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.
Lifton-Robert-Jay-Thought-Reform-and-the-Psychology-of-Totalism
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. Schwartz, Chinese Communism and the Rise of Mao,Cam- bridge, Harvard University Press, 1951, 9.
28 Hu Shih, op. cit. , 44,
34 Pa Chin, The Family, quoted in Lang, op. cit. , 297-298. 25 Levy, op. cit. , 294-502.
38 Conrad Brandt, Stalin s Failure in China, Cambridge, Mass. , Harvard Uni- versity Press, 1958, 48.
37 "The Diary of A Madman/' Ah Q and Others, Selected Stones of Lu Shun, translated by Wang Chi-shen, Columbia University Press, 1941, 205-219. The character of Ah Q, who appears in the title story of this volume became a symbolic rallying point for protest. He was a caricature of all that Lu Shun condemned in Chinese culture: the tendencies, in the face of personal oppres- sion, to remain passive, to rationalize philosophically, or to take out resentment on those lower in the social hierarchy. "Ah Q-ism" became a term of rebuke, usually referring to these influences from the past, in contrast to the ideals of the "modem student"--active self-assertion, a feeling of personal dignity, and commitment to social change,
^Schwartz, op. cit. , 9.
28 Lu Shun, in W ang, ed. , op. cit,, 16.
80 Apart from the case histories in this study, much evidence of intensified intra- and extra-family conflict can be found in the sociological studies of Levy and Lang, cited above.
raThe last two quotations are from Brandt, Schwartz, and Fairbank, op. cit. , 19-20.
82 These youthful emotions were frequently in advance of, and more extreme than, the Party's own program. The formation of the Socialist Youth Corps, which later became the Chinese Communist Youth Corps, antedated the forma- tion of the Communist Party; and it maintained considerable autonomy even after the Party had been organized (Brandt, op. cit. , 46-49).
M Schwartz, op. cit. , 21.
34 See Current Background, Nos. 315 and 3 2 5 ; and Theodore Hsi-en Chen and Sin Ming Chiu, "Thought Reform in Communist China,'* Far Eastern Survey, 24:177-184.
85 Mao Tse-tung, "Opposing Party Formalism," Brandt, Schwartz, and Fair- bank, op. cit. , 396.
wAiSsu-ch'i,"OnProblemsofIdeologicalReform/'Notez,Chapter2.
"Ibid.
88Mao Tse-tung, "Correcting Unorthodox Tendencies in Learning, The Party, and Literature and Arts,'* Brandt, Schwartz, and Fairbank, op. cit. , 386.
wAi, op. cit.
40 Hu Hsien-chin, "The Chinese Concept of 'Face/ " American Anthropolo-
gist (1944) 46:45-65.
41 This injunction from Ai could also apply to those who found Party policy
? NOTES 497
inconsistent with Marxist-Leninist writings, or who had difficulty accepting official attempts to reconcile the two.
43 Ai Ssu-ch'i, "Recognize Clearly. "
"Ibid.
44 Mao Tse-tung, "Correcting Unorthodox Tendencies," Brandt, Schwartz, and Fairbank, op. cit. , 382.
48 Mao Tse-tung, "In Opposition to Liberalism/' in Boyd Compton, Mao's China: Party Reform Documents, 1942-44, Seattle, University of Washington Press, 1952, 184-185,
48Ibid. , 187.
47 From Hu Shih-t<<, "Confession/' reprinted by the Hong Kong Standard, September 24, 1950, and also in Edward Hunter, Brainwashing in Red China, 303-307.
48 Liu Shao-chi, "The Class Character of Man/' written in June, 1941, in- cluded in an undated edition of How to be a Good Communist, Foreign Lan- guages Press, 109-110.
49 "The May 4 Movement," Selected Works of Mao Tse-tung, London, Lawrence & Wishart, 1954, Vol. Ill, 11. Mao's description of his personal transformation is recorded in one of his speeches reprinted in Brandt, Schwartz, and Fairbank, op. cit. , 410--411.
60 Ai Ssu-ch'i, "Recognize Clearly," supra. CHAPTER 20 (388-398)
1 Raymond A. Bauer, "Brainwashing: Psychology or Demonology? ", Journal of Social Issues (1957) 13:41-47. See also, by the same author, The New Man in Soviet Psychology, Cambridge, Harvard University Press, 1952.
2 These trials are discussed in Nathan Leites and Elsa Bernaut, Ritual of Liqui- dation, Glencoe, III. , The Free Press, 1954. They were fictionalized, with great psychological accuracy, by Arthur Koestler in the novel, Darkness at Noon, New York, Macmillan, 1941. Both of these books deal with the special ethos of the "old Bolshevik. " F. Beck and W. Godin, Russian Purge and the Extraction of Confession, New York, Viking Press, 1951, conveys vividly the experiences within a Soviet prison of outsiders caught up in the great purge.
8 The Great Learning, in The Four Books, translated by James Legge, Lon- don, Perkins, 310-313. All subsequent references to Confucian writings are to this translation.
4 The Doctrine of the Mean, Legge, 394.
"See David S. Nivison, "Communist Ethics and Chinese Tradition," The Journal of Asian Studies (1956) 16:51-74; and the same author's, "The Prob- lem of 'Knowledge' and 'Action' in Chinese Thought since Wang Yang-ming/' Studies in Chinese Thought, 112--145.
a Lily Abegg, The Mind of East Asia, Thames and Hudson, London, 1952, Chapters 2 and 3.
7 In terms of logic, both follow the 'law of opposition," rather than the tra- ditional Western pattern of the "law of identity"; but their difference lies in the Chinese emphasis upon "adjustment" in relationship to this opposition, in contrast to the Marxist emphasis upon "struggle. " See Chang Tung-sun, "A
? 498 THOUGHT REFORM
Chinese Philosopher's Theory of Knowledge," The Yenching Journal of Social
Studies (Peking, 1939) 1:155-189.
"Robert Van Gulik, The Chinese Bell Murders, New York, Harper Bros. ,
1958, 258.
*Boyd Compton, op. eft. , xv-lii; and Brandt, Schwartz, and Fairbank, op. cit
372~375-
10 Compton, op. cit. , xlvi.
u Weston LaBarre, "Some Observations on Character Structure in the Orient: IL The Chinese," Psychiatry (1946) 9:215-237.
" Once during a discussion with one of my Chinese interpreters, I mentioned the interest of American psychiatrists in the subject of interpersonal relations. His immediate reply was, "What else is there? " In this interest in what goes on between people, there is something Sullivanian in every Chinese. See also John H. Weakland, "The Organization of Action in Chinese Culture," Psy- chiatry (1950) 13:361-370.
13 Confucian Analects, Legge, 94.
u The Great Learning, Legge, 326.
v The Texts of Taoism, translated by James Legge, London, 1891, Part I, 70.
"Ronald Knox, Enthusiasm, London, Oxford University Press, 1950. See also William Sargent, Battle for the Mind, New York, Doubleday, 1957, for a different approach to relating thought reform to ecstatic religious practice.
CHAPTER 21 (399-415)
1 In this sense, thought reform had some similarity to a primitive initiation ceremony; it initiated one into the world of Chinese Communism. SeeBranislaw Malinowski, Magic, Science, and Religion, New York, Doubleday, 1955, 37-41-
*Current Background, No. 376, February 7, 1956.
8 See Theodore Hsi-en Chen, "The Thought Reform of Intellectuals," Annals of the American Academy of Political and Social Science (1959) 321:82-89, 86. For my discussion of the Hundred Flowers episode, I also drew on the fol- lowing sources: "Contradiction" and "The Storm," pamphlets published by China Viewpoints, Hong Kong, 1958; Benjamin Schwartz, "New Trends in Maoism? ", Problems of Communism (1957) 6:1-8, and "China and the Com- munist Bloc: A Speculative Reconstruction," Current History (1958) 35:321- 326; Michael Walzer, "When the 100 Flowers Withered," Descent, Autumn 1958, 360-374; and Chinese Communist Press reports translated by the American Consulate General in Hong Kong and reproduced in the New Yorfc Times from April, 1957, through the followingyear.
CHAPTER 22 (419-437)
1 Personal "closure" implies abandoning man's inherent strivings toward the outer world as well as much of his receptivity to his own inner impulses, and retreating into what Ernest Schachtel has called "the closed pattern of related- ness to the world institutionalized in . . . [a] particular culture or cultural subgroup (Metamorphosis, New York, Basic Books, 1959, 75).
1 Helen Lynd, On Shame and the Search for Identity, New York, Harcourt, Brace &Co. , 1958, 57.
? NOTES 499
'Alex Inkeles, "The Totalitarian Mystique: Some Impressions of the Dy- namics of Totalitarian Society/' Totalitarianism, edited by Carl Friedrich, Cam- bridge, Mass. , Harvard University Press, 1953, 88 and 91.
*Ifaid, 91.
8 In Camus' novel, The Fall (New York, Alfred A. Knopf, 1957, 127), Clamence states: "My great idea is that one must forgive the Pope.
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. Schwartz, Chinese Communism and the Rise of Mao,Cam- bridge, Harvard University Press, 1951, 9.
28 Hu Shih, op. cit. , 44,
34 Pa Chin, The Family, quoted in Lang, op. cit. , 297-298. 25 Levy, op. cit. , 294-502.
38 Conrad Brandt, Stalin s Failure in China, Cambridge, Mass. , Harvard Uni- versity Press, 1958, 48.
37 "The Diary of A Madman/' Ah Q and Others, Selected Stones of Lu Shun, translated by Wang Chi-shen, Columbia University Press, 1941, 205-219. The character of Ah Q, who appears in the title story of this volume became a symbolic rallying point for protest. He was a caricature of all that Lu Shun condemned in Chinese culture: the tendencies, in the face of personal oppres- sion, to remain passive, to rationalize philosophically, or to take out resentment on those lower in the social hierarchy. "Ah Q-ism" became a term of rebuke, usually referring to these influences from the past, in contrast to the ideals of the "modem student"--active self-assertion, a feeling of personal dignity, and commitment to social change,
^Schwartz, op. cit. , 9.
28 Lu Shun, in W ang, ed. , op. cit,, 16.
80 Apart from the case histories in this study, much evidence of intensified intra- and extra-family conflict can be found in the sociological studies of Levy and Lang, cited above.
raThe last two quotations are from Brandt, Schwartz, and Fairbank, op. cit. , 19-20.
82 These youthful emotions were frequently in advance of, and more extreme than, the Party's own program. The formation of the Socialist Youth Corps, which later became the Chinese Communist Youth Corps, antedated the forma- tion of the Communist Party; and it maintained considerable autonomy even after the Party had been organized (Brandt, op. cit. , 46-49).
M Schwartz, op. cit. , 21.
34 See Current Background, Nos. 315 and 3 2 5 ; and Theodore Hsi-en Chen and Sin Ming Chiu, "Thought Reform in Communist China,'* Far Eastern Survey, 24:177-184.
85 Mao Tse-tung, "Opposing Party Formalism," Brandt, Schwartz, and Fair- bank, op. cit. , 396.
wAiSsu-ch'i,"OnProblemsofIdeologicalReform/'Notez,Chapter2.
"Ibid.
88Mao Tse-tung, "Correcting Unorthodox Tendencies in Learning, The Party, and Literature and Arts,'* Brandt, Schwartz, and Fairbank, op. cit. , 386.
wAi, op. cit.
40 Hu Hsien-chin, "The Chinese Concept of 'Face/ " American Anthropolo-
gist (1944) 46:45-65.
41 This injunction from Ai could also apply to those who found Party policy
? NOTES 497
inconsistent with Marxist-Leninist writings, or who had difficulty accepting official attempts to reconcile the two.
43 Ai Ssu-ch'i, "Recognize Clearly. "
"Ibid.
44 Mao Tse-tung, "Correcting Unorthodox Tendencies," Brandt, Schwartz, and Fairbank, op. cit. , 382.
48 Mao Tse-tung, "In Opposition to Liberalism/' in Boyd Compton, Mao's China: Party Reform Documents, 1942-44, Seattle, University of Washington Press, 1952, 184-185,
48Ibid. , 187.
47 From Hu Shih-t<<, "Confession/' reprinted by the Hong Kong Standard, September 24, 1950, and also in Edward Hunter, Brainwashing in Red China, 303-307.
48 Liu Shao-chi, "The Class Character of Man/' written in June, 1941, in- cluded in an undated edition of How to be a Good Communist, Foreign Lan- guages Press, 109-110.
49 "The May 4 Movement," Selected Works of Mao Tse-tung, London, Lawrence & Wishart, 1954, Vol. Ill, 11. Mao's description of his personal transformation is recorded in one of his speeches reprinted in Brandt, Schwartz, and Fairbank, op. cit. , 410--411.
60 Ai Ssu-ch'i, "Recognize Clearly," supra. CHAPTER 20 (388-398)
1 Raymond A. Bauer, "Brainwashing: Psychology or Demonology? ", Journal of Social Issues (1957) 13:41-47. See also, by the same author, The New Man in Soviet Psychology, Cambridge, Harvard University Press, 1952.
2 These trials are discussed in Nathan Leites and Elsa Bernaut, Ritual of Liqui- dation, Glencoe, III. , The Free Press, 1954. They were fictionalized, with great psychological accuracy, by Arthur Koestler in the novel, Darkness at Noon, New York, Macmillan, 1941. Both of these books deal with the special ethos of the "old Bolshevik. " F. Beck and W. Godin, Russian Purge and the Extraction of Confession, New York, Viking Press, 1951, conveys vividly the experiences within a Soviet prison of outsiders caught up in the great purge.
8 The Great Learning, in The Four Books, translated by James Legge, Lon- don, Perkins, 310-313. All subsequent references to Confucian writings are to this translation.
4 The Doctrine of the Mean, Legge, 394.
"See David S. Nivison, "Communist Ethics and Chinese Tradition," The Journal of Asian Studies (1956) 16:51-74; and the same author's, "The Prob- lem of 'Knowledge' and 'Action' in Chinese Thought since Wang Yang-ming/' Studies in Chinese Thought, 112--145.
a Lily Abegg, The Mind of East Asia, Thames and Hudson, London, 1952, Chapters 2 and 3.
7 In terms of logic, both follow the 'law of opposition," rather than the tra- ditional Western pattern of the "law of identity"; but their difference lies in the Chinese emphasis upon "adjustment" in relationship to this opposition, in contrast to the Marxist emphasis upon "struggle. " See Chang Tung-sun, "A
? 498 THOUGHT REFORM
Chinese Philosopher's Theory of Knowledge," The Yenching Journal of Social
Studies (Peking, 1939) 1:155-189.
"Robert Van Gulik, The Chinese Bell Murders, New York, Harper Bros. ,
1958, 258.
*Boyd Compton, op. eft. , xv-lii; and Brandt, Schwartz, and Fairbank, op. cit
372~375-
10 Compton, op. cit. , xlvi.
u Weston LaBarre, "Some Observations on Character Structure in the Orient: IL The Chinese," Psychiatry (1946) 9:215-237.
" Once during a discussion with one of my Chinese interpreters, I mentioned the interest of American psychiatrists in the subject of interpersonal relations. His immediate reply was, "What else is there? " In this interest in what goes on between people, there is something Sullivanian in every Chinese. See also John H. Weakland, "The Organization of Action in Chinese Culture," Psy- chiatry (1950) 13:361-370.
13 Confucian Analects, Legge, 94.
u The Great Learning, Legge, 326.
v The Texts of Taoism, translated by James Legge, London, 1891, Part I, 70.
"Ronald Knox, Enthusiasm, London, Oxford University Press, 1950. See also William Sargent, Battle for the Mind, New York, Doubleday, 1957, for a different approach to relating thought reform to ecstatic religious practice.
CHAPTER 21 (399-415)
1 In this sense, thought reform had some similarity to a primitive initiation ceremony; it initiated one into the world of Chinese Communism. SeeBranislaw Malinowski, Magic, Science, and Religion, New York, Doubleday, 1955, 37-41-
*Current Background, No. 376, February 7, 1956.
8 See Theodore Hsi-en Chen, "The Thought Reform of Intellectuals," Annals of the American Academy of Political and Social Science (1959) 321:82-89, 86. For my discussion of the Hundred Flowers episode, I also drew on the fol- lowing sources: "Contradiction" and "The Storm," pamphlets published by China Viewpoints, Hong Kong, 1958; Benjamin Schwartz, "New Trends in Maoism? ", Problems of Communism (1957) 6:1-8, and "China and the Com- munist Bloc: A Speculative Reconstruction," Current History (1958) 35:321- 326; Michael Walzer, "When the 100 Flowers Withered," Descent, Autumn 1958, 360-374; and Chinese Communist Press reports translated by the American Consulate General in Hong Kong and reproduced in the New Yorfc Times from April, 1957, through the followingyear.
CHAPTER 22 (419-437)
1 Personal "closure" implies abandoning man's inherent strivings toward the outer world as well as much of his receptivity to his own inner impulses, and retreating into what Ernest Schachtel has called "the closed pattern of related- ness to the world institutionalized in . . . [a] particular culture or cultural subgroup (Metamorphosis, New York, Basic Books, 1959, 75).
1 Helen Lynd, On Shame and the Search for Identity, New York, Harcourt, Brace &Co. , 1958, 57.
? NOTES 499
'Alex Inkeles, "The Totalitarian Mystique: Some Impressions of the Dy- namics of Totalitarian Society/' Totalitarianism, edited by Carl Friedrich, Cam- bridge, Mass. , Harvard University Press, 1953, 88 and 91.
*Ifaid, 91.
8 In Camus' novel, The Fall (New York, Alfred A. Knopf, 1957, 127), Clamence states: "My great idea is that one must forgive the Pope.
