Latourette, A History of Christian
Missions
in China, New York, The Macmillan Co.
Lifton-Robert-Jay-Thought-Reform-and-the-Psychology-of-Totalism
I want to take part in the glorious and mighty enterprises which should be participated in not only by the young, but by the people of all ages, including the old.
I am now close to sixty, and I am a criminal for having sinned against the people.
From now on, however, I shall strive to become a new man and a teacher of the people in substance as well as in name.
I shall exert myself to study, as well as to work, for one year, two years, three years, or even five or ten years.
Provided I am able to keep up my efforts, I shall ultimately succeed.
? NOTES CHAPTER 1 (3-7)
1 Edward Hunter, Brain-washing in Red China, New York, Vanguard Press, 1951.
a Robert J. Lifton, "Home by Ship: Reaction Patterns of American Prisoners of War Repatriated from North Korea/' American Journal of Psychiatry (1954) 110:732-739. This book does not concern itself with the military application of thought reform to Westerners. Much valuable work on the subject can be found in the contents and the references of the following three symposia: "Methods of Forceful Indoctrination: Observations and Interviews," Group for the Advancement of Psychiatry, Symposium No, 4, July 1957; "Brainwashing," The Journal of Social Issues (1957) XIII, No. 3; and "Communist Methods of Interrogation and Indoctrination," Bulletin of the New Yorfe Academy of Medicine (1957) 33:599-653. Edgar H. Schein has done especially compre- hensive work with American prisoners of war ("The Chinese Indoctrination Program for Prisoners of War: A Study of Attempted 'Brainwashing'," Psy- chiatry (1956) 19:149-172), as have Hinkle and Wolff ("Communist Inter- rogation and Indoctrination of 'Enemies of the State*," Archives of Neurology and Psychiatry (1956) 76:115-174).
CHAPTER 2 (8-16)
1 Mao Tse-tung, "Correcting Unorthodox Tendencies in Learning, the Party, and Literature and Arts," in C. Brandt, B. Schwartz, and J. Fairbank, A Docu- mentary History of Chinese Communism, Cambridge, Harvard University Press, 1951, 392.
a This "argument" is extracted and quoted from two authoritative statements on the rationale of thought reform made by a leading Party theorist: Ai Ssu- ch'i, "On Problems of Ideological Reform," Hsiieh Hsl, III, January i, 1951; and "Recognize Clearly the Reactionary Nature of the Ideology of the Bour- geois Class," Current Background, No. 179, American Consulate General, Hong Kong, May 6, 1952, translated from Hsiieh Hsi, March 16, 1952, a later "self- criticism" by Ai of his earlier article.
3 "Reform Through Labor of Criminals in Communist China," Current Background, No. 293, American Consulate General, Hong Kong, September 15,
485
? 486 THOUGHT REFORM
1954. This passage was translated from an editorial in Jen Min Jih Pao (The People's Daily).
*"Regulations Governing Labor Service for Reform of the People's Republic of China/* adopted by the Government Administration Council of the Peking Central People's Government, Aug. 26, 1954, tr. in Current Background, No. 293. The practices described in these regulations had apparently been in force long before this code was enacted.
CHAPTER 3 (19-37)
1 Vincent, like many of my Western subjects, knew enough spoken Chinese so that most of his reform could be conducted in that language; and his fluency greatly improved during his ordeal. A bilingual fellow prisoner (or, during interrogations, an official translator) was always available for Chinese- English interpretation, however,
3 The judge is actually a high-ranking prison official, and the interrogations which he presides over are official court proceedings; other prison officials of less exalted rank may conduct ordinary interrogations. These distinctions do not always hold.
3 The italics used in quotations from subjects during this and subsequent chapters are, of course, my own.
*Here, and in the next case as well, I could not be sure that the recollection of sleep-deprivation was completely accurate; I believe that in both cases it was reasonably so, although the subjects may have neglected to report brief periods of dozing. The officials always allowed prisoners to get sleep enough to be able to participate in the interrogations, but sometimes during this early period of imprisonment they were permitted little more.
CHAPTER 4 (38-64)
xThis was part of a widespread change in prison policy in 1952 and 1953, Some, but not all, of the extreme practices, especially those within the cells, were curbed. After this change, in many prisons individual prisoners were pro- hibited from discussing the criminal details of their cases with cellmates; these were to be reserved for sessions with prison officials. A prisoner was still ex- pected to confess details of personal evil within the cell, but primarily in con- nection with the re-education process.
CHAPTER 5 (65-85)
1 These have been altered and expanded from an earlier analysis presented in: Lifton, "Thought Reform of Western Civilians in Chinese Communist Prisons/' Psychiatry (1956) 19:173-195.
9 Erik H. Erikson, "On the Sense of Inner Identity," Health and Human Relations, New York, 1953. See also Erikson's, "The Problem of Ego Identity," Journal of the American Psychoanalytic Association (1956) 4:56-121.
*Some prisoners are held in isolation for a few weeks at police headquarters before being assigned to a prison cell group. They experience particularly dis- turbing feelings of loneliness, hopelessness, and abandonment; their interroga- tions become their only form of direct communication with others. Through
? NOTES 487
a slightly different route they too experience a similar regressive stance, assault upon identity, and loss of personal autonomy.
*Much of the intense anxiety stimulated during this early phase thus be- comes associated with guilt. But in addition, a certain amount of anxiety arising in connection with the developing sense of "guilt may be perceived simply as anxiety, while the guilt remains unconscious. Piers has proposed the term "guilt anxiety" as a more accurate description of this phenomenon, I have not used it here because I have found that it also can be a source of confusion. See Gerhart Piers and Milton B. Singer, Shame and Guilt, Thomas, Springfield, 111. , 1953. See also H. Basowitz, H. Persky, S. J. Korchin, and R. R. Grinker, Anxiety and Stress, New York, McGraw-Hill, 1955.
6 This analogy, or one very similar to it, was originally suggested by Margaret Mead. See her discussion in: Lifton, "Chinese Communist Thought Reform/' Group Processes, Transactions of the Third Conference, Josiah Macy, Jr. Foun- dation, New York, 1956, 249.
"See Gert Heilbrunn, "The Basic Fear," Journal of the American Psycho- analytic Association (1955) 3:447. This basic fear is similar to what Erikson has called "an ego-chill . . . the sudden awareness that our nonexistence . . . is entirely possible," Young Man Luther, W. W. Norton & Co. , New York, 1958, 111. William James has also described "the fear of the universe" of "sick souls" prior to the experience of religious conversion: The Varieties of Religious Experience, Longmans, Green and Co. , London, 1952.
'Erving Goffman reports that, in the parlance of the society of the mental hospital, a psychotic episode is "hitting the bottom"; this phrase contains an element of affirmation--the understanding that the patient to whom this has happened "can come up in some sense a changed person. " See Goffman*s discussion in "Chinese Communist Thought Reform," Group Processes, supra, 265, See also, in the same volume, Goffman's paper, "Characteristics of Total Institutions. "
"The alternation between kind and vindictive interrogators, like the more general alternation between leniency and assault, is a technique of thought reform which is also widely used in penal and interrogative settings every- where. But the possibility always exists that the solicitous concern of a particu- lar officials--such as the doctor mentioned in this passage, or one of the inter- rogators--is genuine, and independent of reform policy. Even if it is, however, it may have the same effects upon the prisoner; he is indeed hard put to dis- tinguish between the technical maneuver and the humane sentiment.
*This concept was originally elaborated by Theodor Reik, The Compulsion to Confess, Farrar, Straus and Cudahy, New York, 1959. It has also been used extensively by Joost A. M. Meerloo (The Rape of the Mind, World Publishing Co. , New York, 1956, and in earlier articles listed therein) in connection with various forms of totalitarian mental coercion. I use the concept somewhat differently from either of these writers, although I have profited from both of their work. See also James Clark Moloney, "Psychic Self-Abandon and Extor- tion of Confessions," International Journal of Psychoanalysis (1955) 36:53-60.
w Erikson, Young Man Luther, 102.
"See Rollo May, "Contributions of Existential Psychotherapy/' in Rollo May, E. Angeo and H. F. Ellenberger, Existence, Basic Books, New York, 1958, p - c $ . May uses the term "ontological guilt" which he considers to be "rooted HI the fact of self-awareness" and which he distinguishes from neurotic guilt.
? 488
He also stresses, as I wish to stress here, that such guilt is universal, occurring in all cultures, and that under ordinary circumstances its recognition can lead to highly constructive effects. See also, Paul Tillich, The Courage to Be, New Haven, Yale University Press, 1952, 52.
13 Some of the communication concepts which I employ here and in later sections have been suggested by the writings of Jurgen Ruesch and Gregory Bateson. See J. Ruesch and G. Bateson, Communication: The Social Matrix of Psychiatry, New York, Norton, 1951; and Ruesch, "Synopsis of the Theory of Human Communication/' Psychiatry (1953) 16:215-243.
CHAPTER 6 (86-116)
1 Erikson locates the identity crisis "in that period of the life cycle when each youth must forge for himself some central perspective and direction, some work- ing unity, out of the effective remnants of his childhood and the hopes of his anticipated adulthood; he must detect some meaningful resemblance between what he has come to see in himself and what his sharpened awareness tells him others judge and expect him to be" (Young Man Luther, 14).
3 The immense personal value of such a research attitude in "extreme situa- tions" was movingly demonstrated by Bruno Bettelheim in a report of his observations made while he was in a Nazi concentration camp. He describes this as follows: "The study of these behaviors was a mechanism developed by him [Bettelheim--he refers to himself in the third person] ad hoc in order that he might . . . in this way be better equipped to endure life in the camp. His observing and collecting of data should . . . be considered as a particular type of defense developed in such an extreme situation . . . based on this par- ticular prisoner's background, training, and interests. It was developed to protect this individual against a disintegration of his personality. " The two situations differed in many respects, but the investigative attitude was helpful in both. See Bettelheim, "Individual and Mass Behavior in Extreme Situations/' Jour- nal of Abnormal and Social Psychology (1953) 38:417--452.
8 Men and women in this category were in fact frequently capable, just after their release, of making the kind of probing (and sometimes exaggerated) criti- cisms of the West characteristic of those who have become acutely alienated from--and hypersensitiveto the shortcomings of--their own cultural institutions. Thus, when Dr. Vincent spoke of the wasted time spent by the Westerners living in Hong Kong ("spending four hours for nothing--between one drink and another smoke and wait for tomorrow"), he was of course expressing his own sense of dislocation; but he was also observing, through magnifying emo- tional lenses, real problems of purposelessness within the non-Communist world.
CHAPTER 7 (117-132)
*A conscience is "negative" when it is based upon an exaggerated sense of
sin, See Young Man Luther, 193.
'Erikson, "Wholeness and Totality--A Psychiatric Contribution," Totali- tarianism, edited by Carl J. Friedrich, Harvard University Press, Cambridge, Mass. , 1954, 156-171.
THOUGHT REFORM
? CHAPTER 8 (133-151)
^ a r l Stern, The Pillar of Fire, Harcourt Brace & Co. , New York, 1951.
2 The importance of anticipation and anticipatory behavior in human inter- change is generally neglected in psychological theory. See David McK. Rioch, "Psychiatry as a Biological Science," Psychiatry (1955) 18:313-321. Rioch stresses the importance of anticipatory influences in thought, reverie processes, and other subjective experience. He goes on to state that "behavior in anticipa- tion of probable environmental responses . . . is the behavior primarily studied in psychiatry. "
'Avoidance of emotional participation was extremely difficult in Chinese prisons because of the environment's constant demand for active involvement. Within the less intensive thought reform programs of Chinese-run prisoner-of- war camps in Korea, however, psychological withdrawal was widespread. It was associated with "playing it cool," which meant being unresponsive and minimally communicative, co-operating to some extent with captors, but only to the degree considered necessary to avoid reprisals. (One repatriate expressed this to me in a vivid, characteristically American, automotive metaphor: "I just put my mind in neutral. ") This useful form of withdrawal must be dis- tinguished from more profound--and frequently self-destructive--forms of apathy. See H. D. Strassmann, Margaret Thaler, and E. H. Schein, "A Prisoner of War Syndrome: Apathy as a Reaction to Severe Stress," American Journal of Psychiatry (1956) 112:998-1003; Schein, "The Chinese Indoctrination Program," supra; and Lifton, Home by Ship, Note 2, Chapter i.
*Prison officials do take great pains to prevent martyrdom, suicide, death, and irreversible psychosis; but the prisoner is nonetheless inevitably made to feel that his physical and emotional survival is at stake. And in such an extreme atmosphere, the danger always exists that the officials themselves will lose con- trol over their self-restraints to the extent of genuinely threatening the prisoner's survival--as did happen to Father Luca.
BT. W. Adorno, Elsa Frenkel-Brunswik, D. J. Levinson, and R. N. Sanford, The Authoritarian Personality, Harper and Bros. , New York, 1950; see also Erich Fromm, Escape from Freedom, New York, Farrar &Rinehart, Inc. , 1941; Man for Himself, New York, Rinehart & Co. , 1947.
6 This similarity may have some relationship to an observation made on the basis of psychological tests about repatriated prisoners of war: namely, that the two extreme groups--resisters and collaborators, both of which were op- posed to the in-between group of neutrals--shared a common tendency toward action, active involvement, and acting out in the face of stress, a tendency which testers felt was related to their greater self-confidence. See Schein, in "Methods of Forceful Indoctrination," supra; and Margaret Thaler Singer and E. H. Schein, "Projective Test Responses of Prisoners of War Following Repatriation," Psychiatry (1958) 21:375-385. It is impossible to say to what degree these traits among prisoners of war may be aspects of totalism, and the different nature of the activity-inactivity and activity-passivity problems ex- isting within prisoners of war camps must be kept in mind. But it does seem significant that these investigators found, as I did, important psychological similarities within subjects at the two extreme poles of response.
NOTES 489
? 4QO THOUGHT REFORM
7 The various patterns described for the three categories of response also ap- pear in written accounts by those who have undergone prison thought reform. For an example of the obviously confused, see Arthur W. Ford, Wind Be- tween the Worlds, New York, David McKay Co. , 1957. For an example of apparent converts, see Allyn and Adele Rickett, Prisoners of Liberation, New York, Cameron Associates, 1957. And ^or a n e x a m p le of an apparent resister, see Harold Rigney, Four Years in a Red Hell, Chicago, Henry Regnery, 1956.
CHAPTER 9 (152-184)
1 See Lifton, "Leadership under Stress," Symposium on Preventive and Social Psychiatry, W alter Reed Army Institute of Research, Washington, D. C. (U. S. Government Printing Office) 15-17 April, 1957, 365-377. This is a much
briefer version of the material presented in this chapter.
2 Such re-examination is constantly taking place in social and psychological
research. I will not attempt to cite the vast literature on this subject; the fol- lowing two reports do seem to me to evince the same spirit as my own ap- proach: Fritz Redl, "Group Emotion and Leadership," Psychiatry (1942) 5:573-596; and James S. Tyhurst, "Problems of Leadership: in the Disaster Situation and in the Clinical Team," Symposium on Preventive and Social Psychiatry, supra.
CHAPTER 10 (185-206)
1 His urge to "be free" was also involved in this exaggerated activity. I am not certain of its full significance, but there is evidence (for instance, his statement about not having left the cell for a year and a half) that he was experiencing a delayed sense of confinement carried over from his imprison- ment, as if he were perceiving for the first time the full impact of those years of physical and emotional restraint. This, plus the confining elements of his new environment--its real intellectual, geographical, and interpersonal limita- tions as compared with the exhilarating and adventurous life he had led in China before his imprisonment and to some extent during his imprisonment as well--seemed to create within him an oppressive sense of spiritual claustro- phobia. He could find no outlet for his special creative talents, particularly his talent for personal mediation; and his impulses toward flight and escape must have added to his burden of guilt.
CHAPTER 12 (222-239)
1 Sigmund Freud, Beyond the Pleasure Principle, Hogarth Press, London
(Strachey translation), 1950, 21.
2 E. H. Erikson, Childhood and Society, W. W. Norton & Co. , New York, 1950, 189.
8 The process described in these last two paragraphs follows the general prin- ciples of what Freud termed the "work of mourning," the more or less normal response to the loss of a loved one. I am taking the position here that the same process can occur when one is separated from an environment which holds spe- cial emotional significance for him. See Sigmund Freud, "Mourning and Melan- cholia," Collected Papers, Vol. IV, Hogarth Press, London, 1924.
? NOTES 4 9 1
*Malcolm Cowley, in his description of the post-World War I "lost genera- tion" of American writers, Exile's Return (Viking Press, New York, 1956), speaks of their combined adventure and nostalgia ("in Paris or Pamplona, writing, drinking, watching bull fights or making love, they continued to desire a Kentucky hill cabin, a farm house in Iowa or Wisconsin, the Michigan woods, the blue Juniata . . . a home to which they couldn't go back," [9]), then concludes that "when all the paths are seen from a distance they seem to be interwoven into a larger pattern of exile (if only in spirit) and return from exile, of alienation and reintegration" (292). My phrase, "expatriate's return," was partly inspired by Cowley's title, and this section owes much to his stimulating views of his literary generation.
B Kenneth S.
Latourette, A History of Christian Missions in China, New York, The Macmillan Co. , 1929, 279-280.
6 Paul A. Varg, Missionaries, Chinese, and Diplomats, Princeton, N. J. , Princeton University Press, 1958, 194.
'Joseph R. Levenson, "'History' and 'Value': The Tensions of Intellectual Choice in Modern China," Studies in Chinese Thought, edited by Arthur F. Wright, Chicago, University of Chicago Press, 1953, 151-152. Their policy of entering into Chinese life, however, sometimes led them to engage in ques- tionable practices for which they were severely criticized later on: for instance, supervising the manufacture of cannon for use against enemies of the reigning dynasty, and entrepreneurial activities for support of their missions, including money lending.
8 Columbia Cary-Elwes, China and the Cross, New York, Longmans, Green & Co. , 1957, 83.
8 Loc. cit.
10 Ibid. , 85. "Ibid. , 109.
12 Ibid. , 110-111.
13 Latourette, op. cit. , 131-155, presents a comprehensive discussion of the entire Rites Controversy. He expresses the view that Papal policy "tended . . . to keep the Roman Catholic church [in China] a foreign institution"; but he does not believe that had the opposite decision been made, the Jesuits would have succeeded--as many have thought possible--in creating a Chi- nese Church which would have won the entire country to Christianity. Although this early Jesuit mission effort failed to accomplish its evangelizing task in China, however, it did succeed in making the virtues of Chinese Confucianism known to educated Europeans, and especially to the leading philosophers of the Enlightenment. Men like Leibniz and Voltaire delighted in the democratic and rationalist elements of Confucianism, although they were not fully aware that the Confucianism about which the Jesuits reported in their letters to Europe was the classical ideal rather than the orthodoxy which already had come into being, or that the Jesuits themselves tended to exaggerate these virtues because of their urge to mediate between the two cultures. It is un- doubtedly going too far to call Confucius, as some have, "the patron saint of the Enlightenment," or to claim that "Chinese philosophy was without doubt the basic cause of the French Revolution"; but there is a good deal of evidence that the early Jesuit missionaries did as much to spread Confucian ideals in Europe as Christian ideals in China. See H. G. Creel, Confucius, The Man and The Myth, Routledge & Kegan Paul, Ltd. , London, 1951, 276-301,
? 492 THOUGHT REFORM
for an interesting if somewhat overstated discussion of this Confucian influence upon the West.
14 Harold R. Isaacs, Scratches on Our Minds, New York, John Day Co. ,
i958' 1S1-
TMCary-Elwes, op. cit. , 236-240.
"Martha Wolfenstein, in her psychological study of disaster, speaks of the
"post-disaster Utopia" (Disaster, Glencoe, 111. , The Free Press, 1957, 189- 221); and G. P. Azima and F. J. Carpenter note the beneficial effects, as yet difficult to evaluate, of the reorganization of psychic structure following its disorganization through sensory deprivation (Diseases of the Nervous System, 17:117, April 1956). The formulations made in these two studies do not ex- actly coincide with the ideas I have expressed here, but I believe that these phenomena are all related.
CHAPTER 13 (243-252)
I See Brandt, Schwartz, and Fairbank, op. cit. , 19-20 and 475-481; and Maria Yen, The Umbrella Garden, New York, Macmillan, 1954.
8 Chung Shih, Higher Education in Communist China, Communist China Problem Research Series, the Union Research Institute, Hong Kong, 1953, 36.
3 For the description of the events of this campaign I have used, in addition to the reference cited above and information given me by research subjects, the following sources: Current Background (translations from the Chinese Com- munist Press, American Consulate General, Hong Kong) Nos. 169, 182, and 213, "The Communists and the Intellectuals," Stages One, Two, and Three respectively; and Richard L. Walker, China Under Communism: The First Five Years, New Haven, Yale University Press, 1955.
"Chung Shih, op. cit. , 36.
B L. S. Yang, "The Concept of Pao as a Basis for Social Relations in China," Chinese Thought and Institutions, edited by John K. Fairbank, Chicago, Uni- versity of Chicago Press, 1957, 291.
CHAPTER 14 (253-273)
I 1 include under this general heading three kinds of institutions: those set up primarily for intellectuals, those for both intellectuals and nonintellectuals, and those for people of relatively limited educational background. The center described in this chapter is of the first type. These centers were sometimes referred to as simply "universities" or "research institutes," with no "revolu- tionary. " These distinctions were not always followed, however, and since the over-all emotional pattern was the same in all three, I have referred to "revolu- tionary university" and "revolutionary college" interchangeably.
a For an enlightening essay on the Chinese Communist cadre--his impor- tance for the regime, his group mind, and his training--see Walter E. Gourley, "The Chinese Communist Cadre: Key to Political Control," Russian Research Center, Harvard University, February 1952.
8 Such symptoms of general stress were always common, but it is difficult to evaluate the relative occurrence of the more malignant psychological experiences of suicide and psychosis. One must keep in mind that a certain number of
? NOTES 493
these occur among young people at educational institutions of any kind; but it is likely that the reform pressures were of great importance in precipitating the ones described here.
CHAPTER 15 (274^300)
1 In addition to his erudite theoretical statements on thought reform rationale (quoted in the notes to Chapter 2, supra), Ai Ssu-ch'i produced, in his earlier writing, a number of popular statements on Marxism. The most famous of these was a book actually called Popular Philosophy, to which Hu was probably referring. Although originally aimed at the relatively uneducated common man, this book achieved immense popularity among secondary school and university students as well, and went through thirty-two editions during the twelve years after its publication in 1936. Part of its appeal lay in its utter simplicity and in its promise of total salvation through Marxism; see Gourley, op. cit. , Note
2, Chapter 14, 45-50.
fl Erikson, Young Man Luther, especially Chapters III, IV, and VI.
*It is striking to note how many ways Hu's life history corresponds to the universal myth of the hero, as extracted from mythologies of cultures through- out the world: the hero is a child of distinguished parents (or, in Hu's case, of one distinguished parent); his origin is preceded by difficulties; as a child he is surrendered to the care of others, frequently "suckled by a common woman"; he has a "call to adventure" (Hu's first summons to leadership by fellow students); then faces a series of "difficult tasks" or "road of trials" (for Hu, before and during thought reform); and finally achieves "atonement with the father," a reconciliation which combines revenge, submission, and diminu- tion of early fear. In the myths, the hero's final accomplishment is to right the wrongs done his people, and achieve for them a higher level of accomplishment and wisdom. Hu has already done some of this, but his present fate seems to be that of additional personal trials. See Joseph Campbell, The Hero -with a Thousand Faces, New York, Meridian Books, 1956; Otto Rank, The Myth of the Birth of the Hero, New York, Vintage Books, 1959; and Clyde Kluckhohn, "Recurrent Themes in Myths and Mythmaking," Daedalus, Spring, 1959, 268.
4 Thus Gourley, op. cit. , ii-iii, states, "A cadre is an 'activist', a dynamic element, who serves as the transmission belt between the Party, the State, and the masses. He . . . is at all times connected with the activity of the Party, and expresses the point-of-view of the Party. "
CHAPTER 16 (301-312)
1 1 gave Thematic Apperception Tests to all my Chinese subjects, and found the results useful in helping me to understand interview data. I did not attempt any separate, systematic interpretation of T A T responses, and I mention them only when they illuminate something important which was not brought out by the interviews themselves.
2 For discussions of extreme adaptability to change as a modern character trait, see David Riesman, Nathan Glazer, and Reuel Benny, The Lonely Crowd, New Haven, Yale University Press, 1950; and Allen Wheelis, The Quest for Identity, New York, W. W. Norton & Company, 1958.
? 4 9 4 THOUGHT REFORM
CHAPTER 17 (313-337)
1 For analyses of the techniques through which these "bacteriological warfare" confessions were extracted, see papers by Biderman, W est, and by Hinkle and Wolff contained in the symposia cited for Chapter i.
2 See the work of Rene" Spitz on infantile depression, especially "Anaclitic Depression," The Psychoanalytic Study of the Child, Vol. II, International Universities Press, 1946, 313-342.
'Alfred Kazin, "Lady Chatterley in America," The Atlantic Monthly, July, *959> 34-
CHAPTER 18 (338-358)
1Yenching University was established in 1919, and subsequently supported, by American Protestant missionary groups. For some years before the Com- munist takeover it maintained an affiliation with Harvard University.
2 For additional accounts of this widely-publicized event, see Maria Yen, op. cit. 9 Note i, Chapter 13, 260-261, and Current Background, No. 182, 14-15, and No. 213, 3-4; for earlier Communist attitudes toward Yenching University, see Current Background, No. 107, " 'Cultural Aggression' in Ameri- can MissionaryColleges in China. "
'Chinese health authorities apparently took advantage of the germ warfare scare to carry out a general program of inoculations.
CHAPTER 19 (359-387)
1 The historical themes discussed in this chapter will necessarily be selective, chosen because of their important bearing upon the psychological issues with which this book is concerned. Thus I wish to stress that filialism is just one strain of traditional Chinese Confucianism--a- vital strain, and crucial to all patterns of authority, but by no means encompassing the entire social and philosophical world of traditional China. Similarly, in discussing certain basic psychological trends, I do not wish to lose sight of the diversity and conflict always present in traditional China; these are revealed in Wright's and Fair- bank's volumes on Chinese thought already referred to, and by a third volume in the series, Confucianism in Action, edited by David S. Nivison, Stanford, Calit. , Stanford University Press, 1959.
3 Fung Yu-lan, "The Philosophy at the Basis of Traditional Chinese Society," Ideological Differences and World Order, edited by F. S. C. Northrop, New Haven, Yale University Press, 1949, 18.
3 Rev. Justus Doolittle, Social Life of the Chinese, New York, Harper & Bros. , 1865, Vol. I, 456-457, As told routinely within the culture these stories might not have had the emotional impact which they convey to us as outsiders, but there can be little doubt of their symbolic significance.
*Hsiao Ching (Book of Filial Piety), translated by Ivan Chen, London, J. P. Murray, 1908, quoted in Fung, op. cit. , 27. Subsequent quotations in this paragraph are also from Fung's article, and represent his interpretation of filial patterns in traditional China as prescribed by classical ethics.
? NOTES 495
8 Conflicts could arise, however, between the two commitments--between the filial son and the loyal official. This happened to Chao Pao, the governor of a frontier province during the second century A. D. Enemy forces captured Chao's mother and threatened to put her to death unless he surrendered his armies. Faced by this moral dilemma, he fought and defeated the enemy, thus sacrificing his mother's life. After the war, he was said to have died of grief at his mother's grave. But in subsequent commentaries (this incident was a frequent subject for ethical discussion for more than a thousand years) Chao was criticized--for being an "extremist" who took only one aspect of the situa- tion into account, and for failing to make some attempt, even if unsuccessful, to save his mother's life. The prevailing principle (strongly reinforced in the writings of Mencius) was that if such a conflict should arise, the duty of the son as a son should receive first consideration. (Fung, in Northrop, ed,, op. cit. , 29-30).
9 There are reports of protests against government corruption and inefficiency by students of the Imperial College during the Han Period (25-220 A. D. ) and Southern Sung Period (1127-1279 A. D. ); and of scholars leading political criticism for some time during the Ming Dynasty (1368-1644 A. D. ). But these were essentially demands for adherence to the ideals of traditional ethics-- examples of scholars serving as guardians of principles--rather than youth rebellions in the modern sense. See Wen-han Kiang, The Chinese Student Movement, New York, King's Crown Press, 1948, 8.
7 See Marion J. Levy, Jr. , The Family Revolution in Modern China, Cam- bridge, Harvard University Press, 1949, 63-208.
8 Olga Lang, Chinese Family and Society, New Haven, Yale University Press, 1946, 10.
9 Book of Rites, in Sacred Books of the East, edited by F. M. Muller, Oxford, Vol. XXVIII, 428, quoted in Fung op. cit, 33.
10 The Dream of the Red Chamber, New York, Pantheon Books (Kuhn translation), 1958, 579.
11C. P. Fitzgerald, China, A Short Cultural History, London, The Crescent Press, 1935, 88.
"Fung, in Northrop, ed. , op, cit. , 20.
13 Hu Shih, The Chinese Renaissance, Chicago, University of Chicago Press, 1934, no.
"Doolittle, op. cit. , Vol. I, 140.
TMBook of Rites, quoted by Fung, op. cit. , 22. W. M. Theodore De Bary similarly stresses the "fundamentalism" and "restorationism" characteristic of Confucianism; see his "Common Tendencies in Neo-Confucianism," in Nivison, ed. , op. cit. , 34-37.
16 Ch'en Tu-shiu, The New Youth, Vol. I, No. 5, quoted in Lang, op. cit. , no.
"See R. Bunzel and J. H. Weakland, An Anthropological Approach to Chi- nese Communism, Columbia University, Research in Contemporary Cultures, mimeographed.
"T si C. Wang, The Youth Movement in China, New York, New Republic, Inc. , 1928, 6-7.
"Levenson, " 'History' and 'Value' . . . ," in Wright, ed. , op. cit, 156.
? 496 THOUGHT REFORM
*K'ang Yu-wei, Ta-tung Shu (The Book of Great Unity), quoted in Lang, op. cit. ,111.
21 Lang, op. cit, no.
22 Benjamin I.
? NOTES CHAPTER 1 (3-7)
1 Edward Hunter, Brain-washing in Red China, New York, Vanguard Press, 1951.
a Robert J. Lifton, "Home by Ship: Reaction Patterns of American Prisoners of War Repatriated from North Korea/' American Journal of Psychiatry (1954) 110:732-739. This book does not concern itself with the military application of thought reform to Westerners. Much valuable work on the subject can be found in the contents and the references of the following three symposia: "Methods of Forceful Indoctrination: Observations and Interviews," Group for the Advancement of Psychiatry, Symposium No, 4, July 1957; "Brainwashing," The Journal of Social Issues (1957) XIII, No. 3; and "Communist Methods of Interrogation and Indoctrination," Bulletin of the New Yorfe Academy of Medicine (1957) 33:599-653. Edgar H. Schein has done especially compre- hensive work with American prisoners of war ("The Chinese Indoctrination Program for Prisoners of War: A Study of Attempted 'Brainwashing'," Psy- chiatry (1956) 19:149-172), as have Hinkle and Wolff ("Communist Inter- rogation and Indoctrination of 'Enemies of the State*," Archives of Neurology and Psychiatry (1956) 76:115-174).
CHAPTER 2 (8-16)
1 Mao Tse-tung, "Correcting Unorthodox Tendencies in Learning, the Party, and Literature and Arts," in C. Brandt, B. Schwartz, and J. Fairbank, A Docu- mentary History of Chinese Communism, Cambridge, Harvard University Press, 1951, 392.
a This "argument" is extracted and quoted from two authoritative statements on the rationale of thought reform made by a leading Party theorist: Ai Ssu- ch'i, "On Problems of Ideological Reform," Hsiieh Hsl, III, January i, 1951; and "Recognize Clearly the Reactionary Nature of the Ideology of the Bour- geois Class," Current Background, No. 179, American Consulate General, Hong Kong, May 6, 1952, translated from Hsiieh Hsi, March 16, 1952, a later "self- criticism" by Ai of his earlier article.
3 "Reform Through Labor of Criminals in Communist China," Current Background, No. 293, American Consulate General, Hong Kong, September 15,
485
? 486 THOUGHT REFORM
1954. This passage was translated from an editorial in Jen Min Jih Pao (The People's Daily).
*"Regulations Governing Labor Service for Reform of the People's Republic of China/* adopted by the Government Administration Council of the Peking Central People's Government, Aug. 26, 1954, tr. in Current Background, No. 293. The practices described in these regulations had apparently been in force long before this code was enacted.
CHAPTER 3 (19-37)
1 Vincent, like many of my Western subjects, knew enough spoken Chinese so that most of his reform could be conducted in that language; and his fluency greatly improved during his ordeal. A bilingual fellow prisoner (or, during interrogations, an official translator) was always available for Chinese- English interpretation, however,
3 The judge is actually a high-ranking prison official, and the interrogations which he presides over are official court proceedings; other prison officials of less exalted rank may conduct ordinary interrogations. These distinctions do not always hold.
3 The italics used in quotations from subjects during this and subsequent chapters are, of course, my own.
*Here, and in the next case as well, I could not be sure that the recollection of sleep-deprivation was completely accurate; I believe that in both cases it was reasonably so, although the subjects may have neglected to report brief periods of dozing. The officials always allowed prisoners to get sleep enough to be able to participate in the interrogations, but sometimes during this early period of imprisonment they were permitted little more.
CHAPTER 4 (38-64)
xThis was part of a widespread change in prison policy in 1952 and 1953, Some, but not all, of the extreme practices, especially those within the cells, were curbed. After this change, in many prisons individual prisoners were pro- hibited from discussing the criminal details of their cases with cellmates; these were to be reserved for sessions with prison officials. A prisoner was still ex- pected to confess details of personal evil within the cell, but primarily in con- nection with the re-education process.
CHAPTER 5 (65-85)
1 These have been altered and expanded from an earlier analysis presented in: Lifton, "Thought Reform of Western Civilians in Chinese Communist Prisons/' Psychiatry (1956) 19:173-195.
9 Erik H. Erikson, "On the Sense of Inner Identity," Health and Human Relations, New York, 1953. See also Erikson's, "The Problem of Ego Identity," Journal of the American Psychoanalytic Association (1956) 4:56-121.
*Some prisoners are held in isolation for a few weeks at police headquarters before being assigned to a prison cell group. They experience particularly dis- turbing feelings of loneliness, hopelessness, and abandonment; their interroga- tions become their only form of direct communication with others. Through
? NOTES 487
a slightly different route they too experience a similar regressive stance, assault upon identity, and loss of personal autonomy.
*Much of the intense anxiety stimulated during this early phase thus be- comes associated with guilt. But in addition, a certain amount of anxiety arising in connection with the developing sense of "guilt may be perceived simply as anxiety, while the guilt remains unconscious. Piers has proposed the term "guilt anxiety" as a more accurate description of this phenomenon, I have not used it here because I have found that it also can be a source of confusion. See Gerhart Piers and Milton B. Singer, Shame and Guilt, Thomas, Springfield, 111. , 1953. See also H. Basowitz, H. Persky, S. J. Korchin, and R. R. Grinker, Anxiety and Stress, New York, McGraw-Hill, 1955.
6 This analogy, or one very similar to it, was originally suggested by Margaret Mead. See her discussion in: Lifton, "Chinese Communist Thought Reform/' Group Processes, Transactions of the Third Conference, Josiah Macy, Jr. Foun- dation, New York, 1956, 249.
"See Gert Heilbrunn, "The Basic Fear," Journal of the American Psycho- analytic Association (1955) 3:447. This basic fear is similar to what Erikson has called "an ego-chill . . . the sudden awareness that our nonexistence . . . is entirely possible," Young Man Luther, W. W. Norton & Co. , New York, 1958, 111. William James has also described "the fear of the universe" of "sick souls" prior to the experience of religious conversion: The Varieties of Religious Experience, Longmans, Green and Co. , London, 1952.
'Erving Goffman reports that, in the parlance of the society of the mental hospital, a psychotic episode is "hitting the bottom"; this phrase contains an element of affirmation--the understanding that the patient to whom this has happened "can come up in some sense a changed person. " See Goffman*s discussion in "Chinese Communist Thought Reform," Group Processes, supra, 265, See also, in the same volume, Goffman's paper, "Characteristics of Total Institutions. "
"The alternation between kind and vindictive interrogators, like the more general alternation between leniency and assault, is a technique of thought reform which is also widely used in penal and interrogative settings every- where. But the possibility always exists that the solicitous concern of a particu- lar officials--such as the doctor mentioned in this passage, or one of the inter- rogators--is genuine, and independent of reform policy. Even if it is, however, it may have the same effects upon the prisoner; he is indeed hard put to dis- tinguish between the technical maneuver and the humane sentiment.
*This concept was originally elaborated by Theodor Reik, The Compulsion to Confess, Farrar, Straus and Cudahy, New York, 1959. It has also been used extensively by Joost A. M. Meerloo (The Rape of the Mind, World Publishing Co. , New York, 1956, and in earlier articles listed therein) in connection with various forms of totalitarian mental coercion. I use the concept somewhat differently from either of these writers, although I have profited from both of their work. See also James Clark Moloney, "Psychic Self-Abandon and Extor- tion of Confessions," International Journal of Psychoanalysis (1955) 36:53-60.
w Erikson, Young Man Luther, 102.
"See Rollo May, "Contributions of Existential Psychotherapy/' in Rollo May, E. Angeo and H. F. Ellenberger, Existence, Basic Books, New York, 1958, p - c $ . May uses the term "ontological guilt" which he considers to be "rooted HI the fact of self-awareness" and which he distinguishes from neurotic guilt.
? 488
He also stresses, as I wish to stress here, that such guilt is universal, occurring in all cultures, and that under ordinary circumstances its recognition can lead to highly constructive effects. See also, Paul Tillich, The Courage to Be, New Haven, Yale University Press, 1952, 52.
13 Some of the communication concepts which I employ here and in later sections have been suggested by the writings of Jurgen Ruesch and Gregory Bateson. See J. Ruesch and G. Bateson, Communication: The Social Matrix of Psychiatry, New York, Norton, 1951; and Ruesch, "Synopsis of the Theory of Human Communication/' Psychiatry (1953) 16:215-243.
CHAPTER 6 (86-116)
1 Erikson locates the identity crisis "in that period of the life cycle when each youth must forge for himself some central perspective and direction, some work- ing unity, out of the effective remnants of his childhood and the hopes of his anticipated adulthood; he must detect some meaningful resemblance between what he has come to see in himself and what his sharpened awareness tells him others judge and expect him to be" (Young Man Luther, 14).
3 The immense personal value of such a research attitude in "extreme situa- tions" was movingly demonstrated by Bruno Bettelheim in a report of his observations made while he was in a Nazi concentration camp. He describes this as follows: "The study of these behaviors was a mechanism developed by him [Bettelheim--he refers to himself in the third person] ad hoc in order that he might . . . in this way be better equipped to endure life in the camp. His observing and collecting of data should . . . be considered as a particular type of defense developed in such an extreme situation . . . based on this par- ticular prisoner's background, training, and interests. It was developed to protect this individual against a disintegration of his personality. " The two situations differed in many respects, but the investigative attitude was helpful in both. See Bettelheim, "Individual and Mass Behavior in Extreme Situations/' Jour- nal of Abnormal and Social Psychology (1953) 38:417--452.
8 Men and women in this category were in fact frequently capable, just after their release, of making the kind of probing (and sometimes exaggerated) criti- cisms of the West characteristic of those who have become acutely alienated from--and hypersensitiveto the shortcomings of--their own cultural institutions. Thus, when Dr. Vincent spoke of the wasted time spent by the Westerners living in Hong Kong ("spending four hours for nothing--between one drink and another smoke and wait for tomorrow"), he was of course expressing his own sense of dislocation; but he was also observing, through magnifying emo- tional lenses, real problems of purposelessness within the non-Communist world.
CHAPTER 7 (117-132)
*A conscience is "negative" when it is based upon an exaggerated sense of
sin, See Young Man Luther, 193.
'Erikson, "Wholeness and Totality--A Psychiatric Contribution," Totali- tarianism, edited by Carl J. Friedrich, Harvard University Press, Cambridge, Mass. , 1954, 156-171.
THOUGHT REFORM
? CHAPTER 8 (133-151)
^ a r l Stern, The Pillar of Fire, Harcourt Brace & Co. , New York, 1951.
2 The importance of anticipation and anticipatory behavior in human inter- change is generally neglected in psychological theory. See David McK. Rioch, "Psychiatry as a Biological Science," Psychiatry (1955) 18:313-321. Rioch stresses the importance of anticipatory influences in thought, reverie processes, and other subjective experience. He goes on to state that "behavior in anticipa- tion of probable environmental responses . . . is the behavior primarily studied in psychiatry. "
'Avoidance of emotional participation was extremely difficult in Chinese prisons because of the environment's constant demand for active involvement. Within the less intensive thought reform programs of Chinese-run prisoner-of- war camps in Korea, however, psychological withdrawal was widespread. It was associated with "playing it cool," which meant being unresponsive and minimally communicative, co-operating to some extent with captors, but only to the degree considered necessary to avoid reprisals. (One repatriate expressed this to me in a vivid, characteristically American, automotive metaphor: "I just put my mind in neutral. ") This useful form of withdrawal must be dis- tinguished from more profound--and frequently self-destructive--forms of apathy. See H. D. Strassmann, Margaret Thaler, and E. H. Schein, "A Prisoner of War Syndrome: Apathy as a Reaction to Severe Stress," American Journal of Psychiatry (1956) 112:998-1003; Schein, "The Chinese Indoctrination Program," supra; and Lifton, Home by Ship, Note 2, Chapter i.
*Prison officials do take great pains to prevent martyrdom, suicide, death, and irreversible psychosis; but the prisoner is nonetheless inevitably made to feel that his physical and emotional survival is at stake. And in such an extreme atmosphere, the danger always exists that the officials themselves will lose con- trol over their self-restraints to the extent of genuinely threatening the prisoner's survival--as did happen to Father Luca.
BT. W. Adorno, Elsa Frenkel-Brunswik, D. J. Levinson, and R. N. Sanford, The Authoritarian Personality, Harper and Bros. , New York, 1950; see also Erich Fromm, Escape from Freedom, New York, Farrar &Rinehart, Inc. , 1941; Man for Himself, New York, Rinehart & Co. , 1947.
6 This similarity may have some relationship to an observation made on the basis of psychological tests about repatriated prisoners of war: namely, that the two extreme groups--resisters and collaborators, both of which were op- posed to the in-between group of neutrals--shared a common tendency toward action, active involvement, and acting out in the face of stress, a tendency which testers felt was related to their greater self-confidence. See Schein, in "Methods of Forceful Indoctrination," supra; and Margaret Thaler Singer and E. H. Schein, "Projective Test Responses of Prisoners of War Following Repatriation," Psychiatry (1958) 21:375-385. It is impossible to say to what degree these traits among prisoners of war may be aspects of totalism, and the different nature of the activity-inactivity and activity-passivity problems ex- isting within prisoners of war camps must be kept in mind. But it does seem significant that these investigators found, as I did, important psychological similarities within subjects at the two extreme poles of response.
NOTES 489
? 4QO THOUGHT REFORM
7 The various patterns described for the three categories of response also ap- pear in written accounts by those who have undergone prison thought reform. For an example of the obviously confused, see Arthur W. Ford, Wind Be- tween the Worlds, New York, David McKay Co. , 1957. For an example of apparent converts, see Allyn and Adele Rickett, Prisoners of Liberation, New York, Cameron Associates, 1957. And ^or a n e x a m p le of an apparent resister, see Harold Rigney, Four Years in a Red Hell, Chicago, Henry Regnery, 1956.
CHAPTER 9 (152-184)
1 See Lifton, "Leadership under Stress," Symposium on Preventive and Social Psychiatry, W alter Reed Army Institute of Research, Washington, D. C. (U. S. Government Printing Office) 15-17 April, 1957, 365-377. This is a much
briefer version of the material presented in this chapter.
2 Such re-examination is constantly taking place in social and psychological
research. I will not attempt to cite the vast literature on this subject; the fol- lowing two reports do seem to me to evince the same spirit as my own ap- proach: Fritz Redl, "Group Emotion and Leadership," Psychiatry (1942) 5:573-596; and James S. Tyhurst, "Problems of Leadership: in the Disaster Situation and in the Clinical Team," Symposium on Preventive and Social Psychiatry, supra.
CHAPTER 10 (185-206)
1 His urge to "be free" was also involved in this exaggerated activity. I am not certain of its full significance, but there is evidence (for instance, his statement about not having left the cell for a year and a half) that he was experiencing a delayed sense of confinement carried over from his imprison- ment, as if he were perceiving for the first time the full impact of those years of physical and emotional restraint. This, plus the confining elements of his new environment--its real intellectual, geographical, and interpersonal limita- tions as compared with the exhilarating and adventurous life he had led in China before his imprisonment and to some extent during his imprisonment as well--seemed to create within him an oppressive sense of spiritual claustro- phobia. He could find no outlet for his special creative talents, particularly his talent for personal mediation; and his impulses toward flight and escape must have added to his burden of guilt.
CHAPTER 12 (222-239)
1 Sigmund Freud, Beyond the Pleasure Principle, Hogarth Press, London
(Strachey translation), 1950, 21.
2 E. H. Erikson, Childhood and Society, W. W. Norton & Co. , New York, 1950, 189.
8 The process described in these last two paragraphs follows the general prin- ciples of what Freud termed the "work of mourning," the more or less normal response to the loss of a loved one. I am taking the position here that the same process can occur when one is separated from an environment which holds spe- cial emotional significance for him. See Sigmund Freud, "Mourning and Melan- cholia," Collected Papers, Vol. IV, Hogarth Press, London, 1924.
? NOTES 4 9 1
*Malcolm Cowley, in his description of the post-World War I "lost genera- tion" of American writers, Exile's Return (Viking Press, New York, 1956), speaks of their combined adventure and nostalgia ("in Paris or Pamplona, writing, drinking, watching bull fights or making love, they continued to desire a Kentucky hill cabin, a farm house in Iowa or Wisconsin, the Michigan woods, the blue Juniata . . . a home to which they couldn't go back," [9]), then concludes that "when all the paths are seen from a distance they seem to be interwoven into a larger pattern of exile (if only in spirit) and return from exile, of alienation and reintegration" (292). My phrase, "expatriate's return," was partly inspired by Cowley's title, and this section owes much to his stimulating views of his literary generation.
B Kenneth S.
Latourette, A History of Christian Missions in China, New York, The Macmillan Co. , 1929, 279-280.
6 Paul A. Varg, Missionaries, Chinese, and Diplomats, Princeton, N. J. , Princeton University Press, 1958, 194.
'Joseph R. Levenson, "'History' and 'Value': The Tensions of Intellectual Choice in Modern China," Studies in Chinese Thought, edited by Arthur F. Wright, Chicago, University of Chicago Press, 1953, 151-152. Their policy of entering into Chinese life, however, sometimes led them to engage in ques- tionable practices for which they were severely criticized later on: for instance, supervising the manufacture of cannon for use against enemies of the reigning dynasty, and entrepreneurial activities for support of their missions, including money lending.
8 Columbia Cary-Elwes, China and the Cross, New York, Longmans, Green & Co. , 1957, 83.
8 Loc. cit.
10 Ibid. , 85. "Ibid. , 109.
12 Ibid. , 110-111.
13 Latourette, op. cit. , 131-155, presents a comprehensive discussion of the entire Rites Controversy. He expresses the view that Papal policy "tended . . . to keep the Roman Catholic church [in China] a foreign institution"; but he does not believe that had the opposite decision been made, the Jesuits would have succeeded--as many have thought possible--in creating a Chi- nese Church which would have won the entire country to Christianity. Although this early Jesuit mission effort failed to accomplish its evangelizing task in China, however, it did succeed in making the virtues of Chinese Confucianism known to educated Europeans, and especially to the leading philosophers of the Enlightenment. Men like Leibniz and Voltaire delighted in the democratic and rationalist elements of Confucianism, although they were not fully aware that the Confucianism about which the Jesuits reported in their letters to Europe was the classical ideal rather than the orthodoxy which already had come into being, or that the Jesuits themselves tended to exaggerate these virtues because of their urge to mediate between the two cultures. It is un- doubtedly going too far to call Confucius, as some have, "the patron saint of the Enlightenment," or to claim that "Chinese philosophy was without doubt the basic cause of the French Revolution"; but there is a good deal of evidence that the early Jesuit missionaries did as much to spread Confucian ideals in Europe as Christian ideals in China. See H. G. Creel, Confucius, The Man and The Myth, Routledge & Kegan Paul, Ltd. , London, 1951, 276-301,
? 492 THOUGHT REFORM
for an interesting if somewhat overstated discussion of this Confucian influence upon the West.
14 Harold R. Isaacs, Scratches on Our Minds, New York, John Day Co. ,
i958' 1S1-
TMCary-Elwes, op. cit. , 236-240.
"Martha Wolfenstein, in her psychological study of disaster, speaks of the
"post-disaster Utopia" (Disaster, Glencoe, 111. , The Free Press, 1957, 189- 221); and G. P. Azima and F. J. Carpenter note the beneficial effects, as yet difficult to evaluate, of the reorganization of psychic structure following its disorganization through sensory deprivation (Diseases of the Nervous System, 17:117, April 1956). The formulations made in these two studies do not ex- actly coincide with the ideas I have expressed here, but I believe that these phenomena are all related.
CHAPTER 13 (243-252)
I See Brandt, Schwartz, and Fairbank, op. cit. , 19-20 and 475-481; and Maria Yen, The Umbrella Garden, New York, Macmillan, 1954.
8 Chung Shih, Higher Education in Communist China, Communist China Problem Research Series, the Union Research Institute, Hong Kong, 1953, 36.
3 For the description of the events of this campaign I have used, in addition to the reference cited above and information given me by research subjects, the following sources: Current Background (translations from the Chinese Com- munist Press, American Consulate General, Hong Kong) Nos. 169, 182, and 213, "The Communists and the Intellectuals," Stages One, Two, and Three respectively; and Richard L. Walker, China Under Communism: The First Five Years, New Haven, Yale University Press, 1955.
"Chung Shih, op. cit. , 36.
B L. S. Yang, "The Concept of Pao as a Basis for Social Relations in China," Chinese Thought and Institutions, edited by John K. Fairbank, Chicago, Uni- versity of Chicago Press, 1957, 291.
CHAPTER 14 (253-273)
I 1 include under this general heading three kinds of institutions: those set up primarily for intellectuals, those for both intellectuals and nonintellectuals, and those for people of relatively limited educational background. The center described in this chapter is of the first type. These centers were sometimes referred to as simply "universities" or "research institutes," with no "revolu- tionary. " These distinctions were not always followed, however, and since the over-all emotional pattern was the same in all three, I have referred to "revolu- tionary university" and "revolutionary college" interchangeably.
a For an enlightening essay on the Chinese Communist cadre--his impor- tance for the regime, his group mind, and his training--see Walter E. Gourley, "The Chinese Communist Cadre: Key to Political Control," Russian Research Center, Harvard University, February 1952.
8 Such symptoms of general stress were always common, but it is difficult to evaluate the relative occurrence of the more malignant psychological experiences of suicide and psychosis. One must keep in mind that a certain number of
? NOTES 493
these occur among young people at educational institutions of any kind; but it is likely that the reform pressures were of great importance in precipitating the ones described here.
CHAPTER 15 (274^300)
1 In addition to his erudite theoretical statements on thought reform rationale (quoted in the notes to Chapter 2, supra), Ai Ssu-ch'i produced, in his earlier writing, a number of popular statements on Marxism. The most famous of these was a book actually called Popular Philosophy, to which Hu was probably referring. Although originally aimed at the relatively uneducated common man, this book achieved immense popularity among secondary school and university students as well, and went through thirty-two editions during the twelve years after its publication in 1936. Part of its appeal lay in its utter simplicity and in its promise of total salvation through Marxism; see Gourley, op. cit. , Note
2, Chapter 14, 45-50.
fl Erikson, Young Man Luther, especially Chapters III, IV, and VI.
*It is striking to note how many ways Hu's life history corresponds to the universal myth of the hero, as extracted from mythologies of cultures through- out the world: the hero is a child of distinguished parents (or, in Hu's case, of one distinguished parent); his origin is preceded by difficulties; as a child he is surrendered to the care of others, frequently "suckled by a common woman"; he has a "call to adventure" (Hu's first summons to leadership by fellow students); then faces a series of "difficult tasks" or "road of trials" (for Hu, before and during thought reform); and finally achieves "atonement with the father," a reconciliation which combines revenge, submission, and diminu- tion of early fear. In the myths, the hero's final accomplishment is to right the wrongs done his people, and achieve for them a higher level of accomplishment and wisdom. Hu has already done some of this, but his present fate seems to be that of additional personal trials. See Joseph Campbell, The Hero -with a Thousand Faces, New York, Meridian Books, 1956; Otto Rank, The Myth of the Birth of the Hero, New York, Vintage Books, 1959; and Clyde Kluckhohn, "Recurrent Themes in Myths and Mythmaking," Daedalus, Spring, 1959, 268.
4 Thus Gourley, op. cit. , ii-iii, states, "A cadre is an 'activist', a dynamic element, who serves as the transmission belt between the Party, the State, and the masses. He . . . is at all times connected with the activity of the Party, and expresses the point-of-view of the Party. "
CHAPTER 16 (301-312)
1 1 gave Thematic Apperception Tests to all my Chinese subjects, and found the results useful in helping me to understand interview data. I did not attempt any separate, systematic interpretation of T A T responses, and I mention them only when they illuminate something important which was not brought out by the interviews themselves.
2 For discussions of extreme adaptability to change as a modern character trait, see David Riesman, Nathan Glazer, and Reuel Benny, The Lonely Crowd, New Haven, Yale University Press, 1950; and Allen Wheelis, The Quest for Identity, New York, W. W. Norton & Company, 1958.
? 4 9 4 THOUGHT REFORM
CHAPTER 17 (313-337)
1 For analyses of the techniques through which these "bacteriological warfare" confessions were extracted, see papers by Biderman, W est, and by Hinkle and Wolff contained in the symposia cited for Chapter i.
2 See the work of Rene" Spitz on infantile depression, especially "Anaclitic Depression," The Psychoanalytic Study of the Child, Vol. II, International Universities Press, 1946, 313-342.
'Alfred Kazin, "Lady Chatterley in America," The Atlantic Monthly, July, *959> 34-
CHAPTER 18 (338-358)
1Yenching University was established in 1919, and subsequently supported, by American Protestant missionary groups. For some years before the Com- munist takeover it maintained an affiliation with Harvard University.
2 For additional accounts of this widely-publicized event, see Maria Yen, op. cit. 9 Note i, Chapter 13, 260-261, and Current Background, No. 182, 14-15, and No. 213, 3-4; for earlier Communist attitudes toward Yenching University, see Current Background, No. 107, " 'Cultural Aggression' in Ameri- can MissionaryColleges in China. "
'Chinese health authorities apparently took advantage of the germ warfare scare to carry out a general program of inoculations.
CHAPTER 19 (359-387)
1 The historical themes discussed in this chapter will necessarily be selective, chosen because of their important bearing upon the psychological issues with which this book is concerned. Thus I wish to stress that filialism is just one strain of traditional Chinese Confucianism--a- vital strain, and crucial to all patterns of authority, but by no means encompassing the entire social and philosophical world of traditional China. Similarly, in discussing certain basic psychological trends, I do not wish to lose sight of the diversity and conflict always present in traditional China; these are revealed in Wright's and Fair- bank's volumes on Chinese thought already referred to, and by a third volume in the series, Confucianism in Action, edited by David S. Nivison, Stanford, Calit. , Stanford University Press, 1959.
3 Fung Yu-lan, "The Philosophy at the Basis of Traditional Chinese Society," Ideological Differences and World Order, edited by F. S. C. Northrop, New Haven, Yale University Press, 1949, 18.
3 Rev. Justus Doolittle, Social Life of the Chinese, New York, Harper & Bros. , 1865, Vol. I, 456-457, As told routinely within the culture these stories might not have had the emotional impact which they convey to us as outsiders, but there can be little doubt of their symbolic significance.
*Hsiao Ching (Book of Filial Piety), translated by Ivan Chen, London, J. P. Murray, 1908, quoted in Fung, op. cit. , 27. Subsequent quotations in this paragraph are also from Fung's article, and represent his interpretation of filial patterns in traditional China as prescribed by classical ethics.
? NOTES 495
8 Conflicts could arise, however, between the two commitments--between the filial son and the loyal official. This happened to Chao Pao, the governor of a frontier province during the second century A. D. Enemy forces captured Chao's mother and threatened to put her to death unless he surrendered his armies. Faced by this moral dilemma, he fought and defeated the enemy, thus sacrificing his mother's life. After the war, he was said to have died of grief at his mother's grave. But in subsequent commentaries (this incident was a frequent subject for ethical discussion for more than a thousand years) Chao was criticized--for being an "extremist" who took only one aspect of the situa- tion into account, and for failing to make some attempt, even if unsuccessful, to save his mother's life. The prevailing principle (strongly reinforced in the writings of Mencius) was that if such a conflict should arise, the duty of the son as a son should receive first consideration. (Fung, in Northrop, ed,, op. cit. , 29-30).
9 There are reports of protests against government corruption and inefficiency by students of the Imperial College during the Han Period (25-220 A. D. ) and Southern Sung Period (1127-1279 A. D. ); and of scholars leading political criticism for some time during the Ming Dynasty (1368-1644 A. D. ). But these were essentially demands for adherence to the ideals of traditional ethics-- examples of scholars serving as guardians of principles--rather than youth rebellions in the modern sense. See Wen-han Kiang, The Chinese Student Movement, New York, King's Crown Press, 1948, 8.
7 See Marion J. Levy, Jr. , The Family Revolution in Modern China, Cam- bridge, Harvard University Press, 1949, 63-208.
8 Olga Lang, Chinese Family and Society, New Haven, Yale University Press, 1946, 10.
9 Book of Rites, in Sacred Books of the East, edited by F. M. Muller, Oxford, Vol. XXVIII, 428, quoted in Fung op. cit, 33.
10 The Dream of the Red Chamber, New York, Pantheon Books (Kuhn translation), 1958, 579.
11C. P. Fitzgerald, China, A Short Cultural History, London, The Crescent Press, 1935, 88.
"Fung, in Northrop, ed. , op, cit. , 20.
13 Hu Shih, The Chinese Renaissance, Chicago, University of Chicago Press, 1934, no.
"Doolittle, op. cit. , Vol. I, 140.
TMBook of Rites, quoted by Fung, op. cit. , 22. W. M. Theodore De Bary similarly stresses the "fundamentalism" and "restorationism" characteristic of Confucianism; see his "Common Tendencies in Neo-Confucianism," in Nivison, ed. , op. cit. , 34-37.
16 Ch'en Tu-shiu, The New Youth, Vol. I, No. 5, quoted in Lang, op. cit. , no.
"See R. Bunzel and J. H. Weakland, An Anthropological Approach to Chi- nese Communism, Columbia University, Research in Contemporary Cultures, mimeographed.
"T si C. Wang, The Youth Movement in China, New York, New Republic, Inc. , 1928, 6-7.
"Levenson, " 'History' and 'Value' . . . ," in Wright, ed. , op. cit, 156.
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*K'ang Yu-wei, Ta-tung Shu (The Book of Great Unity), quoted in Lang, op. cit. ,111.
21 Lang, op. cit, no.
22 Benjamin I.
