p al c onc er n i n t hi s b oo k, w e m us t l oo k t o t he f ound at io ns o f p ol ic y m ak in g, n am e ly p o li t ic s. A nd t h es e p o li ti c al p r oc e ss es o ft en i nv ol vet h r e a t s t o t h e s e c u r i t y o f f a i r l y n e w l y e s t a b l i s h e d s t a t e s , s p e c i fi c a l l y t h ep o s si b i li t y o f l o ss . G e r m an y e m b a rk e d o n i t s g e no c id a l p a t h i n 1 9 41 a f t e ro nl y s ev en ty y ea rs o f i nd ep en de nt u ni te d e xi st en ce , a p er io d d ur in gw hic h it e xpe ri en ce d t hr ee i nc ar na ti on s – i mp er ia l G er ma ny , th eW ei ma r R ep ub li c a nd t he N az i s ta te – t he l as t, o f c ou rs e, t he n ew es ta n d i n c e r t a i n r e s p e c t s t h e l e a s t e s t a b l i s h e d i n A u g u s t 1 9 4 1 w h e n g e n o -c i d e b e g a n i n e a r n e s t . T h e s t a t e , t h e n , a n d p o l i c i e s d e s i g n e d t o e n s u r e i t sc o n t i n u i t y – a f u n d a m e n t a l c o m p o n e n t of r e a l p o l i t i k d e fi n e d a s s u c c e s s
i n p r e s e r v i n g a n d s t r e n g t h e n i n g t h e s t a t e21 – l o o m l a r g e i n t h e f o l l o w i n ga n a l y s e s .
Genocide i s u nd er st oo d t o b e t he s ta te -s po ns or ed s ys te ma ti c m as sm ur d er o f i nn oc e nt a nd h e lp le s s m en , w o me n, a nd c hi l dr e n d e no te db y a p ar ti c ul ar e t hn or e li gi ou s i d en ti t y, h a vi ng t he p ur p os e o f e r ad i ca ti n gt hi s g ro up f ro m a p ar ti cu la r t er ri to ry . M or e d et ai le d r ea so ns f or t hi sc h o i c e w i l l b e p r e s e n t e d i n c h a p t e r 2. Genocidal behavior i s u n d e r s t o o dt o b e m a s s m u r d e r s h o r t o f e r a d i c a t i n g t h e e n t i r e g r o u p , b u t i n c l u d i n g a
s i g n i fi c a n t s u b s e t o f t h a t g r o u p i n t h e k i l l i n g .I n u n de r s ta n d in g t h e b e h av i o r o f p e r pe t ra t o rs , e x p la n at i o n w i ll n o t
b e r e s t r i c t e d t o t h e p o l i t i c a l r e a l m . T h e o r i e s w i l l b e d r a w n f r o m s o c i a lp s y c h o l o g y , e c o n o m i c s , c o g n i t i v e s c i e n c e , a n d o t h e r s c i e n c e s c o m m i t t e dt o u n d e r s t a n d i n g t h e h u m a n c o n d i t i o n . A n d t h e p e r p e t r a t o r s , h o w e v e rw e l l d e s e r v e d t h e i r o d i o u s r e p u t a t i o n s , w e r e p r i m a r i l y h u m a n b e i n g s . I td o e s n o g o o d t o l a b e l t h e m a s m o n s t e r s a n d s i m p l y f o r g e t a b o u t t h e ma ft er t he ir c on si gnm ent t o t he t ra sh h ea p o f h is to ry . Ce rt ai nl y th e
p er pe tr at or s c om mi tt ed m on st ro us d ee ds . Y et , w e d o fa r b et te r toe x pla in t he i r de s c en t i nt o at ro c i ty a s hu m a n b e i n g s t h an a s s o m em ut at ed c re at ur es w h os e b eh av io r s d e fy u nd e rs t an di ng . I n t he l at t eri ns ta nc e, w e w i ll c la im n o p ur c ha se o n e x pl an at io n a nd p o ss ib le p r e-v e n t i o n , w h e r e a s i n t h e f o r m e r w e m a y fi n d s o m e h o p e f o r t h e f u t u r e . T oh u m a n i z e i s t o u n d e r s t a n d , b u t c e r t a i n l y n o t t o a b s o l v e o r c o n d o n e .
A s t he I sr ae li p oe t a nd H ol oc au st s ur vi vo r D an P ag is w ro te i n h ispo e m ‘‘ T e s t i m o n y ’’ :
21 W a l t z 1 9 7 9 , 1 1 7 .
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N o n o : t h e y d e fi n i t e l y w e r e
h u m a n b e i n g s : u n i f o r m s , b o o t s .
H o w t o e x p l a i n ? T h e y w e r e c r e a t e d
i n t h e i m a g e .
I w a s a s h a d e .
A d i f f e r e n t c r e a t o r m a d e m e .
A n d h e i n h i s m e r c y l e f t n o t h i n g o f m e t h a t w o u l d d i e .
A n d I fl e d t o h i m , fl o a t e d u p w e i g h t l e s s , b l u e ,
f o r g i v i n g – I w o u l d s a y : a p o l o g i z i n g –
s m o k e t o o m n i p o t e n t s m o k e
t h a t h a s n o f a c e o r i m a g e .22
T he m o ra l s ti gm a w il l r em a in w ha te ve r o ur l ev el o f u nd e rs ta nd i ng , f ort he b a r b a r i t i e s a n d i m m e n s i t i e s o f hu m a n l o s s l a y b e y o n d a n y a b s o l u t i o n ,h o we v er l im it e d. N ot w it h st an di n g t he i r i nt e nt , u nl es s p e rp e tr at or s a reg e nu in e l y de ra n ge d, a r e ps yc ho lo g ic a ll y di s co n ne c t ed f r om t he ir s u rr ou n d-i n g s , o r a r e coer c e d wi t h de a dl y f o r c e , j u dg m e n t s a r e b a s e d o n a c t i o n s , n o tmotivations.23 I n t he fi na l a na ly si s, I p os e t he q ue st io n: c an w e a ff or d t ot r e a t t h e p e r p e t r a t o r s a s h u m a n b e i n g s i n s t e a d o f m o n s t e r s ? T h e a n s w e r i ss im pl y t ha t w e c an’ t a ff or d not t o. To o m uc h i s a t s ta ke i n t he e xp la na ti on o f
g e n o c i de a n d pe r ha ps pr e v e n t i o n o f f u t u r e m a s s k i l l i n g s .
The role of theory
I f w e v i e w g e n o c i d e a s a h u m a n p e r v e r s i o n , c e r t a i n l y i n t h e m o r a l r e a l m ,i t i s u s e f u l t o s e e k a n s w e r s i n t h e p e r v e r s e . O n e h i n t o f t h e s o u r c e o f s u c hp er ve rs io n i s f ou nd i n t he M es sa ge t o t he A ss em bl y t ha t D r. I sm arS ch o rs c h, c h an ce l lo r o f t he J e wi sh T he ol o gi ca l S em in ar y i n N ew Y or k,de l i ve r ed at t h e 2 00 1 g r a dua tio n c er e m on y o f t h e C an t o ri a l a ndR a b b i n i c a l S c h o o l . C h a n c e l l o r S c h o r s c h s u g g e s t e d t h a t o n e o f h i s f a v o r -i te H eb re w w or ds w as ‘‘ tz im tz um ,’’ m ea ni ng c on tr ac ti on . T o b e a ne f f e c t i v e l e a d e r , a r a b b i m u s t f r e q u e n t l y c o n t r a c t h e r s p h e r e o f i n fl u e n c ei n o r d e r t o s t i m u l a t e c r e a t i v i t y i n o t h e r s . H e r c o n t r a c t i o n p r o v i d e s t h ei n t e l l e c t u a l / s p i r i t u a l s p a c e f o r c o n g r e g a n t s o r c o l l e a g u e s t o e x p l o r e t h e i ro w n c a p a b i l i t i e s , t h e r e b y e n h a n c i n g t h e c r e a t i v e p r o c e s s .
T h e i d e nt i fic a ti o n o f c o n tr a ct i on w i t h c r e at i v it y i n S c ho r sc h ’ s i n te r -p r e ta t io n c o nt r as t s s h a rp l y w i t h t h e e f fe c ti v e i d e nt i fi ca t io n o f c o nt r a c-
t i o n w i t h d e s t r u c t i o n i n t h e m i n d s o f g e n o c i d a l l e a d e r s . F o r e x a m p l e , i n
22 Q u o t e d i n B a r t o v 2 0 0 3, 1 1 3 . 23 N e i ma n 2 0 0 2 .
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h i s s p e e c h o f J u n e 2 5 , 1 9 3 1 , H i t l e r s t a t e d t h a t : ‘ ‘ T h e p a r t i e s o f t h e m i d d l es a y : e v e r y t h i n g i s c o l l a p s i n g ; w e d e c l a r e : w h a t y o u s e e a s c o l l a p s e i s t h eb e g i n n i n g o f a n e w e r a . T h e r e i s b u t o n e q u e s t i o n a b o u t t h i s n e w e r a : w i l li t c o m e f r o m t h e G e r m a n p e o p l e . . . o r w i l l t h i s e r a s i n k t o w a r d a n o t h e rp e o p l e ? W i l l t h e J e w r e a l l y b e c o m e m a s t e r o f t h e w o r l d , w i l l h e o r g a n i z ei ts l if e, w il l h e i n t he fu tu re d om in at e t he n at io ns ? T hi s i s t h e gr e a tq ue st io n t ha t w il l b e d ec id ed , o ne w ay o r th e o th er .’’24 T he ‘‘ s pa c e ’’c r e a t e d b y t h e c o l l a p s e o f t h e c e n t e r p a r t i e s i s t o b e o c c u p i e d n o t b y ap ol it ic al c re at io n o f t he N az i P ar ty , b ut b y t he d es tr uc ti on , o r a t l ea stn e u t r a l i z a t i o n , o f t h e J e w i s h ‘ ‘ m e n a c e . ’ ’
I n a ll o f t he g en oc id es c on si de re d h er e, t he p er pe tr at or s h ad a lr ea dy e xp er i en ce d l os se s i n t h e f or m o f s ub st an ti al s pa ti a l c on tr ac ti on s, o r w er e
r ea so na bl y c e rt ai n t ha t s uc h c on tr ac ti on s w e re i mp en di ng . I ns te ad o f ac re at iv e r es po ns e, t he y e nt er ed u po n a m ani fo ld i nt en si fic at io n o f t hed e st r uc t iv e p r oc es s i nd is cr im in at el y a pp li e d t o i nn oc e nt m en , w om en ,a nd c hi ld r en . C re a ti v it y o f t h e i n te l le c tu al a nd s pi r it ua l d o ma in s e m ph a-s iz ed b y S ch or sc h p ro vi de s a s tar k c on tr as t w it h t he w ho le sa le v io le nc eassociated with genocide.
E xp lan ati on o f t he o ns et an d m ag ni tu de o f g en oc id e i s t he m ai np u r p o s e o f t h i s b o o k . A n d s u c h a n a n a l y s i s a t t h e o u t s e t c a n n o t b e fi r m l y
i n t h e n o m o t h e t i c c a m p b e c a u s e o f t h e r e l a t i v e a b s e n c e o f t h e o r i z i n g i nt he fi el d o f g en oc id e. T hi s u nf or tu na te s it ua ti on i s d ue t o a t l ea st t wor e a s o n s , n o t e n t i r e l y i n d e p e n d e n t o f e a c h o t h e r .
F ir st , t he p re p on de r an ce o f r es ea rc h i n t he fi e ld o f g e no c id e s tu di e sh as b ee n b y p ro fe ss io na l h is to ri an s, a lm os t a lw ay s o n a s in gl e c as e o f g en oc id e, m os t f re qu en tl y t he H ol oc au st . An d, u nt il n ow , t hi s i s a s i ts ho uld h av e b ee n. E ve n t he H ol oc au st , a s b y f ar t he m os t e xt en si veg e n o c i d e o f t h e t w e n t i e t h c e n t u r y , e v e n i n a l l o f r e c o r d e d h i s t o r y , h a d
r e c e i v e d v e r y l i t t l e a t t e n t i o n f r o m h i s t o r i a n s u n t i l t h e E i c h m a n n t r i a l i nI sr ae l a nd t he v ir tu al ly s im ul ta ne ou s p ub li ca ti on o f R au l H i lb e r g’ sm a g i s t e r i a l s t u d y o f t h e H o l o c a u s t i n t h e e a r l y 1 9 6 0 s .25 O n l y t h e n , a n dw i t h t h e g r a d u a l d i s a p p e a r a n c e o f t h e g e n e r a t i o n o f G e r m a n p e r p e t r a -t o r s , a s w e l l a s t h e e v e n m o r e r e c e n t e n d o f t h e C o l d W a r , d i d h i s t o r i a n s ,e sp e ci al ly G e rm an o n es , t ak e a s er i ou s i nt e re st i n t h e H o lo ca us t. T hep as si ng o f t he s ur vi vo rs al so h as q ui cke ne d t he p ac e o f H ol oc au str e se ar ch , b ef or e t h ei r o ra l t e st im on y a nd t h e w r it in g o f t h ei r m em o ir s
w i l l n o l o n g e r b e a d d e d t o t h e s t o r e o f e v i d e n c e . E v e n a b a s i c i s s u e s u c ha s t h e t i m i n g o f H i t l e r ’ s d e c i s i o n t o m u r d e r all o f E u r o p e ’ s J e w s , n o t j u s t
24 Q u o t e d i n F r i e d l ä n d e r 1 9 9 7 , 1 0 3 . 25 H i l b e r g 1 9 8 5 , a n e w e d i t i o n o f h i s 1 9 6 1 w o r k .
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t ho se in t he So vi et U ni on p re su ma bl y i nf ec te d w it h th e Bo ls he vik b ac i ll us , h as o nl y r e ce iv e d a m o di cu m o f c on se ns us a mo ng h i st or ia nsi n t he p as t s ev er al y ea rs . I nt er es ti ng ly , t his i ss ue w il l ar is e l at er i nc o n n e c t i o n w i t h t h e u s e s o f t h e o r y .
The need for comparison in theory development
As a r esu lt o f t hi s e mp ha sis o n s in gl e c as es , i mp or ta nt as th ey a re ,g e n e r a l i z a b i l i t y h a s s u f f e r e d g r e a t l y . T h i s l i m i t a t i o n o n g e n e r a l i z a b i l i t y –a h al lm ar k o f e mp ir ic al v al id it y – h as i mp ed ed t he d ev el op me nt o f t h e o r y . T h e f a c t t h a t t h e t h i r d m o s t e x t e n s i v e g e n o c i d e o f t h e t w e n t i e t hc en tu ry , t ha t o f t he T ut si i n R wa nd a, o cc ur re d o nl y d ur in g t he p as t
d ec ad e h as a ls o r e ta rd e d t h eo ry d e ve lo p me nt b ec au se i t s r e ce nc y p r e-v en te d i ts i nc lu sio n i n c om pa ra ti ve a nal ys es . T hi s b ri ng s m e t o m y s e c o n d c o n c e r n , t h e r e l a t i v e a b s e n c e o f c o m p a r a t i v e a n a l y s e s ( s t a t i s t i c a lo r s m a l l - N ) w i t h o u t w h i c h t h e o r y b u i l d i n g e i t h e r c a n n o t p r o c e e d o r i ss t e r i l e .
B ec au se o f i t s e x te nt a nd m an ne r o f o c cu rr en ce , t h e H o lo ca us t h asb e e n c l a i m e d t o b e u n i q u e . A n d i t is u n i q u e i n t h e u n t h i n k a b l e n u m b e ro f d ea d a nd t h e i nn oc e nc e o f a ny m al ev o le nt i nt en t t ow ar d G er ma ny
a m o n g t h e v a s t m a j o r i t y o f t h o s e k i l l e d . I n d e e d , b e c a u s e o f t h e d e r i v a -t i o n o f Y i d d i s h f r o m M i d d l e H i g h G e r m a n ( w h e n t a u g h t i n t h e a b s e n c eo f J ud ai c s tu di es , i t i s a lm os t a lw ay s i nc lu de d a mo ng t he G er ma ni cl an gu ag es ), i t w as f ar a nd a wa y t he m os t p op ul ar c ho ic e a mo ng J ew sa s a ‘ ‘ f o r e i g n ’ ’ l a n g u a g e o f s t u d y i n t h e e a r l y p a r t o f t h e l a s t c e n t u r y . A tt he p e rs on al l ev e l, m y m ot h er a nd h e r A me ri c an -b or n s i bl in gs a ll s tu -d i e d G e r m a n i n h i g h s c h o o l , m y a u n t h a v i n g w o n t h e G e r m a n m e d a l ,a m a t t e r o f s o m e f a m i l y p r i d e .
G e r m a n w a s t h e o f fi c i a l l a n g u a g e o f t h e fi r s t Z i o n i s t C o n g r e s s e s p r i o rt o W o r l d W a r I , a n d i t i s c l e a r t h a t n o m o r e p a t r i o t i c g r o u p c o u l d b ef o u n d i n G e r m a n y t h a n i t s J e w s . N e a r l y 1 0 0 , 0 0 0 J e w s h a d s e r v e d i n t h eG e r m a n a r m y d u r i n g W o r l d W a r I : 8 0 , 0 0 0 e x p e r i e n c e d c o m b a t , 3 5 , 0 0 0w e r e d e c o r a t e d f o r b r a v e r y , a n d 1 2 , 0 0 0 w e r e k i l l e d , n u m b e r s o u t o f a l lpr o po r t i o n t o t h e e s t i m a t e d 5 0 0 , 0 0 0 J e w i s h c i t i z e n s l i v i n g i n G e r m a n y a tt h a t t i m e .26 A h o r r i b l y i r o n i c s i d e l i g h t o n t h e H o l o c a u s t i s t h e r e l a t i v ew a r m t h t h a t m a n y o l d e r W a r s a w J e w s f e l t f or t h e W e h rm a ch t s o ld i e rs
i mm e di at e ly u po n G e rm an a rr iv al i n 1 93 9.27
T he se J ew s r ec al le d t hes ub s tan t i al ly b e t t er t re a t m e nt m e te d o u t t o th em b y t h e Ge r man
26 F i sc h e r 1 9 9 8 , 1 2 0 . 27 A b r a mo w i c z 1 9 9 9 .
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o c c u p y i n g t r o o p s o f W o r l d W a r I , i n c o m p a r i s o n w i t h t h e o v e r t l y a n t i -S e m i t i c t s a r i s t a u t h o r i t i e s t h e y r e p l a c e d .
T h i s p o s i t i v e s e n t i m e n t c e r t a i n l y d i d n o t e x i s t a m o n g t h e o t h e r c a s e so f g en oc id e c on si de re d h er e. T he A rm en ia ns h ad c re at ed a t l ea st t woa n t i - O t t o m a n r e v o l u t i o n a r y g r o u p s – t h e D a s h n a k s a n d H u n c h a k i s t s –b y t h e t u r n o f t h e c e n t u r y , a n d m a n y T u t s i ( b u t c e r t a i n l y n o t a l l ) w e r es w o r n e n e m i e s o f t h e H u t u - d o m i n a t e d R w a n d a n g o v e r n m e n t .
T hi s i s n ot t o s ay t ha t t he re e xi st s a j us ti fic at io n f or g en oc id e. A ny s in gl e d ea th a s th e r es ul t o f m ur de r, m as s o r s in gl e, i s o ne d ea th t oom an y. T he v as t m aj or it y o f A rm en ia ns a nd T ut si m ur de re d i n t he irr es pe ct iv e g en oc id es w er e w ho ll y a po lit ic al , as w er e t he J ew s i n t heH ol oc au st . T he se p eo pl e w an te d n ot hi ng m or e t ha n t o l iv e i n p ea ce
w i t h t h e i r n e i g h b o r s . Y e t o n e c a n n o t i g n o r e t h e e x i s t e n c e o f o p p o s i t i o nt o t h e anciens ré gimes i n t h e O t t o m a n E m p i r e a n d R w a n d a t h a t g e n u -i n e l y p r o v o k e d t h e s e g o v e r n m e n t s .
I c ho se a c om par ati ve a na ly si s b ec au se , d es pit e t he H ol oc aus t’ su n i q u e n e s s , t h i s m o d e o f i n q u i r y i s m o r e l i k e l y t h a n a n y o t h e r t o y i e l di ns ig ht s i nt o t he o ri gi ns o f n ot o nl y g en oc id e g en er al ly , b ut e ve n t heH ol oc au st i n p ar ti cu la r. O ne c as e i n p oi nt i s t he r ol e o f a p ar ti cu la rt h e o r e t i c a l o r i e n t a t i o n i n h e l p i n g t o p i n p o i n t t h e m o m e n t o f d e c i s i o n t o
m ur de r a ll o f E ur op e’ s J ew s f ou nd w it hi n t he b ou nd ar ie s o f G er ma ng ov e rn an ce o r o c cu pa ti o n. T h is t h eo r y, t o b e d e ve l op e d m o re f ul ly i nc ha pt e r 5 , c o nc er ns t he i mp a ct o f i nc r ea si ng l os se s o n s ta te i ns e cu ri ty ,a n d t h e c o n s e q u e n t i n c r e a s e i n t h e p r o b a b i l i t y a n d i n t e n s i t y o f p o l i t i c a lv i o l e n c e d i r e c t e d a g a i n s t c i v i l i a n p o p u l a t i o n s .
A r e l a t e d i s s u e i s t h a t o f t h e u s e o f s o c i a l s c i e n c e t h e o r y i n a n e f f o r t t og e n e r a l i z e a c r o s s c a s e s . R e a l p o l i t i k , p r o s p e c t t h e o r y , a n d o t h e r p e r s p e c -t i v e s o n l o s s w i l l b e i n t r o d u c e d a s m e a n s o f u n d e r s t a n d i n g t h e o n s e t o f
g en oc id e w it hi n t he c on te xt o f e ar li er s ta te l os se s a nd h ig h r is k. T hi se mp h as i s r e ve r se s t h e u nd er st an dab le te nd en cy t o v ie w g en oc id e asp r in c i pa l ly a d o m es t i c e n te r p ri s e .28 A ft er a ll , d id n ot t he i de ol og ic alb a s e s o f t h e H o l o c a u s t a n d o t h e r i n s t a n c e s o f m a s s m u r d e r a r i s e w i t h i nt he b or de rs o f s tat es s uc h a s Ge rm any ? T he a ns we r t o t his q ue st io no b v i o u s l y i s y e s , b u t w i t h a n i m p o r t a n t q u a l i fi c a t i o n . A l t h o u g h t h e r i s eo f s u c h m u r d e r o u s s a n c t i o n i n g i d e o l o g i e s w a s n e c e s s a r y t o t h e c o m m i s -s i o n o f r o u t i n i z e d m a s s m u r d e r , i t w a s n o t s u f fi c i e n t . W e s h a l l s e e h o w
t he e xp e ri en ce o f l os s b y p e rp e tr at o rs b ri d ge s t he c ha sm b et we en e th n o-r el ig io us h os ti li ty t hat t ra di ti ona ll y w as e xp re ss ed i n t he f or m o f l eg al
28 M e l so n 1 9 9 2 .
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e xc lu si on s, p e rs on al b e at in g s, e ve n o c ca si on al m ur de r, o n t h e o ne h an d,a nd g en oc id e, o n t he o th er . C le ar ly , o th er c on di ti on s h ad t o b e p re se nt .T hi s b o o k wi l l f o c u s o n t he l a r g e l y n e g l e c t e d i n t e r n a t i o n a l c o n t e x t .
D oe s t his e ffo rt a t ab str ac ti on d et ra ct f ro m w ha t i s e ss en ti al ly ah um an is ti c e nt er pr is e? A bs tr ac t t he or y i s v er y f ar r em ov ed f ro m t hei nd i vi d ua l J e ws a nd t h ei r e nt i re c om m un i ti e s b ur nt a li v e i ns i de t h ei rw o o d e n s y n a g o g u e s . O r A r m e n i a n f a m i l i e s h a c k e d t o d e a t h i n s i d e t h e i rc hu rc he s. O r T uts i c hi ld re n s la ug ht er ed w it h m ac he te s i n f ro nt o f t he ir p ar en ts b ef or e t he y t he ms el ve s w er e k il le d. O r l at er , a s w e s ha lls e e , C a m b o d i a n s m u r d e r e d s i m p l y b e c a u s e t h e y w o r e g l a s s e s . T h e a n a -l y t i c e n t e r p r i s e d o e s n o t c o n c e r n i t s e l f w i t h t h e s e m i c r o - l e v e l a s p e c t s o f m a s s m u r d e r , y e t i n a l a r g e r s e n s e t h e a n a l y s i s is h u m a n i s t i c i f i t h e l p s u s
u n d e r s t a n d w h y h u m a n b e i n g s e n g a g e i n s u c h n o t o r i o u s l y s a v a g e b e h a -v i o r . T o u n d e r s t a n d i s n o t t o c o n d o n e o r t o f o r g i v e . W e u n d e r s t a n d a st he r es ul t o f s oc ia l s ci ent ifi c e xp lan at io n. P ar t o f t ha t e xp la nat io ni nc lu de s t he c on di ti ons u nd er w hi ch p eo ple a re w il li ng t o j et ti so nt he i r m or al u ni v er se a nd c le ar ly t r an sg re ss t h e b ou nd s o f e th i ca l c on -d u c t . Y e t , a t t h e s a m e t i m e , w e c a n a n d m u s t i n s i s t o n t h e fi r m m a i n -t en an ce o f t ho se b ou nd ar ie s, e ve n u nd er t he t ry in g c on di ti on s t o b ede t ai le d i n t h e f o l lo w in g c h apt er s . N o t t o d o s o i s t o s ac rifi c e t h e
e s s e n t i a l p a r t o f w h a t m a k e s u s h u m a n .T h e o r y a s e x p l a n a t i o n c a n a l s o h e l p u s g e t a r o u n d t h e ‘ ‘ m y s t i fi c a t i o n ’ ’
o bs ta cl e t o u nd er st an di ng . E ve n a s a cc om pl is he d a h is to ri an a s J anG r o s s ( a u t h o r o f Neighbors) c a n s t a t e t h a t ‘ ‘ t h e N a z i - c o n c e i v e d p r o j e cto f t h e e r a d i c a t i o n o f w o r l d J e w r y w i l l r e m a i n , a t i t s c o r e , a m y s t e r y . ’ ’29
A lt h ou gh s en si t iv e t o E li e W ie s el ’s d e ep c on ce r ns o n t h is i ss ue a nd o f c o u r s e h i s h o r r i fi c e x p e r i e n c e s i n A u s c h w i t z , n e v e r t h e l e s s Y e h u d a B a u ert a k e s i s s u e w i t h W i e s e l ’ s w e l l - k n o w n m y s t i fi c a t i o n o f t h e H o l o c a u s t .30 If
we s e ek t o kn o w w ha t i s i n t he h ea r t o f e v er y si ng le m em b e r o f th eEinsatzgruppen o p e r a t i n g i n e a s t e r n P o l a n d a n d t h e S o v i e t U n i o n ( o r t h eI t t i h a d i s t s o r m e m b e r s o f t h e I n t e r a h a m w e ) , o r e v e n t h e P o l i s h p e a s a n tg u a r d i n g a g a i n s t J e w i s h e s c a p e f r o m t h e m a s s m u r d e r a t J e d w a b n e , t h es u bj e c t o f G r o ss ’ s b o ok , t h e n t h e m y s te r y p r o ba b ly w i l l r e m ai n u n s ol v e d.M ot iv a ti o ns c an r an ge f ro m o ut r ig ht s ad i sm , t o t h e d e si re f or l oo t, t o t h eo b e d i e n c e t o a u t h o r i t y , t o t h e s e t t l i n g o f o l d b u s i n e s s s c o r e s , t o t h e u t t e ra bs en ce o f e mp at hy , o r t o i de ol og ic al f an at ic is m, t o n am e b ut a f ew .
T he b io gr ap hi ca l c as e s tu dy a pp ro ac h t o t he s tu dy o f p er pe tr at or s’m ot i va ti o ns t hu s f ar h as y ie ld e d l i tt le e x pl an at or y t r ac t io n. E ve n a ft er
29 G r o ss 2 0 0 1 , 1 3 2 . 30 B a u e r 2 0 0 1 , 1 5 .
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s o m e 1 0 0 b i o g r a p h i e s , w e s t i l l a r e n o t a b s o l u t e l y c e r t a i n w h y , a t b o t t o m ,H i tl e r c h os e t hi s s ing ul a r l y d es t r uc tiv e pa t h . B ut i f w e s t ic k wi tht h e o bs e rv ab le b eh av io r s o f s t at e d ec i si o n- ma ke r s a nd p e rp e tr a to r s,p ar ti cu la rl y t ho se a t t he h ig he st l ev el s a nd e xt en di ng d ow n t hr ou ght h e m id - ra ng e ( e .g ., a rm y c ap ta i ns ) , n ot in g t he p at t er ns a me na bl e t oe x p l a n a t i o n , t h e n a t l e a s t p r o g r e s s c a n b e m a d e .
T h e r e m a y e x i s t e n d u r i n g p r i n c i p l e s u n d e r l y i n g t h e h u m a n c o n d i t i o nt h at g o v e rn th is m ur d ero us c h oi c e – o th er wi s e , w hy i s g eno c ider ep ea te d? A ns we rs a re t o b e f ou nd i n t he p ri nc ip le s a nd p ra ct ic es o f r e a l p o l i t i k , e s p e c i a l l y t h e i m p r u d e n t v a r i e t y , a n d t h e e m p i r i c a l fi n d i n g sa s s o c i a t e d w i t h p r o s p e c t t h e o r y , o n e t h a t e m p h a s i z e s l o s s a v e r s i o n a n dr i s k a c c e p t a n c e a s e s s e n t i a l c o m p o n e n t s o f d e c i s i o n m a k i n g u n d e r r i s k
a nd u nc er ta in ty . A dd it io na l c on se qu en ce s o f l os s l ie i n t he r ea lm o f e m o t i o n a l r e a c t i o n s t o l o s s i n c l u d i n g a n g e r , b r u t a l i t y , d e s i r e f o r r e v e n g e ,a n d c l a s s e n v y . A l t r u i s t i c p u n i s h m e n t w i l l h e l p e x p l a i n l a r g e - s c a l e c o o p -e ra ti on w it h t he g en oc id al e nt er pr is e, e ve n i f o nl y a mo ng t he génoci-daires t h em se l ve s, a nd a be t te d b y m an y b ys ta nd er s s ym p at he t ic t o t hem a s s m u r d e r .
A c o n t r i b u t i o n o f t h i s b o o k i s t h e fi n d i n g t h a t a s t a t e m e n t o f desire orintent t o c om mi t g en oc id e i s n ot t he k ey v ar ia bl e l ea di ng t o i ts o ns et .
W ha te ve r t he v ir ul en ce o f t he i de ol og ic al u nd er pi nn in gs , t he a ct ua le v e n t s o c c u r r i n g j u s t p r i o r t o t h e g e n o c i d e a n d t h e r e l e v a n t g e o p o l i t i c a ls e t t i n g a r e c r u c i a l . I n s o m e c a s e s , t h e y c a n c o n t r i b u t e t o t h e m a k i n g o f t h e fi n a l d e c i s i o n t o c o m m i t g e n o c i d e a s i n G e r m a n y i n D e c e m b e r 1 9 4 1 ,o r t o i t s p r e v e n t i o n , o r a t l e a s t m i n i m i z a t i o n o f t h e g e n o c i d a l u r g e , a s i nA na to li a i n 1 91 5– 22 a nd t he s ur vi va l o f a lm os t t he e nt ir e A na to li anG re ek c om mu ni ty . T hi s i s n ot t o d en y t he r el ev an ce o f i de ol og y. I t i si mp or ta nt a nd n ec es sa ry t o t he g eno ci da l e nt er pr is e. I t s im pl y i s n ot
s u f fi c i e n t .G e n o c i d e , t h e w h o l e s a l e e l i m i n a t i o n o f a p e r c e i v e d e n e m y , i s a n i d e a
t h at h a s b ee n a ro un d s i nc e b i bl ic al t im e s a nd t h e w r i t in gs o f T hu cy d id e s.Y e t o n l y o n r a r e o c c a s i o n s d o w e fi n d i t s a c t u a l o c c u r r e n c e . T h a t r e l a t i v er ar it y i s t o b e e xp la in ed b y t he c on flu en ce o f e ve nt s s ug ge st ed b y t het h e o r e t i c a l a p p r o a c h e s t o b e i n t r o d u c e d s h o r t l y .
Research strategy
A ‘‘ to p- do wn ’’ s tr at eg y i s c ho se n h er e, n am el y t o i de nt if y t he m os tg e n e r a l p r e c u r s o r s o f g e n o c i d e a n d t h e n t o n a r r o w t h e c h o i c e s t o s p e c i fi ci n fl u e n c e s . T h e f u n n e l o f c a u s a l i t y i s w i d e s t a t t h e t o p a n d v e r y n a r r o w a t
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t he b ot to m. T he m os t g en er al i nfl ue nc es a t t he t op a re t ho se t ha t c anh a v e m a n y p o s s i b l e o u t c o m e s , i n c l u d i n g g e n o c i d e , w h i l e a t t h e b o t t o ma r e v a r i a b l e s t h a t a r e m o r e s p e c i fi c i n t h e i r g e n o c i d a l e f f e c t s .
T h e o r e t i c a l c o n d i t i o n s c a n y i e l d d i f f e r e n t o u t c o m e s d e p e n d i n g o n t h es p ec i fi c a p pl i c at i o n. R e a lp o li t i k a s p o l ic y p r e sc r i pt i o n, e m e rg e nt f r o mr ea li sm f or e xa mp le , w as a t o ne t im e u bi qu it ou s. E mp ha si s o n s ta ten ee ds c ha ra ct er is ti c o f r ea lp ol it ik w as a p ol ic y f ou nd at io n f or m os tE u r o p e a n a s w e l l a s i n d e p e n d e n t A s i a n p o w e r s p r i o r t o W o r l d W a r I I .T h e r e a f t e r , m a n y n e w l y i n d e p e n d e n t c o u n t r i e s a l s o a d o p t e d t h i s p o l i c y p r e s c r i p t i o n . Y e t , u n d e r c e r t a i n c o n s t r a i n i n g c o n d i t i o n s , r e a l p o l i t i k c a nh a v e h o r r i fi c o u t c o m e s . I t i s t h e i m p r u d e n t – b r u t e f o r c e f o r m o f r e a l p o -l it ik a s d i st in gu is h ed f ro m t h e p ru d en t t yp e31 a s we ll a s f r o m a th ir d
t yp e , t h e c yn ic al v ar ia nt , t h at c a n i nc re as e t h e p ro b ab il it y o f g en oc id e .V ic ti m v ul ne ra bi l it y i s g re at ly i nc re as e d b y c yn ic al r ea lp o li t ik . O ne o f t he c on st ra in ts i mp os ed b y t he t he or et ic al a pp ro ac h a do pt ed h er e –l os s – i s a c ri ti ca l c om po ne nt o f p ro sp ec t t he or y. S pe ci fic al ly , i t i s t hem a g n i fi c a t i o n o f p e r p e t r a t o r l o s s s u g g e s t e d b y p r o s p e c t t h e o r y , a n g e r a tt h e p r e s u m p t i v e ‘ ‘ o t h e r , ’ ’ o r o t h e r c o n s e q u e n c e o f l o s s l e a d i n g t o t h e u s eo f a n i m p r u d e n t r e a l p o l i t i k , a n d i m p a c t o f t h e c y n i c a l v a r i a n t , t h a t c a n yield the genoc idal outco me.
S ti ll f ur th er d ow n t he fu nn el i s t he c on ce pt o f a lt ru is ti c p un is hm en t a st h e b a s i s f o r c o o p e r a t i o n b e t w e e n g e n o c i d a l l e a d e r s a n d f o l l o w e r s . I n t h ef a c e o f o v e r w h e l m i n g o d d s a n d / o r l i k e l y d e f e a t i n w a r , w h y w e r e g e n o -c i d a l p e r p e t r a t o r s n o t d e t e r r e d f r o m c o n t i n u i n g , i n f a c t a c c e l e r a t i n g t h em a s s m u r d e r ? T h i s t h e o r e t i c a l p e r s p e c t i v e c a n s h e d l i g h t o n w h a t a t fi r s ta p p e a r s t o b e h i g h l y a n o m a l o u s b e h a v i o r .
T hi s b oo k, t he n, e mp lo ys t he or et ic al p er sp ec ti ve s t o e xp la in t het y pi c al l y c o m pl e x b e h av i o r a s so c i at e d w i t h g e no c i de . T h e c o nj u nc t i on
o f s e v e r a l p r o c e s s e s i s r e q u i r e d i n o r d e r f o r t h e g e n o c i d e t o t a k e p l a c e . I nt h i s , t h e b o o k i s i n t h e t r a d i t i o n fi r s t a d u m b r a t e d b y T h e d a S k o c p o l i nher States and Social Revolutions,32 a n d e m p l oy e d b y m e i n The Onset of World War a n d ‘‘ P r e v e nt i n g S y s t e m ic W a r . ’’33 This a p p r o a c h h a s b e e nf u r t h e r d e v e l o p e d t h e o r e t i c a l l y b y C h a r l e s R a g i n .34
W hy e re ct t hi s f or mi da bl e t he or et ic al s ca ff ol di ng u po n w hi ch t oc on st ru ct t he e x pl an at i on o f g en oc i de ? A ft er a ll , w as n ot t he v ir ul en ceo f N a z i a n t i - S e m i t i s m , O t t o m a n ‘ ‘ T u r k i s m , ’ ’ a n d H u t u e x t r e m i s t ‘ ‘ a n t i -
H am it is m’’ s uf fic ie nt t o e xp la in t he g en oc id es ? T he y h at ed , s o t he y k il le d, r un s t h e a rg um e nt . B ut t hi s a rg um en t b el ie s t h e c on si d er ab le
31 G a r v e r 1 9 8 7 . 32 S k o c p o l 1 9 7 9 . 33 M . M i d l a r s k y 1 9 8 4, 1 9 8 8 a . 34 R a g i n 1 9 8 7 .
P R E L I M I N A R Y C O N S I D E R A T I O N S 17
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v a r i a t i o n i n t h e k i l l i n g o v e r t i m e a n d o v e r s p a c e i n a l l o f t h e g e n o c i d e s .W ha te ve r t he ir m ur de ro us fa nta si es , th ey c ou ld b e e nac te d b y th ep e rp e tr at or s o nl y u nd e r a c e rt ai n c on flu en ce o f s oc i op ol it i ca l c on di -t i o n s . I t i s t h e t a s k o f t h i s b o o k t o d e t a i l t h e n a t u r e o f t h e s e c o n d i t i o n s ,i n s o f a r a s p o s s i b l e .
I n t w o s e n s e s , t h e b o o k i s i s o m o r p h i c t o t h e p h e n o m e n o n i t s e e k s t oe x p l a i n . F i r s t , t h e o u t c o m e o f g e n o c i d e s e l d o m i s t h e r e s u l t o f a s i n g l ed e ci s io n. I t t e nd s t o b e a c um ul at iv e p r oc e ss i n w h ic h e ar li e r v io l en ced ir ec te d a ga in st c iv il ia ns c an m ak e l at er m as s m ur de r m or e l ik el y t oo cc ur . S ec on d, g en oc id e i s n ot a n eat o ne -s iz e- fit s- al l h ap pe nin g.G e no c i de s d i ff e r i n t h e ir e x t en t , r a p i di t y o f o c c ur r en c e, a n d a s ym m e tr i e si n p a t t e r n s o f k i l l i n g b o t h w i t h i n a n d b e t w e e n g e n o c i d e s . I n i t s a t t e n t i o n
t o t he se d if fe re nc es , t hi s b oo k s ee ks t o b e a n ac cu ra te re fle ct io n o f g en oc i de . O nl y i n t he c o mm on al it i es o f h u ma n f ai li ng a cr o ss a ll t hr e eo f t h e g e n o c i d e s i s t h e r e s y m m e t r y , p e r h a p s p l e a s i n g t o t h e a n a l y s t , b u tn ev er t he le s s s ug ge st i ng d ee p p es si m is m a bo ut t h e u nf et te r ed h u ma nc o nd i t io n . O n ly w i t h t h e a p pr o p ri a te p o l it i c al i n s ti t ut i o ns c a n h u ma nb e i n g s m a s t e r t h e h o m i c i d a l i m p u l s e s u n l e a s h e d i n g e n o c i d e .
F i n a l l y , a l l o f t h e s e p r o c e s s e s a n d e v e n t s o c c u r w i t h i n a n i n t e r n a t i o n a lc o n t e x t t h a t c a n b e c r i t i c a l i n e i t h e r p r o m o t i n g o r a b e t t i n g g e n o c i d e , o r
p re ve nt in g i t a lt og et he r. I nd ee d, a si de fr om t he a bs en ce o f l os s o r i tsc o mpe ns at i on b y n o nv io l en t m e an s, t he o nl y v ar i ab l e c o ns i st e nt l y i den ti fi eda s a g e no c ide pre v en t iv e – t he e x is t en ce o f powe rf ul a ffi ne e t hn o re l ig i ou sg ro up s o r g ov er nm en ts – a ri se s f ro m t he i nt er na ti on al s et ti ng . T hu s, t hec on te xt ua li ty o f g en oc id e i s e mp ha si ze d h er e. E ve nt s o cc ur ri ng w it hi n as in gl e c ou nt ry c er ta in ly a re n ot s uf fic ie nt f or g en oc id e t o o cc ur . E ve n a ne mp ha si s o n a s in gl e d ya d o f c ou nt ri es w oul d n ot b e s uf fic ie nt . I t i s t her eg io na l a nd i nt er na ti on al c on te xt t ha t i s c ru ci al f or a n o ut co me o f t hi s
magnitude, or its prevention.
Plan of the book
A d efi ni ti on o f g en oc id e,35 i ts j us ti fic at io n, a nd m or e d et ail ed c ases e le c ti o n ( i nc l ud i ng r e as o ns f o r e x c lu d in g c e rt a in c a nd i da t es ) a r e f o un d
35 T h e t e r m g e n o c i d e w a s c o i n e d b y R a p h a e l L e m k i n 1 9 4 4 , 7 9 . T h i s d e fi n i t i o n p r o v i d e d
t h e b a s i s f o r t h e s o m e w h a t l a t e r o n e d e v i s e d b y t h e U n i t e d N a t i o n s . R u d o l p h R u m m e l1 9 9 8, 1 –1 3 , h a s c oi ne d t he t er m democide t o r e f er t o t he k il li ng o f l ar ge n um b er s o f p e o p l e b y t h e s t a t e . S e e a l so R u mme l 1 9 9 7 . I ssu e s o f c o mp a r a t i v e g e n o c i d e a r e t r e a t e d i nma n y o f t h e se so u r c e s, b u t se e e sp e c i a l l y R o se n b a u m 1 9 9 8. F o r a d d i t i o n a l p e r sp e c t i v es,s e e K r a i n 1 9 9 7 a n d V a l e n t i n o 2 0 0 0 .
18 I N T R O D U C T I O N
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i n c h ap t er 2. P a r t II pr es e n t s t he o r et i c al f o u n da t i o ns f o r u n de rs t a ndi n gp er pe tr at or b eh av io r. F ir st , t he e xp er i en ce o f k il li ng a nd i ts v al id at io n,i nc lu di ng t he i mp or t an t r o le o f i d en ti fic at io n w it h e ar li er v ic ti m iz er s p r io rt o t h e g en oc id es , a re d e ta il ed i n c ha pt er 3. T he e x pe ri e nc e o f m as sa cr ei t se l f, e s pe c ia l ly w i t ho u t s i gn i fic an t n e ga ti v e c o ns e qu e nc e f o r t h e p e r pe -t r a t o r , m a k e s t h e l a t e r g e n o c i d e m o r e l i k e l y t o o c c u r .
C ha pt e r s 4 and 5 p r e s en t a l te r na t iv e t h e or e t ic a l p e rs p e ct i ve s s u ch a sc l a s s i c a l r a t i o n a l c h o i c e t h e o r y a n d u t o p i a n i s m , r e a s o n s f o r t h e i r r e j e c -t io n, a nd j us ti fic at io n f or t he c ho ic e o f r ea lp ol it ik a nd l os s a s c en tr alc om p on en ts o f t h e t h eo r y. E m pi r ic al fi nd i ng s i n t h e fi el d o f B ay es ia nd e c i s i o n m a k i n g a r e h e l p f u l i n t h i s r e g a r d . C h a p t e r 4 a l s o i n c l u d e s t w op r o t o t y p i c a l c a s e s t h a t a i d u s i n t h e o r y d e v e l o p m e n t .
M o s t c r i t i c a l t o t h e t r a n s i t i o n f r o m m a s s a c r e t o g e n o c i d e a r e r e a l p o -l it ik a nd l os s. B ec au se r ea lp o li t ik ( e sp e ci al ly i n vo lv i ng t h re at s t o s ta tes ec ur it y) i s s uc h a n i mp or ta nt v ar ia bl e, t hr ee t yp es o f r ea lp ol it ik a rei de nt i fie d i n c h ap te r 5; fi ve c ons eq ue nc es o f l os s a re s ug ge st ed , a lll e a d i n g t o t h e o n s e t o f g e n o c i d e .
P a r t III c on si st s o f e mp ir ic al a pp li ca ti on s o f t he t he or y. F ir st , i nc ha pt e r 6 , r ea lp ol iti k i n t he f or m o f t hr ea t t o t he s ta te i s a ss oc iate dw i t h e t h n i c c l e a n s i n g i n I r e l a n d , P o l a n d , a n d B
