214 503 1 PB
214 503 1 PB
214 503 1 PB
Tamar de Waal
Abstract
Introduction
One of the many incomprehensible truths about crimes against humanity and
other international crimes is that they, under certain circumstances, are able to
occur on a perplexingly large scale. The questions surrounding this truth
demand extensive factual, moral and legal analysis. Firstly, how is it possible
that so many people participate in the heinous crimes that certain regimes or
movements perpetrate? And secondly, in what way should these people be
held responsible? Philosopher Hannah Arendt (1906 – 1975) was also
confronted with these topics. In several books she tried to explain the history
of the totalitarian regimes she observed, scrutinise their structure and make
their criminal possibilities visible and intelligible. In this article I try to answer
the question in what way, according to Arendt, individuals can be held
personally responsible for criminal deeds while living and operating under a
totalitarian regime. In my conclusion, I shortly analyse how her thinking on this
subject can contribute to contemporary thinking on international criminal law.
During her life, Arendt attempted to grasp the situation in which ‘radical evil’ is
possible. She realised that it is a misconception that this mostly entails the
Tamar de Waal is a PhD student Jurisprudence at the University of Amsterdam.
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work of people with evil motives.1 For that reason, she started to analyse and
emphasise the role of the ‘hanger-on’: people who simply follow a set of
(moral) rules without thinking about it. Consequently, this article does not
focus on the international criminals that do have bad intentions. It follows
Arendt’s line of thought and focuses on the profile of the wrongdoer that does
not have the evil intentions one would expect from international criminals.
Since Arendt regarded this type of wrongdoer as the most dangerous, this
article cuts right through a major part of Arendt’s philosophical thoughts. It
combines her books The Origins of Totalitarianism and Eichmann in Jerusalem,
with the posthumously published sections of Life of the Mind and the essays in
Responsibility and Judgment. This combination is possible, as Arendt, after
having written Origins, shifted her thinking in the later part of her life from
describing political actions and movements, towards thinking about the
prevention of evildoing. She investigated the significance of the human ability
of ‘thoughtlessness’ with which she was confronted at the trial of Adolf
Eichmann. In her book on the trial, she coined the famous concept of ‘the
banality of evil’, initially purely meant as a factual description of the nature of a
specific kind of evil caused by a thoughtless person. However, later in life she
started to think about the concept on a more theoretical level by asking herself
the question: ‘with what right did I possess and use the concept?’2
I. Elements of Totalitarianism
First of all she states that totalitarian regimes, in order to exist, have to destroy
the public realm of life. This makes all forms of politics, in the sense of citizens
1
H. Arendt, The Life of the Mind, New York: A Harvest Book 1971, p. 4.
2
H. Arendt, Responsibility and Judgment, New York: Shocken Books 2003, p. 161.
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For this reason, Arendt calls the situation in which a person living under a
totalitarian regime is placed ‘a total moral collapse.’ Suddenly ‘normal people’
are committing crimes and ‘the exceptions’ are not, as the newly installed
political system is founded on criminal principles. In other words, from the
perspective of totalitarian governments, people who commit crimes are
3
H. Arendt, The Origins of Totalitarianism, New York: A Harvest Book 1976, p. 474.
4
Idem, pp. 468-471.
5
Idem, p. 475.
6
Arendt 2003 supra note 2, p. 31.
7
H. Arendt, Eichmann in Jerusalem, New York: The Viking Press 1963, p. 289.
8
Arendt 2003 supra note 2, p. 22.
9
Idem, p. 50.
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‘innocent’.10 In this situation citizens realize that the moral categories that
existed before have exploded and become inadequate.11 The moral question
that now arises is how we can expect a person to tell right from wrong under
these circumstances, independent of his knowledge of the law, for it turns out
to be morally useless. In Arendt’s words:
Arendt wondered about this question while aware of the fact that in
totalitarian regimes there are always people who do resist. What enables them
to do that? If they were not following rules, how were they able to make their
judgments?13
Arendt had the suspicion that the answers to the questions surrounding this
faculty could be found in Immanuel Kant’s Critique of Judgment.14 In her view,
parts of what Kant discovered about aesthetic judging could be directly
transferred into the domains of political and moral judging. According to Kant,
aesthetic judging happens ‘reflectively’, starting with a generality and going to
a particular. For example, the judgment: ‘This is a beautiful rose!’ is not the
result of the syllogism: ‘All roses are beautiful / this is a rose / this is a beautiful
10
Idem, p. 33.
11
Idem, p. 25.
12
Idem, p. 27.
13
E. Young-Bruehl, Why Arendt Matters, New Haven & London: Yale University Press
2006, p. 173.
14
I. Kant, Critique of Judgment, Oxford: Oxford University Press 1790; Young-Bruehl
2003, supra note p. 162.
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[...] while I take into account others when judging, this does not
mean that I conform my judgment to theirs. I still speak with my
own voice and I do not count noses in order to think what is right.
But my judgment is no longer subjective either, in the sense that I
arrive at my conclusions by taking only myself into account.18
15
Arendt 1971, supra note 1, p. 257.
16
Idem, p. 266.
17
Young-Bruehl 2003, supra note 13, p. 165
18
Arendt 2003, supra note 2, p. 141.
19
Idem, p. 189.
20
Arendt 1971, supra note 1, p. 11.
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would, if it indeed turned out that the ability to think had something to do with
avoiding evildoing, be able to demand people to do it, no matter how erudite
or ignorant a person was.21 In addition, Arendt had witnessed that
thoughtlessness could be found in highly intelligent people, which made her
sceptical about whether thoughtfulness had something to do with intelligence.
Summed up, the activity of thinking is an enterprise without result; it does not
create new values and will not help find out what ‘the Good’ is. Thinking is
therefore dangerous for all beliefs. Furthermore, Arendt knew, after seeing
Eichmann and others, that a life without thinking is quite possible, although
this life fails to develop its own essence. “Unthinking men,” Arendt wrote, “are
like sleepwalkers.”26
21
Idem, p. 12-13.
22
Idem, p. 6.
23
Arendt 2003, supra note 2, p. 171.
24
Idem, p. 166.
25
Idem, p. 176.
26
Idem, p. 191.
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heart. Radical evil differs from ‘regular’ evil, because the latter is rooted in
ignorance or an intention to do good that has gone wrong.27 Radical evil comes
forth from a “perverted ill will.”28
Arendt adopted this concept of radical evil while elaborating about the Nazi
concentration camps in the Origins of Totalitarianism. These camps tried to
prove that everything was possible, by attacking human nature as such. Arendt
called this mass annihilation of human beings undertaken by the Nazi’s ‘radical
evil’, since it did not serve any humanly comprehensible purpose and therefore
assaulted human reason. The crimes that occurred cannot be understood in
light of any motives, not even evil motives like self-interest, greed, lust for
power or cowardice.29 Radical evil tears apart all traditional categories of
understanding politics, law and morality.30 Therefore it is impossible to think
about these crimes in traditional terms of morality and law, which makes
them, as Arendt famously stated, impossible to punish or to forgive.
27
Young-Bruehl 2006, supra note 13, p. 2.
28
Arendt 1976, supra note 3, p. 459.
29
Ibid.
30
Arendt 2003, supra note 2, p. 19.
31
Idem, p. 159.
32
Arendt 1963, supra note 7, p. 277.
33
Arendt 2003, supra note 2, p. 54.
34
Idem, p. 20.
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Later in her life, Arendt seemed to be of the opinion that all evil is banal, and
that the things people do with bad intentions are the result of wickedness. In
this way, evil has nothing to do with sinning, but with ‘non-wicked people’ who
commit terrible crimes with no special motives.35 This leads to the question
how non-wicked people are able to prevent this. What can a person do when
everyone else is swept away in thoughtlessness?
In other words, people who think realise that, whatever happens, the only
certainty is that they have to continue to live with themselves, because their
silent inner dialogue of the ‘two-in-one’, their thinking, will always carry on.
Realising this, they refuse to be a part of the totalitarian regime because they
are unwilling to live together with a murderer, ‘living together’ understood as
living with yourself in your own head. Thus, those who think will decide not to
do what the government asks from them in a totalitarian regime, as they do
35
Idem, p. 188.
36
Idem p. 188
37
Idem, p. 44.
38
Arendt 1971, supra note 1, p. 166.
39
Arendt 2003, supra note 2, p. 44.
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not want to live together with a wrongdoer because that would no longer
make their life worthwhile.40
Given their lack of thinking, Arendt concludes that Eichmann and others failed
to do the only right thing under a totalitarian regime: a full withdrawal from
public life. This complete withdrawal is necessary, as the total domination and
terror of a totalitarian regime has the consequence that there is no office, nor
any job of public significance, that does not demand unequivocal acceptance of
the ruling principles. Since everything is coordinated, any form of participation
in public life is a support to the criminal regime as a whole.41
Arendt emphasises that her instruction to withdraw from public life altogether
is only valid in extreme and marginal situations.42 However, living under a
totalitarian regime is one such marginal situation. She gives two reasons for
this; first, the evil of totalitarian regimes is so monstrous that no form of
participation can ever be excused. For instance, in the Second World War the
extermination of the Jews was only possible after a gradual sequence of anti-
Jewish measures, each of which was accepted with the argument that refusal
would only make things worse. The result was a situation in which nothing
worse could have possibly happened.43 The second reason Arendt gives is that
the reality of a totalitarian regime entails ‘impotence’ in the realm of politics;
the public sphere is destroyed and total terror reigns. Therefore Arendt
regards living under a totalitarian regime as a valid excuse for doing nothing.
When a person is powerless and isolated, the only thing he could be expected
to do is prevent personal responsibility for the crimes that occur by not
participating.44 Importantly, although a person knows his attitude has no
political consequences whatsoever, a complete withdrawal from public life is
still the only right thing to do – even when this withdrawal puts his safety at
risk: “If I would do what is now demanded of me as the price of participation,
[...], I could no longer live with myself [...] Hence, I much rather suffer wrong
now, and even pay the price of a death penalty in case I am forced to
participate, than do wrong and then have to live together with a wrongdoer.”45
40
Idem, p. 156.
41
Idem, p. 33.
42
Idem, p. 156.
43
Idem, p. 37.
44
Idem, p. 45.
45
Arendt 2003, supra note 2, p. 156.
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Conclusion
Hannah Arendt touches upon several important topics that encircle the field of
the liability of the banal ‘hang-on’ criminal. In this conclusion, I comment on
how her thinking on this subject can contribute to contemporary thinking on
international criminal law.
In a way, the expounded theory reveals that Arendt had a positive view on the
nature of man. She claimed that most hanger-on criminals would be repelled
by the crimes they commit the moment that they realised what they were
doing. Nonetheless, the problem is that, in general, people will not realise this,
and this thoughtlessness enables evil to spread boundlessly. Therefore, Arendt
argues that the most flagrant international crimes are committed by a web of
people who do not really intend to participate in them. A person who acts with
bad intentions, or even a group of people who do so, are never able to
perpetrate a crime that approaches the scale and force of international
crimes. That being the case, Arendt argues that each cog of a bureaucratic
institution should be held personally responsible, because otherwise the
majority of the guilty would be able to live on unpunished when a totalitarian
regime comes to an end.
With this, Arendt chooses a broad and novel account of personal and criminal
responsibility. If we try to connect this to the contemporary practice of
international tribunals, this has interesting results. For instance, the
International Criminal Court (ICC) has declared that it wants to focus on ‘the
most responsible’, which means that it intends to mainly prosecute the
leaders of criminal governments or groups. From a pragmatic perspective, this
seems to be a wise thing to do, as international procedures take much time
and effort and the caseload therefore quickly becomes too heavy. Yet, on a
theoretical level, Arendt’s viewpoint is very interesting for the practice of
international criminal law, as it acknowledges an important difference
between the character of domestic and international crimes.
In traditional criminal law, people who commit crimes need to have the
intention to do wrong or be culpably negligent to be criminally liable.
Convictions are therefore not solely based on facts (actus reus), but also on
motives (mens rea). This means that when a person was not able to realise the
wrongness of his deeds, he cannot be punished.
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So the Eichmann that Arendt describes, the banal wrongdoer, does not fall in
any of the categories of criminals that traditional criminal law holds guilty, as
he had no wrong intentions and was not negligent. Nevertheless, Arendt
concludes that some international crimes are of such gravity that people who
intentionally participate in them should be punished, although they were
never aware of the evil of their deeds and never had evil intentions.46
Yet I suspect that this does not meet the profile of individuals that the ICC
wants to prosecute, when it talks about ‘the most responsible’. The
abandonment of the requirement of evil intentions, or otherwise grave
negligence, and a focus on the gravity of the deed would mean an enormous
shift in the thinking of international courts and of traditional criminal justice in
general. Nevertheless, it could be argued that this shift is required to confront
the problem of the thoughtless ‘hang-on’ criminals who operate within
totalitarian and bureaucratic governments and make the most heinous crimes
imaginable – crimes with the scale of the Holocaust, Arendt’s point of
reference– possible.
46
Arendt 1963, supra note 7, p. 279. Arendt on Eichmann: “*…+ no member of the
human race, can be expected to want to share the earth with you. This is the reason,
and the only reason, you must hang.”
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As mentioned, Arendt thinks that this personal liability for criminal deeds
under a totalitarian regime should be rooted in the human ability to think. If
people living under a totalitarian regime deeply think their situation over, it
becomes clear to everybody that a complete withdrawal from public life is
required. So in order to have a bearable life afterwards, the only option for a
thoughtful person is not to support the criminal government.