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APPENDIXMEMORANDUM ON THE ELECTRICAL TREATMENT OF WAR NEUROTICS 3 страница
At this point I will put forward two considerations which, I think, contain the gist of this short study. In the first place, if psycho-analytic theory is correct in maintaining that every affect belonging to an emotional impulse, whatever its kind, is transformed, if it is repressed, into anxiety, then among instances of frightening things there must be one class in which the frightening element can be shown to be something repressed which recurs. This class of frightening things would then constitute the uncanny; and it must be a matter of indifference whether what is uncanny was itself originally frightening or whether it carried some other affect. In the second place, if this is indeed the secret nature of the uncanny, we can understand why linguistic usage has extended das Heimliche into its opposite, das Unheimliche (p. 3680); for this uncanny is in reality nothing new or alien, but something which is familiar and old-established in the mind and which has become alienated from it only through the process of repression. This reference to the factor of repression enables us, furthermore, to understand Schelling’s definition of the uncanny as something which ought to have remained hidden but has come to light.
¹ Cf. my book Totem and Taboo (1912-13), Essay III, ‘Animism, Magic and the Omnipotence of Thoughts’, where the following footnote will be found: ‘We appear to attribute an "uncanny" quality to impressions that seek to confirm the omnipotence of thoughts and the animistic mode of thinking in general, after we have reached a stage at which, in our judgement, we have abandoned such beliefs.’2
It only remains for us to test our new hypothesis on one or two more examples of the uncanny.
Many people experience the feeling in the highest degree in relation to death and dead bodies, to the return of the dead, and to spirits and ghosts. As we have seen some languages in use to-day can only render the German expression ‘an unheimlich house’ by ‘a haunted house’. We might indeed have begun our investigation with this example, perhaps the most striking of all, of something uncanny, but we refrained from doing so because the uncanny in it is too much intermixed with what is purely gruesome and is in part overlaid by it. There is scarcely any other matter, however, upon which our thoughts and feelings have changed so little since the very earliest times, and in which discarded forms have been so completely preserved under a thin disguise, as our relation to death. Two things account for our conservatism: the strength of our original emotional reaction to death and the insufficiency of our scientific knowledge about it. Biology has not yet been able to decide whether death is the inevitable fate of every living being or whether it is only a regular but yet perhaps avoidable event in life. It is true that the statement ‘All men are mortal’ is paraded in text-books of logic as an example of a general proposition; but no human being really grasps it, and our unconscious has as little use now as it ever had for the idea of its own mortality. Religions continue to dispute the importance of the undeniable fact of individual death and to postulate a life after death; civil governments still believe that they cannot maintain moral order among the living if they do not uphold the prospect of a better life hereafter as a recompense for mundane existence. In our great cities, placards announce lectures that undertake to tell us how to get into touch with the souls of the departed; and it cannot be denied that not a few of the most able and penetrating minds among our men of science have come to the conclusion, especially towards the close of their own lives, that a contact of this kind is not impossible. Since almost all of us still think as savages do on this topic, it is no matter for surprise that the primitive fear of the dead is still so strong within us and always ready to come to the surface on any provocation. Most likely our fear still implies the old belief that the dead man becomes the enemy of his survivor and seeks to carry him off to share his new life with him. Considering our unchanged attitude towards death, we might rather enquire what has become of the repression, which is the necessary condition of a primitive feeling recurring in the shape of something uncanny. But repression is there, too. All supposedly educated people have ceased to believe officially that the dead can become visible as spirits, and have made any such appearances dependent on improbable and remote conditions; their emotional attitude towards their dead, moreover, once a highly ambiguous and ambivalent one, has been toned down in the higher strata of the mind into an unambiguous feeling of piety.¹
¹ Cf. Totem and Taboo.3
We have now only a few remarks to add - for animism, magic and sorcery, the omnipotence of thoughts, man’s attitude to death, involuntary repetition and the castration complex comprise practically all the factors which turn something frightening into something uncanny.
We can also speak of a living person as uncanny, and we do so when we ascribe evil intentions to him. But that is not all; in addition to this we must feel that his intentions to harm us are going to be carried out with the help of special powers. A good instance of this is the ‘Gettatore’, that uncanny figure of Romanic superstition which Schaeffer, with intuitive poetic feeling and profound psycho-analytic understanding, has transformed into a sympathetic character in his Josef Montfort. But the question of these secret powers brings us back again to the realm of animism. It was the pious Gretchen’s intuition that Mephistopheles possessed secret powers of this kind that made him so uncanny to her.
Sie fühlt dass ich ganz sicher ein Genie,
Vielleicht sogar der Teufel bin.¹
The uncanny effect of epilepsy and of madness has the same origin. The layman sees in them the working of forces hitherto unsuspected in his fellow-men, but at the same time he is dimly aware of them in remote corners of his own being. The Middle Ages quite consistently ascribed all such maladies to the influence of demons, and in this their psychology was almost correct. Indeed, I should not be surprised to hear that psycho-analysis, which is concerned with laying bare these hidden forces, has itself become uncanny to many people for that very reason. In one case, after I had succeeded - though none too rapidly - in effecting a cure in a girl who had been an invalid for many years, I myself heard this view expressed by the patient’s mother long after her recovery.
¹ [She feels that surely I’m a genius now, -
Perhaps the very Devil indeed!]4
Dismembered limbs, a severed head, a hand cut off at the wrist, as in a fairy tale of Hauff’s, feet which dance by themselves, as in the book by Schaeffer which I mentioned above - all these have something peculiarly uncanny about them, especially when, as in the last instance, they prove capable of independent activity in addition. As we already know, this kind of uncanniness springs from its proximity to the castration complex. To some people the idea of being buried alive by mistake is the most uncanny thing of all. And yet psycho-analysis has taught us that this terrifying phantasy is only a transformation of another phantasy which had originally nothing terrifying about it at all, but was qualified by a certain lasciviousness - the phantasy, I mean, of intra-uterine existence.
There is one more point of general application which I should like to add, though, strictly speaking, it has been included in what has already been said about animism and modes of working of the mental apparatus that have been surmounted; for I think it deserves special emphasis. This is that an uncanny effect is often and easily produced when the distinction between imagination and reality is effaced, as when something that we have hitherto regarded as imaginary appears before us in reality, or when a symbol takes over the full functions of the thing it symbolizes, and so on. It is this factor which contributes not a little to the uncanny effect attaching to magical practices. The infantile element in this, which also dominates the minds of neurotics, is the over-accentuation of psychical reality in comparison with material reality - a feature closely allied to the belief in the omnipotence of thoughts. In the middle of the isolation of war-time a number of the English Strand Magazine fell into my hands; and, among other somewhat redundant matter, I read a story about a young married couple who move into a furnished house in which there is a curiously shaped table with carvings of crocodiles on it. Towards evening an intolerable and very specific smell begins to pervade the house; they stumble over something in the dark; they seem to see a vague form gliding over the stairs - in short, we are given to understand that the presence of the table causes ghostly crocodiles to haunt the place, or that the wooden monsters come to life in the dark, or something of the sort. It was a naïve enough story, but the uncanny feeling it produced was quite remarkable.
To conclude this collection of examples, which is certainly not complete, I will relate an instance taken from psycho-analytic experience; if it does not rest upon mere coincidence, it furnishes a beautiful confirmation of our theory of the uncanny. It often happens that neurotic men declare that they feel there is something uncanny about the female genital organs. This unheimlich place, however, is the entrance to the former Heim of all human beings, to the place where each one of us lived once upon a time and in the beginning. There is a joking saying that ‘Love is home-sickness’; and whenever a man dreams of a place or a country and says to himself, while he is still dreaming: ‘this place is familiar to me, I’ve been here before’, we may interpret the place as being his mother’s genitals or her body. In this case too, then, the unheimlich is what was once heimlich, familiar; the prefix ‘un’ is the token of repression.
In the course of this discussion the reader will have felt certain doubts arising in his mind; and he must now have an opportunity of collecting them and bringing them forward.
It may be true that the uncanny is something which is secretly familiar, which has undergone repression and then returned from it, and that everything that is uncanny fulfils this condition. But the selection of material on this basis does not enable us to solve the problem of the uncanny. For our proposition is clearly not convertible. Not everything that fulfils this condition - not everything that recalls repressed desires and surmounted modes of thinking belonging to the prehistory of the individual and of the race - is on that account uncanny.
Nor shall we conceal the fact that for almost every example adduced in support of our hypothesis one may be found which rebuts it. The story of the severed hand in Hauff’s fairy tale certainly has an uncanny effect, and we have traced that effect back to the castration complex; but most readers will probably agree with me in judging that no trace of uncanniness is provoked by Herodotus’s story of the treasure of Rhampsinitus, in which the master-thief, whom the princess tries to hold fast by the hand, leaves his brother’s severed hand behind with her instead. Again, the prompt fulfilment of the wishes of Polycrates undoubtedly affects us in the same uncanny way as it did the king of Egypt; yet our own fairy stories are crammed with instantaneous wish-fulfilments which produce no uncanny effect whatever. In the story of ‘The Three Wishes’, the woman is tempted by the savoury smell of a sausage to wish that she might have one too, and in an instant it lies on a plate before her. In his annoyance at her hastiness her husband wishes it may hang on her nose. And there it is, dangling from her nose. All this is very striking but not in the least uncanny. Fairy tales quite frankly adopt the animistic standpoint of the omnipotence of thoughts and wishes, and yet I cannot think of any genuine fairy story which has anything uncanny about it. We have heard that it is in the highest degree uncanny when an inanimate object - a picture or a doll - comes to life; nevertheless in Hans Andersen’s stories the household utensils, furniture and tin soldiers are alive, yet nothing could well be more remote from the uncanny. And we should hardly call it uncanny when Pygmalion’s beautiful statue comes to life.
Apparent death and the re-animation of the dead have been represented as most uncanny themes. But things of this sort too are very common in fairy stories. Who would be so bold as to call it uncanny, for instance, when Snow-White opens her eyes once more? And the resuscitation of the dead in accounts of miracles, as in the New Testament, elicits feelings quite unrelated to the uncanny. Then, too, the theme that achieves such an indubitably uncanny effect, the unintended recurrence of the same thing, serves other and quite different purposes in another class of cases. We have already come across one example in which it is employed to call up a feeling of the comic; and we could multiply instances of this kind. Or again, it works as a means of emphasis, and so on. And once more: what is the origin of the uncanny effect of silence, darkness and solitude? Do not these factors point to the part played by danger in the genesis of what is uncanny, notwithstanding that in children these same factors are the most frequent determinants of the expression of fear? And are we after all justified in entirely ignoring intellectual uncertainty as a factor, seeing that we have admitted its importance in relation to death?
It is evident therefore, that we must be prepared to admit that there are other elements besides those which we have so far laid down as determining the production of uncanny feelings. We might say that these preliminary results have satisfied psycho-analytic interest in the problem of the uncanny, and that what remains probably calls for an aesthetic enquiry. But that would be to open the door to doubts about what exactly is the value of our general contention that the uncanny proceeds from something familiar which has been repressed.
We have noticed one point which may help us to resolve these uncertainties: nearly all the instances that contradict our hypothesis are taken from the realm of fiction, of imaginative writing. This suggests that we should differentiate between the uncanny that we actually experience and the uncanny that we merely picture or read about.
What is experienced as uncanny is much more simply conditioned but comprises far fewer instances. We shall find, I think, that it fits in perfectly with our attempt at a solution, and can be traced back without exception to something familiar that has been repressed. But here, too, we must make a certain important and psychologically significant differentiation in our material, which is best illustrated by turning to suitable examples.
Let us take the uncanny associated with the omnipotence of thoughts, with the prompt fulfilment of wishes, with secret injurious powers and with the return of the dead. The condition under which the feeling of uncanniness arises here is unmistakable. We - or our primitive forefathers - once believed that these possibilities were realities, and were convinced that they actually happened. Nowadays we no longer believe in them, we have surmounted these modes of thought; but we do not feel quite sure of our new beliefs, and the old ones still exist within us ready to seize upon any confirmation. As soon as something actually happens
in our lives which seems to confirm the old, discarded beliefs we get a feeling of the uncanny; it is as though we were making a judgement something like this: ‘So, after all, it is true that one can kill a person by the mere wish!’ or, ‘So the dead do live on and appear on the scene of their former activities!’ and so on. Conversely, anyone who has completely and finally rid himself of animistic beliefs will be insensible to this type of the uncanny. The most remarkable coincidences of wish and fulfilment, the most mysterious repetition of similar experiences in a particular place or on a particular date, the most deceptive sights and suspicious noises - none of these things will disconcert him or raise the kind of fear which can be described as ‘a fear of something uncanny’. The whole thing is purely an affair of ‘reality-testing’, a question of the material reality of the phenomena.¹
¹ Since the uncanny effect of a ‘double’ also belongs to this same group it is interesting to observe what the effect is of meeting one’s own image unbidden and unexpected. Ernst Mach has related two such observations in his Analyse der Empfindungen (1900, 3). On the first occasion he was not a little startled when he realized that the face before him was his own. The second time he formed a very unfavourable opinion about the supposed stranger who entered the omnibus, and thought ‘What a shabby-looking school-master that man is who is getting in!’ - I can report a similar adventure. I was sitting alone in my wagon-lit compartment when a more than usually violent jolt of the train swung back the door of the adjoining washing-cabinet, and an elderly gentleman in a dressing-gown and a travelling cap came in. I assumed that in leaving the washing-cabinet, which lay between the two compartments, he had taken the wrong direction and come into my compartment by mistake. Jumping up with the intention of putting him right, I at once realized to my dismay that the intruder was nothing but my own reflection in the looking-glass on the open door. I can still recollect that I thoroughly disliked his appearance. Instead, therefore, of being frightened by our ‘doubles’, both Mach and I simply failed to recognize them as such. Is it not possible, though, that our dislike of them was a vestigial trace of the archaic reaction which feels the ‘double’ to be something uncanny?
The state of affairs is different when the uncanny proceeds from repressed infantile complexes, from the castration complex, womb-phantasies, etc.; but experiences which arouse this kind of uncanny feeling are not of very frequent occurrence in real life. The uncanny which proceeds from actual experience belongs for the most part to the first group. Nevertheless the distinction between the two is theoretically very important. Where the uncanny comes from infantile complexes the question of material reality does not arise; its place is taken by psychical reality. What is involved is an actual repression of some content of thought and a return of this repressed content, not a cessation of belief in the reality of such a content. We might say that in the one case what had been repressed is a particular ideational content, and in the other the belief in its (material) reality. But this last phrase no doubt extends the term ‘repression’ beyond its legitimate meaning. It would be more correct to take into account a psychological distinction which can be detected here, and to say that the animistic beliefs of civilized people are in a state of having been (to a greater or lesser extent) surmounted. Our conclusion could then be stated thus: an uncanny experience occurs either when infantile complexes which have been repressed are once more revived by some impression, or when primitive beliefs which have been surmounted seem once more to be confirmed. Finally, we must not let our predilection for smooth solutions and lucid exposition blind us to the fact that these two classes of uncanny experience are not always sharply distinguishable. When we consider that primitive beliefs are most intimately connected with infantile complexes, and are, in fact, based on them, we shall not be greatly astonished to find that the distinction is often a hazy one.
The uncanny as it is depicted in literature, in stories and imaginative productions, merits in truth a separate discussion. Above all, it is a much more fertile province than the uncanny in real life, for it contains the whole of the latter and something more besides, something that cannot be found in real life. The contrast between what has been repressed and what has been surmounted cannot be transposed on to the uncanny in fiction without profound modification; for the realm of phantasy depends for its effect on the fact that its content is not submitted to reality-testing. The somewhat paradoxical result is that in the first place a great deal that is not uncanny in fiction would be so if it happened in real life; and in the second place, that there are many more means of creating uncanny effects in fiction than there are in real life.
The imaginative writer has this licence among many others, that he can select his world of representation so that it either coincides with the realities we are familiar with or departs from them in what particulars he pleases. We accept his ruling in every case. In fairy tales, for instance, the world of reality is left behind from the very start, and the animistic system of beliefs is frankly adopted. Wish-fulfilments, secret powers, omnipotence of thoughts, animation of inanimate objects, all the elements so common in fairy stories, can exert no uncanny influence here; for, as we have learnt, that feeling cannot arise unless there is a conflict of judgement as to whether things which have been ‘surmounted’ and are regarded as incredible may not, after all, be possible; and this problem is eliminated from the outset by the postulates of the world of fairy tales. Thus we see that fairy stories, which have furnished us with most of the contradictions to our hypothesis of the uncanny, confirm the first part of our proposition - that in the realm of fiction many things are not uncanny which would be so if they happened in real life. In the case of these stories there are other contributory factors, which we shall briefly touch upon later.
The creative writer can also choose a setting which though less imaginary than the world of fairy tales, does yet differ from the real world by admitting superior spiritual beings such as daemonic spirits or ghosts of the dead. So long as they remain within their setting of poetic reality, such figures lose any uncanniness which they might possess. The souls in Dante’s Inferno, or the supernatural apparitions in Shakespeare’s Hamlet, Macbeth or Julius Caesar, may be gloomy and terrible enough, but they are no more really uncanny than Homer’s jovial world of gods. We adapt our judgement to the imaginary reality imposed on us by the writer, and regard souls, spirits and ghosts as though their existence had the same validity as our own has in material reality. In this case too we avoid all trace of the uncanny.
The situation is altered as soon as the writer pretends to move in the world of common reality. In this case he accepts as well all the conditions operating to produce uncanny feelings in real life; and everything that would have an uncanny effect in reality has it in his story. But in this case he can even increase his effect and multiply it far beyond what could happen in reality, by bringing about events which never or very rarely happen in fact. In doing this he is in a sense betraying us to the superstitiousness which we have ostensibly surmounted; he deceives us by promising to give us the sober truth, and then after all overstepping it. We react to his inventions as we would have reacted to real experiences; by the time we have seen through his trick it is already too late and the author has achieved his object. But it must be added that his success is not unalloyed. We retain a feeling of dissatisfaction, a kind of grudge against the attempted deceit. I have noticed this particularly after reading Schnitzler’s Die Weissagung and similar stories which flirt with the supernatural. However, the writer has one more means which he can use in order to avoid our recalcitrance and at the same time to improve his chances of success. He can keep us in the dark for a long time about the precise nature of the presuppositions on which the world he writes about is based, or he can cunningly and ingeniously avoid any definite information on the point to the last. Speaking generally, however, we find a confirmation of the second part of our proposition - that fiction presents more opportunities for creating uncanny feelings than are possible in real life.
Strictly speaking, all these complications relate only to that class of the uncanny which proceeds from forms of thought that have been surmounted. The class which proceeds from repressed complexes is more resistant and remains as powerful in fiction as in real experience, subject to one exception. The uncanny belonging to the first class - that proceeding from forms of thought that have been surmounted retains its character not only in experience but in fiction as well, so long as the setting is one of material reality; but where it is given an arbitrary and artificial setting in fiction, it is apt to lose that character.
We have clearly not exhausted the possibilities of poetic licence and the privileges enjoyed by story-writers in evoking or in excluding an uncanny feeling. In the main we adopt an unvarying passive attitude towards real experience and are subject to the influence of our physical environment. But the story-teller has a peculiarly directive power over us; by means of the moods he can put us into, he is able to guide the current of our emotions, to dam it up in one direction and make it flow in another, and he often obtains a great variety of effects from the same material. All this is nothing new, and has doubtless long since been fully taken into account by students of aesthetics. We have drifted into this field of research half involuntarily, through the temptation to explain certain instances which contradicted our theory of the causes of the uncanny. Accordingly we will now return to the examination of a few of those instances.
We have already asked why it is that the severed hand in the story of the treasure of Rhampsinitus has no uncanny effect in the way that the severed hand has in Hauff’s story. The question seems to have gained in importance now that we have recognized that the class of the uncanny which proceeds from repressed complexes is the more resistant of the two. The answer is easy. In the Herodotus story our thoughts are concentrated much more on the superior cunning of the master-thief than on the feelings of the princess. The princess may very well have had an uncanny feeling, indeed she very probably fell into a swoon; but we have no such sensations, for we put ourselves in the thief’s place, not in hers. In Nestroy’s farce, Der Zerrissene, another means is used to avoid any impression of the uncanny in the scene in which the fleeing man, convinced that he is a murderer, lifts up one trap door after another and each time sees what he takes to be the ghost of his victim rising up out of it. He calls out in despair, ‘But I’ve only killed one man. Why this ghastly multiplication?’ We know what went before this scene and do not share his error, so what must be uncanny to him has an irresistibly comic effect on us. Even a ‘real’ ghost, as in Oscar Wilde’s Canterville Ghost, loses all power of at least arousing gruesome feelings in us as soon as the author begins to amuse himself by being ironical about it and allows liberties to be taken with it. Thus we see how independent emotional effects can be of the actual subject-matter in the world of fiction. In fairy stories feelings of fear - including therefore uncanny feelings - are ruled out altogether. We understand this, and that is why we ignore any opportunities we find in them for developing such feelings.
Concerning the factors of silence, solitude and darkness, we can only say that they are actually elements in the production of the infantile anxiety from which the majority of human beings have never become quite free. This problem has been discussed from a psycho-analytic point of view elsewhere.1
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