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Guilt, responsibility and the unconscious
Comprehensive Psychiatry Oflqcial Journal of the American Psychopathological Association V O L . 2, N O . 4 AUGUST,
1961
Guilt, Responsibility and the Unconscious By LEON SALZ]~IAN, M . D .
T
HE CONCEPT of t h e u n c o n s c i o u s a n d its r o l e ":n t h e m e n t a l life of t h e i n d i v i d u a l w a s F r e u d ' s major c o n t r i b u t i o n to tile s c i e n c e of p e r s o n a l i t y d e v e l o p m e n t , its v a l u e w a s n o t l i m i t e d to tile p s y c h o l o g i c a l s c i e n c e s a n d its i n f l u e n c e is c l e a r l y d i s c e r n i b l e in e v e r y a s p e c t of o u r i n t e l l e c t u a l e x i s t e n c e . T h e s i g n i f i c a n c e of his f o r m u l a t i o n , h o w e v e r , r e s t s n o t on t h e c o n c e p t as h e v i s u a l i z e d it w i t h its t o p o l o g i c a l c h a r a c t e r i s t i c s a n d p r i m i t i v e , i n s t i n c t u a l c o n t e n t s , b u t on t h e e m p h a s i s it p l a c e d on t h e i s s u e of t h e a m o u n t of m e n t a l a c t i v i t y t h a t o c c u r s o u t s i d e of o u r i m m e d i a t e a w a r e n e s s a n d t h e i n f l u e n c e of s u c h "'out of a w a r e n e s s " m e n t a t i o n on o u r a t t i t u d e s , f e e l i n g s a n d b e h a v i o r . I t d e s t r o y e d f o r e v e r t h e n o t i o n of m a n as a r a t i o n a l a n i m a l c a p a b l e ot! fulfilling his e x i s t e n c e t h r o u g h t h e e x c l u s i v e u s e of his l o g i c a n d i n t e l l i g e n c e . A l t h o u g h F r e u d ' s c o n c e p t of t h e u n c o n s c i o u s h a s p r e v e c l to b e a m o s t v a l u a b l e h y p o t h e s i s in tile d e v e l o p m e n t of p s y c h o a n a l y t i c t h e o r y , s o m e of its p h i l o s o p h i c a l i m p l i c a t i o n s a n d t h e o r e t i c a l e l a b o r a t i o n s h a v e b e e n in d i s p u t e s i n c e its initial f o r m u l a t i o n . T h e n o t i o n of a n " u n c o n s c i o u s " g r e w o u t of F r e u d ' s e a r l y w o r k w i t h h y s t e r i c s , w h e r e h e n o t e d t h a t i d e a s w h i c h p r e s e n t t h e m s e l v e s in c o n s c i o u s n e s s m a y disa p p e a r a n d , a f t e r a n i n t e r v a l , r e a p p e a r u n c h a n g e d . H e also n o t e d t h a t ideasl a t t i t u d e s or p r o c e s s e s m a y a p p e a r in c o n s c i o u s n e s s u n d e r c e r t a i n c i r c u m s t a n c e s w i t h o u t a n y p r i o r k n o w l e d g e of t h e i r e x i s t e n c e . H e t h u s p o s t u l a t e d t h a t t h e r e m u s t b e a n a r e a in t h e n , e n t a l a p p a r a t u s w h i c h s t o r e d or m a i n t a i n e d u n d e r r i g i d c o n t r o l , f e e l i n g s a n d a t t i t u d e s w h i c h h a d g r e a t i n f l u e n c e on m e n t a l o p e r a t i o n s w i t h o u t e v e r a p p e a r i n g in c o n s c i o u s n e s s , e x c e p t u n d e r s p e c i a l c i r c u m s t a n c e s . T h i s a r e a h e c a l l e d t h e t~nconscious a n d in s p i t e of all his w a r n i n g s a n d s a f e g u a r d s , it h a s b e e n t r e a t e d as if it ]lad t o p o l o g i c a l r e a l i t y a n d h a s b e c o m e a " t h i n g - i n - i t s e l f " r a t h e r t h a n a p r o c e s s or a c o n c e p t u a l i z a t i o n .
Vicissitudes in the C o n c e p t of the Uncollosciotts T h e u n c o n s c i o u s w a s t h o u g h t to h e an a r e a w h i c h wa:¢ o c c u p i e d b y p r i m i t i v e f o r c e s as w e l l as r e p r e s s e d i d e a s or f e e l i n g s a n d w h i c h e x e r t e d its i n f l u e n c e s t h r o u g h its c a p a c i t y to m a k e its p r e s e n c e f e l t in d r e a m s t a t e s , c e r t a i n p a t h o logieal s t a t e s , p a r a p r a x e s a n d in v a r i o u s u n r e c o g n i z e d w a y s . Its p r e s e n c e c o u l d also b e i n f e r r e d f r o m a s p e c t s of b e h a v i o r w h i c h a p p e a r e d to b e c o n t r a r y to t h e i n d i v i d u a l ' s c o n s c i o u s d e s i r e s . H y p n o t i c t e c h n i c s w e r e a f r u i t f u l s o u r c e of d o c u m e n t a t i o n for this n o t i o n , a n d a l t h o u g h t h e r e h a s b e e n c o n s i d e r a b l e disa g r e e m e n t as to t h e n a t u r e of t h e u n c o n s c i o u s , it is a l m o s t u n i v e r s a l l y a c c e p t e d t h a t h u m a n b e h a v i o r is i n f l u e n c e d b y f o r c e s t h a t a r e o u t s i d e of i m m e d i a t e a w a r e n e s s . M a n y e a r l y t h e o r i s t s , n o t a b l y A d l e r a n d Jung, d i s a g r e e d w i t h t h e 179
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n a t u r e of the i n s t i n c t u a l forces, a n d la te r theorists, p a r t i c u l a r l y , l l a d o a n d t t o b b i n s , h a v e v i s u a l i z e d t h e u n c o n s c i o u s in a less m e c h a n i c a l f a s h i o n , COlas i d e r i n g it to b e a p r o c e s s w h i c h de a ls w i t h m e n t a l a c t i v i t y t h a t is t e m p o r a r i l y b u t n o t p e r m a n e n t l y out of a w a r e n e s s . R a d o has b e e n d i s s a t i s f i e d w i t h F r e u d ' s c o n c e p t of t h e u n c o n s c i o u s , w h i c h a p p e a r s to h i m like a d e p a r t m e n t of t h e m i n d w h i c h is " b e l o w " or " o u t s i d e " a w a r e n e s s a n d a p p e a r s to b e a n o t h e r , m y s t e r i o u s , m i n d : a t h i n g in itself. F r e u d a d o p t e d t h e m e t a p h y s i c a l c o n c e p t i o n of u n c o n s c i o u s m i n d , b a s i n g it a d m i t t e d l y u p o n K a n t ' s p h i l o s o p h y of das Ding an sich ( " t h e t h i n g in itself" w h i c h lies o u t s i d e t h e c o n d i t i o n s of p o s s i b l e e x p e r i e n c e ) . R a d o v i e w s t h e u n c o n s c i o u s as a "'non-reporting ( i n c o n t r a s t to t h e c o n s c i o u s m i n d wh,.'_cla is r e p o r t i n g ) o r g a n i z a t i o n of c a u s a t i v e links b e t w e e n pr oc e sse s of w h i c h w e are a w a r e . "'1 T h i s n o n - r e p o r t i n g l e v e l of a c t i v i t y a v o i d s t h e error of m a k i n g a "'t!aing in itself" of a n e x t r a p o l a t e d c o n c e p t a n d gives it r e a l o p e r a t i o n a l u s e f u l n e s s . T h e n o n - r e p o r t i n g l e v e l t h u s c o n t a i n s b e h a v i o r m e c h a n i s m s w h i c h h a v e b e c o m e autom a t i z e d as w e l l as s t o r e d u p m e m o r i e s or o t h e r c o m p l e x s e q u e n c e s like m u l t i p l i c a t i o n tables, etc., w h i c h are m a i n t a i n e d for e f f i c i e n c y p u r p o s e s . In a d d i tion, it c o n t a i n s r e p r e s s e d or p a i n f u l m e m o r i e s a n d a v a r i e t y of a b a n d o n e d a d a p t i v e p a t t e r n s of c h i l d h o o d . It a p p e a r s to b e a m o s t u s e f u l c l a r i f i c a t i o n of the c o n c e p t of u n c o n s c i o u s a n d goes m u c h f u r t h e r t h a n F r e u d ' s n o t i o n of t h e p r e c o n s c i o u s in spite of the c r i t i c i s m l e v e l l e d at it f r o m the p o i n t of v i e w of its s u p e r f i c i a l i t y . B e r n a r d R o b b i n s 2 has r a i s e d e v e n s t r o n g e r d o u b t s a b o u t the w d i d i t y of t h e c o n c e p t s w h i c h p e r m i t ideas, a t t i t u d e s a n d f e e l i n g s to b e e n c a p s u l a t e d a n d o u t s i d e t h e i n f l u e n c e of t i m e or c h a n g e . H e sugge sts t h a t this is i m p o s s i b l e , s i n c e all h u m a n p r o c e s s e s p a r t i c i p a t e in the c h a n g e w h i c h t i m e a n d e x p e r i e n c e p r o d u c e a n d t h a t a p a t i e n t ' s r e a c t i o n s a n d e m o t i o n s a r e a l w a y s p a r t of his co n sc i o u s e x i s t e n c e a n d a l w a y s a p p r o p r i a t e , sinc e t h e y reflect the w a y t h e ind i v i d u a l is l o o k i n g at t h e w o r l d at t h a t time. An i n a p p r o p r i a t e a t t i t u d e or fee]i n g is u n d e r s t a n d a b l e in t e r m s of t h e i n d i v i d u a l ' s c u r r e n t d i s t o r t i o n s of t h e r e a l w o r l d , r a t h e r t h a n a r e s i d u e of a n e a r l y i n a p p r o p r i a t e r e s p o n s e to a p a r e n t a l figure. A l t h o u g h h e r e c o g n i z e d t h a t w e are i n f l u e n c e d b y "out of a w a r e ness'" f e e l i n g s a n d a t t i t u d e s , h e felt t h a t t h e y w e r e n e i t h e r t i m e e x e m p t n o r i n c a p a b l e of b e i n g a l t e r e d .
Contradictory hnplications of the Unconscious I w o u l d like to e x a m i n e s o m e of t h e i m p l i c a t i o n s of F r e u d ' s c o n c e p t of t h e u n c o n s c i o u s a n d its u n f o r t u n a t e c o n s e q u e n c e s for p s y c h o a n a l y t i c t h e o r y a n d p r a c t i c e . It was" t h e p r a c t i c e of F r e u d a n d m a n y of his f o l l o w e r s to a s s i g n t h e l a b e l of u n c o n s c i o u s to c e r t a i n forces w h i c h c o u l d not b e i d e n t i f i e d in consciousness. F o r e x a m p l e , i f it w e r e n o t e d t h a t an i n d i v i d u a l m a n i f e s t e d b e h a v i o r w h i c h a p p e a r e d to b e g u i l t a p p e a s i n g , or self p u n i s h i n g , it w a s ass u m e d t h a t h e h a d u n c o n s c i o u s f e e l i n g s of guilt if t h e b a s i s of s u c h b e h a v i o r c o u l d n o t b e i d e n t i f i e d in consciousne ss. T h i s g a v e rise to a c l u s t e r of c o n c e p t s s u c h as u n c o n s c i o u s guilt, u n c o n s c i o u s hostility, u n c o n s c i o u s a n x i e t y , l a t e n t h o m o s e x u a l i t y , u n c o n s c i o u s n e e d to fail, etc., etc. L i k e o t h e r o c c u p a n t s of th e u n c o n s c i o u s , t h e i r p r e s e n c e c o u l d o n l y b e i d e n t i f i e d b y i n t e r p r e t a t i o n s of
GUILT, RESPONSIBILITY
AND TItE UNCONSCIOUS
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m a n i f e s t behavior.. A t t i m e s t h e s e m i x e d c o n c e p t s r a n into c o n t r a d i c t i o l l s s u c h as in u n c c n s e i o u s a n x i e t y o1" guilt, In e t h e r i n s t a n c e s , t h e e x i s t e n c e of s u c h f o r c e s c o u l d b e d o c u m e n t e d o n l y b y a p r i o r a c c e p t a n c e of o t h e r u n v a l i d a t e d c o n c e p t i o n s like tile d e a t h instinct. F r e u d h a d s e r i o u s c o n c e r n s a b o u t this m a t t e r h i m s e l f . In t h e "'Ego a n d t h e [ d " lie said, "'We t h e n c o m e to s p e a k in a e o n d e n s e d a n d n o t e n t i r e l y c o r r e c t m a n n e r , of ' u n c o n s c i o u s f e e l i n g s ' to k e e p u p an a n a l o g y w i t h u n c o n s c i o u s i d e a s w h i c h is n o t a l t o g e t h e r justifiable. ''a F u r t h e r in t h a t s a m e b o o k h e said, "'But this n e w e r d i s c o v e r y w h i c h c o m p e l s us, in s p i t e of o u r c r i t i c a l f a c u l t i e s to s p e a k of a n " u n c o n s c i o u s s e n s e o f guilt'. "'4 M i x e d c o n c e p t s like l a t e n t o r u n c o n s c i o u s a n x i e t y a r e b y d e f i n i t i o n i m p o s sible, s i n c e a n x i e t y is d e f i n e d as a felt s t a t e of m i n d a n d this c a n n o t b e u n c o n scious. T h i s c r i t i c i s m a p p l i e s to t h e n o t i o n s of u n c o n s c i o u s h o s t i l i t y as well as u n c o n s c i o u s guilt. I h a v e d e a l t w i t h this p r o b l e m in d e t a i l in a p a p e r on "'The C o n c e p t of L a t e n t H o m o s e x u a l i t y . "'5 In s p i t e of t h e s e o b v i o u s c o n t r a d i c t i o n s , t h e s e c o n c e p t s h a v e p l a y e d a m a j o r p a r t in t h e p s y c h o a n a l y t i c c o n c e p t i o n s of g u i l t a n d its r a m i f i c a t i o n s in t h e t h e o r y of m a s o c h i s m a n d p s y c h o p a t h i c behavior. It is a p p a r e n t t h a t m u c h h u m a n b e h a v i o r is self d e f e a t i n g a n d self d e s t r u c t i v e a n d t h a t s u c h b e h a v i o r o f t e n r e s u l t s in r e p e a t e d f a i l u r e s or s u c c e s s i v e p u n i t i v e r e s p o n s e s f r o m t h e c o m m u n i t y . In t h e f r a m e w o r k of a c o n c e p t s u c h as t h e p l e a s u r e p r i n c i p l e , s u c h b e h a v i o r is i n c o m p r e h e n s i b l e . \5Zith t h e f o r m u l a t i o n of a d e a t h instinct, h o w e v e r , s u c h a c t i v i t y is e a s i l y u n d e r s t a n d a l ) l e as t h e d i r e c t e v i d e n c e of t h e a c t i v i t y of t h e instinct. T h e effect of t h e d e a t h i n s t i n c t h y p o t h e s i s a n d u n c o n s c i o u s g u i l t a n d t h e " n e e d to fail" w a s to r e s t r i c t a n d close off f u r t h e r e f f o r t s to u n d e r s t a n d s u c h b e h a v i o r , r a t h e r t h a n to e l u c i d a t e or o p e n s u c h b e h a v i o r to c l a r i f i c a t i o n a n d c o r r e c t i o n . T h e d e a t h i n s t i n c t h y p o thesis h a s b e e n l a r g e l y d i s c r e d i t e d t h r o u g h a philosol?hical a n d t h e o r e t i c a l e l u c i d a t i o n of its p r e m i s e s ; b u t w e still cling e n e r g e t i c a l l y to s e c o n d level c o n c e p t s d e r i v e d f r o m it. W h a t a r e t h e a l t e r n a t i v e e x p l a n a t i o n s for m a s o c h i s t i c or p s y c h o p a t h i c b e h a v i o r ? I f w e a s s u n l e t h a t h u m a n b e h a v i o r is a d a p t i v e a n d a d j u s t i v e , w e c a n r e c o g n i z e t h a t m a s o c h i s t i c b e h a v i o r m a y b e an a t t e m p t a t m a s t e r y a n d a n a d j u s t i v e m a n e u v e r d e s i g n e d to d e a l w i t h c e r t a i n p e r s o n a l a n d social c o n d i t i o n s . I t m a y b e an a t t e m p t to d e a l w i t h f e e l i n g s of a l o n e n e s s or p o w e r l e s s n e s s . W h a t e v e r one's c o n c e p t i o n s of t h e d y n a m i c s or g e n e s i s of s u c h b e h a v i o r , it is a l w a y s an a c t i v i t y w h i c h t e n d s to b e r a t e , b e l i t t l e , or a c t i v e l y d e s t r o y t h e self or p a r t of tile self, in o r d e r to o b t a i n s o m e p s y c h i c r e w a r d or r e l i e f f r o m t e n s i o n . T h u s w e w o u l d n o t e t h a t s u c h b e h a v i e r is an i n t r i n s i c p a r t of all n e u r o s e s w h e r e self d e r o g a t o r y b e l a a v i o r fulfills s o m e p s y c h i c g o a l or t h a t it is t h e i n e v i t a b l e c o n s e q u e n c e of t h e n e u r o t i c ' s f a i l u r e to fulfill or a c h i e v e his i d e a l i z a t i o n . C o n s e q u e n t l y , w e c o u l d v i e w m a s o c h i s t i c b e h a v i o r as t h e lesser of t w o evils or t h e c o n s e q u e n c e of tile n e u r o t i c ' s i n a b i l i t y to fulfill his goals. T h e r e is no n e e d to p o s t u l a t e a "'need to fail" ~r a d e s t r u c t i v e instinct, b u t r a t h e r to e x a m i n e t h e a d a p t i v e a s p e c t s of t h e b e h a v i o r a n d to r e c o g n i z e t h a t c h a r a c t e r i s t i c of t h e n ~ u r o t i c p r o c e s s is t h e f a i l u r e of s u c h a c l a p t i v e devices w i t h c o n s e q u e n t self d e s t r u c t i o n in m i n o r or m a j o r w a y s . T h e m a s o c h i s t i c d e f e n s e is a p a r t i c u l a r l y e f f e c t i v e w a y of d e a l i n g ~;¢ith
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c e r t a i n p r o b l e m s of existence, n a m e l y , guilt, helplessness a n d powerlessness. 6 A l t h o u g h it a p p e a r s to b e "'unconscious guilt s e e k i n g for p u n i s h m e n t , " t h e guilt is often s e c o n d a r y to t h e b r a z e n , e x p l o i t a t i v e a n d r i g h t e o u s l y i n d i g n a n t beh a v i o r p a t t e r n s of t h e m a s o c h i s t i c c h a r a c t e r s t r u c t u r e . T h u s t h e iaaasochist a p p e a r s to b e s o m e o n e who, like t h e p s y c h o p a t h , feels c h e a t e d a n d a b u s e d a n d is a t t e m p t i n g to g e t justice a n d c o m p e n s a t i o n for his claims. This m a y freq u e n t l y p r o d u c e sadistic r e j o i n d e r s f r o m t h e comnaunity. T h e usefulness of this d e f e n s e in d e a l i n g w i t h feelings of p o w e r l e s s n e s s d e p e n d s u p o n m a n ' s cont i n u e d belief in p r i m i t i v e m a g i c a n d its p o w e r s of expiation, as well as on t h e h u m a n belief a n d p r o p e n s i t y to s t i m u l a t e a n o t h e r h u m a n b e i n g to b e n e v o l e n t action b y t h e a p p e a l of helplessness a n d suffering. This is similar to t h e b e h a v i o r of s o m e a n i m a l s who, w h e n helpless in a fight w i t h an e n e m y , p r e s e n t t h e i r m o s t v u l n e r a b l e a r e a to t h e e n e m y a n d t h u s e s c a p e u n h a r m e d . T h e m a s o c h i s t h o p e s b y t h e a p p e a l of his suffering to s t i m u l a t e b e n e v o l e n c e a n d fulfill his d e m a n d s . Like t h e acts of m o r t i f i c a t i o n of t h e saints of e a r l y C h r i s t i a n i t y , t h e m a s o c h i s t hopes to g a i n h i g h e r r e w a r d s t h r o u g h his suffering. T h u s m a s o c h i s m can demonstrate the process of h u m a n b e h a v i o r w h i c h appears to b e p u n i s h m e n t seeking, y e t a c t u a l l y is r e w a r d seeking. Like n e u r o t i c b e h a v i o r in general, it is distorted and does not achieve its expected results.
Psychopathic Behavior T h e r e is a n o t h e r v a r i e t y of d i s t o r t e d h u m a n b e h a v i o r w h i c h has fallen p r e y to t h e o v e r s i m p l i f i e d e x p l a n a t i o n of t h e d e a t h i n s t i n c t or t h e n e e d to fail or to be p u n i s h e d . This is t h e c a t e g o r y of the asocial, anti-social, or t h e p s y c h o p a t h i c b e h a v i o r d i s o r d e r s . A m a j o r issue has b e e n m a d e of t h e r e p e t i t i v e t e n d e n c y of s o m e p s y c h o p a t h s to a r r a n g e their behav,.'or so t h a t t h e y are ine v i t a b l y a p p r e h e n d e d a n d p u n i s h e d . T h i s w a s a s s u m e d to b e d e r i v e d from their u n c o n s c i o u s wishes for s u c h p u n i s h m e n t . S u c h an e x p l a n a t i o n does not take sufficient c o g n i z a n c e of t h e l a r g e r n u m b e r of p s y c h o p a t h s w h o n e v e r get c a u g h t , or w h o a r e c u l t u r a l l y a c c e p t a b l e , a n d thus are a m p l y r e w a r d e d for their p s y c h o p a t h y . N e i t h e r does it a d e q u a t e l y explain t h e extensive v a r i e t y of such b e h a v i o r w h i c h derives f r o m a n u m b e r of sources t o t a l l y u n r e l a t e d to a n e e d for p u n i s h m e n t . I t i s o f t e n clear t h a t t h e f a i l u r e of p s y c h o p a t h i c b e h a v i o r is m o r e closely r e l a t e d to l o w i n t e l l i g e n c e a n d t h e p o o r p l a n n i n g of anti-social activities w h i c h l e a d t o carelessness a n d u n n e c e s s a r y risks in c a r r y i n g o u t t h e crimes. Most o f t e n t h e g r a n d i o s i t y of t h e p s y c h o p a t h w h i c h c h a r a t e r i z e s his neurosis t h e f e e l i n g of s p e c i a l p r i v i l e g e a n d e x e m p t i o n from n a t u r a l law of c a u s e a n d effect explains h i s t e n d e n c y to b e a p p r e h e n d e d . P s y c h o p a t h s c o n c e i v e of t h e m s e l v e s as c l e v e r a n d i m m u n e to t h e c o n s e q u e n c e s w h i c h befall t h e ordin a r y m o r t a l . T h e i r g r a n d i o s i t y is o f t e n so e x t r e m e t h a t t h e y e x p e c t to e v a d e the skills of experts a n d ,viii r e p e a t activities w h i c h i n v a r i a b l y e n t r a p them. S u c h b e h a v i o r is v e r y striking in c e r t a i n t y p e s of p s y c h o p a t h s as it is in o t h e r g r a n d i o s e states like p a r a n o i a . F o r example, a y o u n g p a r a n o i d patient w h o h a d a delusion of b e i n g t h e " s e c o n d c o m i n g of C h r i s t " a t t e m p t e d to b r e a k t h r o u g h t h e police g u a r d a r o u n d tile P r e s i d e n t in o r d e r to p r e s e n t h i m with
CUILT~ RESPONSIBILITY
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THE
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t h e s o l u t i o n of t h e R u s s i a n p r o b l e m . H e wa s q u i c k l y s t o p p e d a n d s e n t to a m e n t a l h o spital. H e w as a s t o n i s h e d , f u r i o u s a n d a b a s h e d w h e n h e w a s n o t r e c o g n i z e d as the "Christ.'" H e w a s not s e e k i n g h o s p i t a l i z a t i o n , r a t h e r , h e exp e c t e d a c c l a m a t i o n a n d deification. His b e h a v i o r w a s d i c t a t e d b y his g r a n d i o s ity, not his d e s i r e for p u n i s h m e n t . T h i s s i t u a t i o n in m o r e s u b t l e a n d less d e l u sional t e r m s c h a r a c t e r i z e s a g r e a t d e a l of p s y c h o p a t h i c b e h a v i o r . T h u s , p u n i s h m e n t is a s e c o n d a r y , u n e x p e c t e d , a n d u n s o u g h t for c o n s e q u e n c e , r a t h e r t h a n a p r i m a r y goal. T h e i r b e h a v i o r , like t h a t of t h e m a s o c h i s t , is a d a p t i v e , alt h o u g h f r o m the c u l t u r a l p o i n t of view, h i g h l y m a l a d a p t i v e . Yet it s e e m s to b e a n a t t e m p t at solution of f e e l i n g s of u n w o r t h i n e s s , r a t h e r t h a n a n a t t e m p t to s e c u r e p u n i s h m e n t for u n c o n s c i o u s f e e l i n g s of guilt. It ha s b e c o m e a f a m i l i a r error to v i s u a l i z e t h e p s y c h o p a t h as b e i n g i n c a p a b l e of e x p e r i e n c i n g guilt. T h e f a c t s e e m s to b e t h a t h e has no g u i l t sinc e t h e r e is no r e a s o n for g u i l t as h e v i e w s t h e situation. A p p r e h e n s i o n , c o n v i c t i o n , i m p r i s o n m e n t , etc., ar e o n l y a c c i d e n t a l c o n s e q u e n c e s to s o m e d e f e c t in his p l a n n i n g , r a t h e r t h a n t h e feeli n g of justified r e m o r s e c o n c e r n i n g his g u i l t a n d p u n i s h m e n t . T h e effect of p u n i t i v e t r e a t m e n t on t h e p s y c h o p a t h is w e l l k n o w n for its i n e f f e c t u a l consequences. T h e difficulties in t h e t r e a t m e n t of t h e p s y c h o p a t h , as in states s u c h as t~aranoia, a l c o h o l i s m a n d o t h e r c o n d i t i o n s in w h i c h g r a n d i o s e i m m u n i t y f r o m n a t u r a l l a w p l a y s a l a r g e role, rests on the i n t r i n s i c n a t u r e of t h e illness as w e l l as o u r t h e r a p e u t i c deficiencies. I t h a s b e c o m e too f a s h i o n a b l e to c o n c l u d e t h a t t h e r a p y for t h e p s y c h o p a t h is iml?ossible b e c a u s e of his d e s i r e for p u n i s h m e n t a n d his i n a b i l i t y to r e l a t e to his t h e r a p i s t a n d b e n e f i t froln this e x p e r i e n c e . T h e i n a d e q u a t e a n d o f t e n a b s e n t m o t i v a t i o n for t r e a t m e n t h a s l e d us to c o n c l u d e i n c o r r e c t l y , t h a t t h e c o n d i t i o n is e i t h e r b a s i c a l l y c o n s t i t u t i o n a l or t h a t t h e d y n a m i c s a r e s u c h as to r e n d e r t h e m b e y o n d h m n a n i n t e r v e n t i o n . T h i s m y t h d e v e l o p e d a n d g r e w d e s p i t e c o n s i d e r a b l e e v i d e n c e to t h e c ontr a r y. P s y c h o p a t h s h a v e d e v e l o p e d a series of m a n e u v e r s to d e a l w i t h life t h a t rev o l v e a b o u t t h e i r i m m u n i t y f r o m social r e q u i r e m e n t s . T h i s s e e m s to s t e m f r o m a c o m b i n a t i o n of u t t e r d e s p a i r as to the ir c a p a c i t y for b e h a v i n g like h u m a n s a n d b e i n g b o u n d to h u m a n l i m i t a t i o n s . T h e g r a n d i o s i t y is o f t e n a w a y of d e n y i n g s u c h h u m a n l i m i t a t i o n s . It is n o t tr ue t h a t t h e y do n o t e x p e r i e n c e g u i l t or a n xiety. T h e y s i m p l y cu t off e v e r y i n t e r p e r s o n a l r e l a t i o n s h i p of signifi c a n c e at t h e root a n d t h u s a v o i d t h e d e v e l o p m e n t of a n x i e t y or guilt. T h n s t h e y m a y a p p e a r to b e i n v u l n e r a b l e to a n y i n f l u e n c e , a n d t h e y a r e m a s t e r s at m a k i n g i n d i v i d u a l s as w e l l as t h e i r t h e r a p i s t s feel like d a m n fools or u t t e r failures. T h e y often l e a d us on w i t h t h e i r c a p t i v a t i n g c h a r m a n d g l i b in te ll e c t u a l i t y , o n l y to d i s a p p o i n t us in t h e i r r e p e a t e d a n t i - s o c i a l b e h a v i o r . I n this lies t h e d i f f i c u l t y in t h e r a p y . H o w e v e r , it is not the p s y c h o p a t h ' s r i g i d i t y , or "'need to fail" t h a t is i n v o l v e d , b u t r a t h e r the r i g i d , r e i f i e d c o n c e p t s of t h e t h e r a p i s t w h o is b o u n d b y an i n f l e x i b l e t e c h n i c a n d u n y i e l d i n g theory. All p a t i e n t s m u s t b e m o t i v a t e d for t h e r a p y . S o m e m o r e , a n d s o m e less. So me p a t i e n t s h a v e sufficient trust in the ir c a p a c i t y to c h a n g e a n d s o m e f a i t h in t h e e n v i r o n m e n t to a c c e p t t h e m . T h e p s y c h o p a t h ha s little f a i t h in h i m s e l f a n d p r a c t i c a l l y no e x p e c t a t i o n of c o m m u n i t y a p p r o v a l . T h i s is f r e q u e n t l y the r e s u lt
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of a backlog of communit), disapproval and p u n i s l u n e n t for his neurotic faihu'es. His is a compulsive failure and he undergoes a relentless self derogatory appraisal, w h i c h is reinforced by. the community. T h e grandiosity is an a d a p tive m a n e u v e r designed to deal with this extreme feeling of worthlessness. He constantly displays this aspect of his defensive system and he parries, charms and provokes the therapist. The p h o n y cleverness of the p s y c h o p a t h must be exposed, and the therapist must be p r e p a r e d to be disappointed w i t h o u t feeling despair a b o u t his value to the patient. The psychopath is looking for a closeness t h a t he is afraid of, and a trust which he is convinced no one will give him. It is not p u n i s h m e n t he wants, in spite of the fact that his behavior invariably stirs up rejection and punition. T h e p s y c h o p a t h and the masochist d e m o n s t r a t e the significance and, at the same time, the i n h e r e n t weakness of F r e u d ' s conception of the unconscious. T h e notion of an area of mental functioning entirely out of control of the individual and p o p u l a t e d bv forces and attitudes which are d e s t r u c t i v e (aggressive instincts), self defeating ( n e e d to fail, unconscious guilt), and anti-social, has lent s u p p o r t to the t e n d e n c y to feel relieved from responsibility for one's behavior. Bv assuming innate tendencies towards desh'uctiveness ~r the need to fail, etc., the individual often feels t h a t his behavior was visited upon him by heredity, etc. His responsibility is minimal and the t h e r a p e u t i c implications of such a philosophy often distract from the therapist's zeal in identifying lhe areas of responsibility. Such a concept encourages the foolish notion that l~ostility o u t w a r d l y m a n i f e s t e d is health), since it avoids the internalizatiol~ of this hostility w h i c h m a y lead to a depression or suicide. It encourages pessimistic attitudes t o w a r d s the potentialities of the t h e r a p e u t i c process and justifies the notion of the u n t r e a t a b i l i t y of some patients because they p r o d u c e a "negative t h e r a p e u t i c reaction." Philosophically, it encourages a view of man which is essentially destructive, and considers the humanistic and optimistic view of man as sentimental romanticism. T h e issue of responsibility for man's behavior, w h i c h is highlighted in existential philosophical and psychoanalytic theorizing is confused bv this notion of the unconscious. "Fhe recognition that there are forces o p e r a t i n g in our m e n t a l life that lie outside of imm e d i a t e awareness, which is the core of the concept of the unconscious, does not relieve the individual of responsibility for his action, b u t rather d e m a n d s t h a t such out-of-awareness attieudes be b r o u g h t into our consciousness, as F r e u d emphasized, so as to increase the control over our behavior, Our knowle d g e of these forces enables us to c o m p r e h e n d and often clarify the neurotic development, b u t can never serve as an excuse or justification for its presence. W e must thus clearly distinguish b e t w e e n guilt and responsibility. This will p e r m i t us to a c k n o w l e d g e the responsibility of the p a t i e n t for his neurotic disorder in contrast to b l a m i n g him and loading him with spurious guilt which serves to diminish responsibility. This is in contrast to the feelings of true guilt associated with real responsible remorse over unfulfilled and u n p r o d u c t i v e living. T h e concepts of "need to fail," etc., encourage in the mind of the therapist, as well as the patient, an irresponsible a t t i t u d e towards their unproductiveness which maintains and reinforces the neurotic pattern. W e can no
GUILT,
I~ESPONSIBILITY
AND
THE
UNCONSCIOUS
l'S,~
longer be satisfied with a psyclmlogical c o n c e p t w h i c h tends to t h r o w b l a m e or responsibility on our parents, or our h e r e d i t a r y , or our instinctual drives and unconsc.i,m~s motivations over which we have no control. W e must recognize that a l t h o u g h neurosis develops '~hrough a succession of life's experiences t h a t we f r e q u e n t l y have no control over, c o n t i n u i n g these p a t t e r n s in the n e u r o t i c w a y of life is the responsibility of the neurotic. O n l y b y m a k i n g him assume this'responsibility can we ever hope to influence the neurosis. This, of course, raises m a n y questions a b o u t the value of p u n i s h m e n t in n e u r o t i c oilsorders, since responsibility is still e q u a t e d with guilt in legal t e r m s . T
Reinterpretation of Guilt and Responsibility Guilt a n d responsibility r e p r e s e n t different orders of concern, a n d while related in an obvious way, t h e y should also be d i s t i n g u i s h e d in their p r o p e r realm. Responsibility is a concept that involves one's p a r t i c i p a t i o n in an e v e n t or activity, regardless of w h e t h e r such p a r t i c i p a t i o n is of m i n o r or major proportions. Responsibility is thus always implied u n d e r the r u b r i c of guilt. H o w ever, it is a well k n o w n psychological fact t h a t guilt m a y be assumed, or g u i l t y feelings expressed, w h e n there is no p a r t i c i p a t i o n or actual responsibility for an event. This fact is characteristic of m a n y patients with varied p s y c h i a t r i c disorders. C o n s e q u e n t l y , guilt is a j u d g m e n t , while responsibility is an issue d e t e r m i n e d in fact. T h e j u d g m e n t of guilt follows the elucidation of responsibility d e t e r m i n e d by the d e g r e e of participation w h e t h e r conscious, deliberate, or accidental, or as a result of a d i s o r d e r e d mind. In the consideration of guilt, other questions arise. Has it a n y rightful place in the science of psychology, or is it exclusively a moral question limited to the r e a l m of speculative p h i l o s o p h y or t h e o l o g y ? W h i l e F r e u d actively resisted a n y intrusion of m o r a l i t y into his psychological system, he used the concept of guilt very extensively. A l t h o u g h it was never precisely defined, it always had reference to feelings g e n e r a t e d by the disobedience to authority, or to hostility, or aggression q u a n t i t a t i v e l y u n a c c e p t a b l e to the super-ego. Thus, guilt, for F r e u d , was similar to the theological c o n c e p t of guilt as activity o p p o s e d to the authority, w h e t h e r the a u t h o r i t y is external or i n c o r p o r a t e d into the super-ego. This c o n c e p t h a d no relation ostensibly to responsibility, since these "guilt feelings" p r o v o k e d defensive m a n e u v e r s in the form of n e u r o t i c defenses or s y m p t o m s , and led to expiation rituals d e s i g n e d to avoid the guilt r a t h e r than to confront and o v e r c o m e it. T h e p r o b l e m s of responsibility w e r e f u r t h e r c o m p l i c a t e d b y F r e u d ' s deterministic a n d biological orientation. Since certain guilt feelings w e r e inevitable b e c a u s e of their instinctual origin, such as castration fears and the guilt arising out of the O e d i p a l conflict, how could the i n d i v i d u a l be b l a m e d for his aggressive or hostile feelings which g e n e r a t e d this guilt? T h e s e notions, c o u p l e d with the unconscious n a t u r e of these wishes a n d feelings, raised the whole issue of tree will versus psychic determinism. To the extent t h a t man's b e h a v i o r is d e t e r m i n e d , w h e r e is the e l e m e n t of choice which then p r e s u m e s responsibility? Does an instinct t h e o r y which defines aggression and hostility as innate, and considers deflections of these feelings as pathological, e n c o u r a g e the expression of hostility and con-
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s e q u e n t l y increase guilt feelings? T h e c o n c e p t of unc;onscious g~uilt ~eelings f u r t h e r clouds a n d complicates 1his entire matter, siaaee it implies t h a t individuals m a y not only feel guilt), w i t h o u t k~v~wing it, b u t t h a t they. h a v e an elaborat,e b e h a v i o r a | system b a s e d on it, w i t h o u t ;any a w a r e n e s s of responsibility for this behavior. F r e u d ' s basic f,ormulations raised more questions a b o u t guilt a n d responsibility for the courts t h a n they answered, while t h e y subs c r i b e d to m a n y of the theological views on guilt. T h e free will versus psychic d e t e r m i n i s m d i l e m m a faces the same circular reasoning w h e n it is v i e w e d in an e i t h e r / o r realm. \r~Zhile the concept of p s y c h i c d e t e r m i n i s m remains a basic formulation for the d e v e l o p m e n t of a science of psychology, it does not obviate man's ability to m a k e choices and decisions in spite of a n d with the help of, unconscious forces w h i c h p r e j u d i c e the choice. M u c h of the confusion arising out of F r e u d ' s view of guilt needs to be cleared away. Does the Existentialist view of guilt, w h i c h assumes a responsibility and a necessity for choice a n d action, illuminate this m a t t e r ? Here, guilt is a c o n s e q u e n c e of irresponsibility or "'bad faith" ( m a u v a i s foi) as Sartre calls it, r a t h e r t h a n v i c e versa. T h e n e o - F r e u d i a n g r o u p of p s y c h o a n a l y s t s have m a d e crucial contributions
to this question b y first distinguishing b e t w e e n t r u e guilt or pseudo, neurotic, or false guilt. A clear distinction is m a d e b e t w e e n guilt as a neurotic defensive m a n e u v e r , a n d guilt as an awareness of personal responsibility. T r u e guilt assmnes a personal responsibility for one's action, a n d a d e d i c a t e d interest in altering it, while false guilt would utilize all the neurotic evasions in order to m a i n t a i n the status quo w i t h o u t the assumption of r e s p o n s i b i l i t y for one's behavior. This gives us hints as to the u n d e r s t a n d i n g of the concept of guilt. Guilt, or rather, feelings of guilt, intrude themselves into the realm of p s y c h i a t r y b y virtue of their extensive i n v o l v e m e n t in h u m a n affairs, particularly in the area of the p a t h o l o g y of h u m a n behavior. T h e y b e c o m e areas for psychiatric s t u d y b e c a u s e t h e y are actively involved in the neurotic a n d psychotic process. H o w e v e r , the d e t e r m i n a t i o n o f b o t h types of guilt is totally outside the p s y c h i a t r i c realm, even t h o u g h it plays a significant role in psychopathology. Responsibility, on the other hand, is an issue for the p s y c h i a t r i s t at all times. T h e assumption of responsibility for one's b e h a v i o r and actions is a p r e r e q u i s i t e for the successful elaboration a n d clarification of one's role in living. O n l y then can p s y c h o t h e r a p y be beneficial, and decisive changes in one's living take place. H o w can w e o v e r c o m e the d i l e m m a of psychic d e t e r m i n i s m ? Does our awareness t h a t h u m a n b e h a v i o r is not entirely within the individual's volition a n d design run c o u n t e r to the responsibility that he bears for his actions? Do we b r i d g e the chasm b y a c k n o w i e d g i n g at the outset t h a t illness, w h e t h e r it be physical or mental, bears both personal as well as c o m m u n i t y responsibility? Polio, as well as schizophrenia, is. d e p e n d e n t on the e n v i r o m n e n t and cultural situation. Thus, the issue of exclusive personal responsibility m u s t be seriously q u e s t i o n e d and p e r h a p s a b a n d o n e d . ~vVe do recognize the notion of degrees of responsibility, w h i c h is p a r t i a l l y personal and partially accidental. In m a n y neurotic difficulties, the p a t i e n t
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by virtue ,of his pattenas ,of defense may become revolved in actwltles which range from the extreme ,of self destructive performances to those which are aimed entirely at others. They represent for both ex~'emes reparative and adaptive attempts at solution of their neurosis. Whi~e society permits scm~e of these defenses to go ~mpunished and imposes severe punishment on others, this does not alter ,our conception of the nature ,of these behavioral tendencies, Punishment, however, is not very likely to influence ,either ,of these defensive types even though society demands it:. t sychoanalytlc theory, however, should represent the best efforts ,of a scientific methodology designed to uncover and elucidate the whys and wherefores of such behavior. ]it should avoid formulations which confuse legal necessities with moral philosophy or theological constructs with a naturalistic view of man. In this endeavor, the notio'.a of unconscious plays a major role and its nature and operation must be carefully elucidated, and precisely ~ornaulated. This still remains to be done, in the same way :as our knowledge of the ego and its functiens has markedly expanded
in the last forty years. REFERENCES 1. Rado, S.: Psychoanalysis of Behavior. New York, Crune & Stratton, Inc., 1956,
sexuality, Am, J. Psychoanalysis, 17: 161-169, 1957,
p. 182. Robbins, B. S.: The Myth of Latent Emotion. Psychotherapy, 1:3-29, 1955. Freud, S.: Collected Papers. London, Hogarth Press, 1927, p. 26. ~ : Collected Papers. London, Hogarth Press, 1927, p 33. Sa]zman, L.: The concept of latent homo-
6. --: Masochism a review of flaeory and therapy, iJ~ Individual and Familial l)ynamics. J. Massennan, editor, New York, Grune & Stratton~, Inc,, 1959. 7. ~ : Guilt and responsibility. Bull. of tile Annual Meeting of the M. Sot., St. Elizabeths Hospital, Washington, D. C., 1959.
2. 3. 4. 5.
Leon, Salzman, M.D., Associate Professor of Clinical PsycMatry, Georgetown University Medical School; Visiting Lecturer, Medical College of Virginia Catholic University Graduate School; Member of the Faculty, Was'hington School of Psychiatr~]; Trustee, Academy of P~choanahtsis.
1961
Guilt, Responsibility and the Unconscious By LEON SALZ]~IAN, M . D .
T
HE CONCEPT of t h e u n c o n s c i o u s a n d its r o l e ":n t h e m e n t a l life of t h e i n d i v i d u a l w a s F r e u d ' s major c o n t r i b u t i o n to tile s c i e n c e of p e r s o n a l i t y d e v e l o p m e n t , its v a l u e w a s n o t l i m i t e d to tile p s y c h o l o g i c a l s c i e n c e s a n d its i n f l u e n c e is c l e a r l y d i s c e r n i b l e in e v e r y a s p e c t of o u r i n t e l l e c t u a l e x i s t e n c e . T h e s i g n i f i c a n c e of his f o r m u l a t i o n , h o w e v e r , r e s t s n o t on t h e c o n c e p t as h e v i s u a l i z e d it w i t h its t o p o l o g i c a l c h a r a c t e r i s t i c s a n d p r i m i t i v e , i n s t i n c t u a l c o n t e n t s , b u t on t h e e m p h a s i s it p l a c e d on t h e i s s u e of t h e a m o u n t of m e n t a l a c t i v i t y t h a t o c c u r s o u t s i d e of o u r i m m e d i a t e a w a r e n e s s a n d t h e i n f l u e n c e of s u c h "'out of a w a r e n e s s " m e n t a t i o n on o u r a t t i t u d e s , f e e l i n g s a n d b e h a v i o r . I t d e s t r o y e d f o r e v e r t h e n o t i o n of m a n as a r a t i o n a l a n i m a l c a p a b l e ot! fulfilling his e x i s t e n c e t h r o u g h t h e e x c l u s i v e u s e of his l o g i c a n d i n t e l l i g e n c e . A l t h o u g h F r e u d ' s c o n c e p t of t h e u n c o n s c i o u s h a s p r e v e c l to b e a m o s t v a l u a b l e h y p o t h e s i s in tile d e v e l o p m e n t of p s y c h o a n a l y t i c t h e o r y , s o m e of its p h i l o s o p h i c a l i m p l i c a t i o n s a n d t h e o r e t i c a l e l a b o r a t i o n s h a v e b e e n in d i s p u t e s i n c e its initial f o r m u l a t i o n . T h e n o t i o n of a n " u n c o n s c i o u s " g r e w o u t of F r e u d ' s e a r l y w o r k w i t h h y s t e r i c s , w h e r e h e n o t e d t h a t i d e a s w h i c h p r e s e n t t h e m s e l v e s in c o n s c i o u s n e s s m a y disa p p e a r a n d , a f t e r a n i n t e r v a l , r e a p p e a r u n c h a n g e d . H e also n o t e d t h a t ideasl a t t i t u d e s or p r o c e s s e s m a y a p p e a r in c o n s c i o u s n e s s u n d e r c e r t a i n c i r c u m s t a n c e s w i t h o u t a n y p r i o r k n o w l e d g e of t h e i r e x i s t e n c e . H e t h u s p o s t u l a t e d t h a t t h e r e m u s t b e a n a r e a in t h e n , e n t a l a p p a r a t u s w h i c h s t o r e d or m a i n t a i n e d u n d e r r i g i d c o n t r o l , f e e l i n g s a n d a t t i t u d e s w h i c h h a d g r e a t i n f l u e n c e on m e n t a l o p e r a t i o n s w i t h o u t e v e r a p p e a r i n g in c o n s c i o u s n e s s , e x c e p t u n d e r s p e c i a l c i r c u m s t a n c e s . T h i s a r e a h e c a l l e d t h e t~nconscious a n d in s p i t e of all his w a r n i n g s a n d s a f e g u a r d s , it h a s b e e n t r e a t e d as if it ]lad t o p o l o g i c a l r e a l i t y a n d h a s b e c o m e a " t h i n g - i n - i t s e l f " r a t h e r t h a n a p r o c e s s or a c o n c e p t u a l i z a t i o n .
Vicissitudes in the C o n c e p t of the Uncollosciotts T h e u n c o n s c i o u s w a s t h o u g h t to h e an a r e a w h i c h wa:¢ o c c u p i e d b y p r i m i t i v e f o r c e s as w e l l as r e p r e s s e d i d e a s or f e e l i n g s a n d w h i c h e x e r t e d its i n f l u e n c e s t h r o u g h its c a p a c i t y to m a k e its p r e s e n c e f e l t in d r e a m s t a t e s , c e r t a i n p a t h o logieal s t a t e s , p a r a p r a x e s a n d in v a r i o u s u n r e c o g n i z e d w a y s . Its p r e s e n c e c o u l d also b e i n f e r r e d f r o m a s p e c t s of b e h a v i o r w h i c h a p p e a r e d to b e c o n t r a r y to t h e i n d i v i d u a l ' s c o n s c i o u s d e s i r e s . H y p n o t i c t e c h n i c s w e r e a f r u i t f u l s o u r c e of d o c u m e n t a t i o n for this n o t i o n , a n d a l t h o u g h t h e r e h a s b e e n c o n s i d e r a b l e disa g r e e m e n t as to t h e n a t u r e of t h e u n c o n s c i o u s , it is a l m o s t u n i v e r s a l l y a c c e p t e d t h a t h u m a n b e h a v i o r is i n f l u e n c e d b y f o r c e s t h a t a r e o u t s i d e of i m m e d i a t e a w a r e n e s s . M a n y e a r l y t h e o r i s t s , n o t a b l y A d l e r a n d Jung, d i s a g r e e d w i t h t h e 179
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n a t u r e of the i n s t i n c t u a l forces, a n d la te r theorists, p a r t i c u l a r l y , l l a d o a n d t t o b b i n s , h a v e v i s u a l i z e d t h e u n c o n s c i o u s in a less m e c h a n i c a l f a s h i o n , COlas i d e r i n g it to b e a p r o c e s s w h i c h de a ls w i t h m e n t a l a c t i v i t y t h a t is t e m p o r a r i l y b u t n o t p e r m a n e n t l y out of a w a r e n e s s . R a d o has b e e n d i s s a t i s f i e d w i t h F r e u d ' s c o n c e p t of t h e u n c o n s c i o u s , w h i c h a p p e a r s to h i m like a d e p a r t m e n t of t h e m i n d w h i c h is " b e l o w " or " o u t s i d e " a w a r e n e s s a n d a p p e a r s to b e a n o t h e r , m y s t e r i o u s , m i n d : a t h i n g in itself. F r e u d a d o p t e d t h e m e t a p h y s i c a l c o n c e p t i o n of u n c o n s c i o u s m i n d , b a s i n g it a d m i t t e d l y u p o n K a n t ' s p h i l o s o p h y of das Ding an sich ( " t h e t h i n g in itself" w h i c h lies o u t s i d e t h e c o n d i t i o n s of p o s s i b l e e x p e r i e n c e ) . R a d o v i e w s t h e u n c o n s c i o u s as a "'non-reporting ( i n c o n t r a s t to t h e c o n s c i o u s m i n d wh,.'_cla is r e p o r t i n g ) o r g a n i z a t i o n of c a u s a t i v e links b e t w e e n pr oc e sse s of w h i c h w e are a w a r e . "'1 T h i s n o n - r e p o r t i n g l e v e l of a c t i v i t y a v o i d s t h e error of m a k i n g a "'t!aing in itself" of a n e x t r a p o l a t e d c o n c e p t a n d gives it r e a l o p e r a t i o n a l u s e f u l n e s s . T h e n o n - r e p o r t i n g l e v e l t h u s c o n t a i n s b e h a v i o r m e c h a n i s m s w h i c h h a v e b e c o m e autom a t i z e d as w e l l as s t o r e d u p m e m o r i e s or o t h e r c o m p l e x s e q u e n c e s like m u l t i p l i c a t i o n tables, etc., w h i c h are m a i n t a i n e d for e f f i c i e n c y p u r p o s e s . In a d d i tion, it c o n t a i n s r e p r e s s e d or p a i n f u l m e m o r i e s a n d a v a r i e t y of a b a n d o n e d a d a p t i v e p a t t e r n s of c h i l d h o o d . It a p p e a r s to b e a m o s t u s e f u l c l a r i f i c a t i o n of the c o n c e p t of u n c o n s c i o u s a n d goes m u c h f u r t h e r t h a n F r e u d ' s n o t i o n of t h e p r e c o n s c i o u s in spite of the c r i t i c i s m l e v e l l e d at it f r o m the p o i n t of v i e w of its s u p e r f i c i a l i t y . B e r n a r d R o b b i n s 2 has r a i s e d e v e n s t r o n g e r d o u b t s a b o u t the w d i d i t y of t h e c o n c e p t s w h i c h p e r m i t ideas, a t t i t u d e s a n d f e e l i n g s to b e e n c a p s u l a t e d a n d o u t s i d e t h e i n f l u e n c e of t i m e or c h a n g e . H e sugge sts t h a t this is i m p o s s i b l e , s i n c e all h u m a n p r o c e s s e s p a r t i c i p a t e in the c h a n g e w h i c h t i m e a n d e x p e r i e n c e p r o d u c e a n d t h a t a p a t i e n t ' s r e a c t i o n s a n d e m o t i o n s a r e a l w a y s p a r t of his co n sc i o u s e x i s t e n c e a n d a l w a y s a p p r o p r i a t e , sinc e t h e y reflect the w a y t h e ind i v i d u a l is l o o k i n g at t h e w o r l d at t h a t time. An i n a p p r o p r i a t e a t t i t u d e or fee]i n g is u n d e r s t a n d a b l e in t e r m s of t h e i n d i v i d u a l ' s c u r r e n t d i s t o r t i o n s of t h e r e a l w o r l d , r a t h e r t h a n a r e s i d u e of a n e a r l y i n a p p r o p r i a t e r e s p o n s e to a p a r e n t a l figure. A l t h o u g h h e r e c o g n i z e d t h a t w e are i n f l u e n c e d b y "out of a w a r e ness'" f e e l i n g s a n d a t t i t u d e s , h e felt t h a t t h e y w e r e n e i t h e r t i m e e x e m p t n o r i n c a p a b l e of b e i n g a l t e r e d .
Contradictory hnplications of the Unconscious I w o u l d like to e x a m i n e s o m e of t h e i m p l i c a t i o n s of F r e u d ' s c o n c e p t of t h e u n c o n s c i o u s a n d its u n f o r t u n a t e c o n s e q u e n c e s for p s y c h o a n a l y t i c t h e o r y a n d p r a c t i c e . It was" t h e p r a c t i c e of F r e u d a n d m a n y of his f o l l o w e r s to a s s i g n t h e l a b e l of u n c o n s c i o u s to c e r t a i n forces w h i c h c o u l d not b e i d e n t i f i e d in consciousness. F o r e x a m p l e , i f it w e r e n o t e d t h a t an i n d i v i d u a l m a n i f e s t e d b e h a v i o r w h i c h a p p e a r e d to b e g u i l t a p p e a s i n g , or self p u n i s h i n g , it w a s ass u m e d t h a t h e h a d u n c o n s c i o u s f e e l i n g s of guilt if t h e b a s i s of s u c h b e h a v i o r c o u l d n o t b e i d e n t i f i e d in consciousne ss. T h i s g a v e rise to a c l u s t e r of c o n c e p t s s u c h as u n c o n s c i o u s guilt, u n c o n s c i o u s hostility, u n c o n s c i o u s a n x i e t y , l a t e n t h o m o s e x u a l i t y , u n c o n s c i o u s n e e d to fail, etc., etc. L i k e o t h e r o c c u p a n t s of th e u n c o n s c i o u s , t h e i r p r e s e n c e c o u l d o n l y b e i d e n t i f i e d b y i n t e r p r e t a t i o n s of
GUILT, RESPONSIBILITY
AND TItE UNCONSCIOUS
18]_
m a n i f e s t behavior.. A t t i m e s t h e s e m i x e d c o n c e p t s r a n into c o n t r a d i c t i o l l s s u c h as in u n c c n s e i o u s a n x i e t y o1" guilt, In e t h e r i n s t a n c e s , t h e e x i s t e n c e of s u c h f o r c e s c o u l d b e d o c u m e n t e d o n l y b y a p r i o r a c c e p t a n c e of o t h e r u n v a l i d a t e d c o n c e p t i o n s like tile d e a t h instinct. F r e u d h a d s e r i o u s c o n c e r n s a b o u t this m a t t e r h i m s e l f . In t h e "'Ego a n d t h e [ d " lie said, "'We t h e n c o m e to s p e a k in a e o n d e n s e d a n d n o t e n t i r e l y c o r r e c t m a n n e r , of ' u n c o n s c i o u s f e e l i n g s ' to k e e p u p an a n a l o g y w i t h u n c o n s c i o u s i d e a s w h i c h is n o t a l t o g e t h e r justifiable. ''a F u r t h e r in t h a t s a m e b o o k h e said, "'But this n e w e r d i s c o v e r y w h i c h c o m p e l s us, in s p i t e of o u r c r i t i c a l f a c u l t i e s to s p e a k of a n " u n c o n s c i o u s s e n s e o f guilt'. "'4 M i x e d c o n c e p t s like l a t e n t o r u n c o n s c i o u s a n x i e t y a r e b y d e f i n i t i o n i m p o s sible, s i n c e a n x i e t y is d e f i n e d as a felt s t a t e of m i n d a n d this c a n n o t b e u n c o n scious. T h i s c r i t i c i s m a p p l i e s to t h e n o t i o n s of u n c o n s c i o u s h o s t i l i t y as well as u n c o n s c i o u s guilt. I h a v e d e a l t w i t h this p r o b l e m in d e t a i l in a p a p e r on "'The C o n c e p t of L a t e n t H o m o s e x u a l i t y . "'5 In s p i t e of t h e s e o b v i o u s c o n t r a d i c t i o n s , t h e s e c o n c e p t s h a v e p l a y e d a m a j o r p a r t in t h e p s y c h o a n a l y t i c c o n c e p t i o n s of g u i l t a n d its r a m i f i c a t i o n s in t h e t h e o r y of m a s o c h i s m a n d p s y c h o p a t h i c behavior. It is a p p a r e n t t h a t m u c h h u m a n b e h a v i o r is self d e f e a t i n g a n d self d e s t r u c t i v e a n d t h a t s u c h b e h a v i o r o f t e n r e s u l t s in r e p e a t e d f a i l u r e s or s u c c e s s i v e p u n i t i v e r e s p o n s e s f r o m t h e c o m m u n i t y . In t h e f r a m e w o r k of a c o n c e p t s u c h as t h e p l e a s u r e p r i n c i p l e , s u c h b e h a v i o r is i n c o m p r e h e n s i b l e . \5Zith t h e f o r m u l a t i o n of a d e a t h instinct, h o w e v e r , s u c h a c t i v i t y is e a s i l y u n d e r s t a n d a l ) l e as t h e d i r e c t e v i d e n c e of t h e a c t i v i t y of t h e instinct. T h e effect of t h e d e a t h i n s t i n c t h y p o t h e s i s a n d u n c o n s c i o u s g u i l t a n d t h e " n e e d to fail" w a s to r e s t r i c t a n d close off f u r t h e r e f f o r t s to u n d e r s t a n d s u c h b e h a v i o r , r a t h e r t h a n to e l u c i d a t e or o p e n s u c h b e h a v i o r to c l a r i f i c a t i o n a n d c o r r e c t i o n . T h e d e a t h i n s t i n c t h y p o thesis h a s b e e n l a r g e l y d i s c r e d i t e d t h r o u g h a philosol?hical a n d t h e o r e t i c a l e l u c i d a t i o n of its p r e m i s e s ; b u t w e still cling e n e r g e t i c a l l y to s e c o n d level c o n c e p t s d e r i v e d f r o m it. W h a t a r e t h e a l t e r n a t i v e e x p l a n a t i o n s for m a s o c h i s t i c or p s y c h o p a t h i c b e h a v i o r ? I f w e a s s u n l e t h a t h u m a n b e h a v i o r is a d a p t i v e a n d a d j u s t i v e , w e c a n r e c o g n i z e t h a t m a s o c h i s t i c b e h a v i o r m a y b e an a t t e m p t a t m a s t e r y a n d a n a d j u s t i v e m a n e u v e r d e s i g n e d to d e a l w i t h c e r t a i n p e r s o n a l a n d social c o n d i t i o n s . I t m a y b e an a t t e m p t to d e a l w i t h f e e l i n g s of a l o n e n e s s or p o w e r l e s s n e s s . W h a t e v e r one's c o n c e p t i o n s of t h e d y n a m i c s or g e n e s i s of s u c h b e h a v i o r , it is a l w a y s an a c t i v i t y w h i c h t e n d s to b e r a t e , b e l i t t l e , or a c t i v e l y d e s t r o y t h e self or p a r t of tile self, in o r d e r to o b t a i n s o m e p s y c h i c r e w a r d or r e l i e f f r o m t e n s i o n . T h u s w e w o u l d n o t e t h a t s u c h b e h a v i e r is an i n t r i n s i c p a r t of all n e u r o s e s w h e r e self d e r o g a t o r y b e l a a v i o r fulfills s o m e p s y c h i c g o a l or t h a t it is t h e i n e v i t a b l e c o n s e q u e n c e of t h e n e u r o t i c ' s f a i l u r e to fulfill or a c h i e v e his i d e a l i z a t i o n . C o n s e q u e n t l y , w e c o u l d v i e w m a s o c h i s t i c b e h a v i o r as t h e lesser of t w o evils or t h e c o n s e q u e n c e of tile n e u r o t i c ' s i n a b i l i t y to fulfill his goals. T h e r e is no n e e d to p o s t u l a t e a "'need to fail" ~r a d e s t r u c t i v e instinct, b u t r a t h e r to e x a m i n e t h e a d a p t i v e a s p e c t s of t h e b e h a v i o r a n d to r e c o g n i z e t h a t c h a r a c t e r i s t i c of t h e n ~ u r o t i c p r o c e s s is t h e f a i l u r e of s u c h a c l a p t i v e devices w i t h c o n s e q u e n t self d e s t r u c t i o n in m i n o r or m a j o r w a y s . T h e m a s o c h i s t i c d e f e n s e is a p a r t i c u l a r l y e f f e c t i v e w a y of d e a l i n g ~;¢ith
182
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c e r t a i n p r o b l e m s of existence, n a m e l y , guilt, helplessness a n d powerlessness. 6 A l t h o u g h it a p p e a r s to b e "'unconscious guilt s e e k i n g for p u n i s h m e n t , " t h e guilt is often s e c o n d a r y to t h e b r a z e n , e x p l o i t a t i v e a n d r i g h t e o u s l y i n d i g n a n t beh a v i o r p a t t e r n s of t h e m a s o c h i s t i c c h a r a c t e r s t r u c t u r e . T h u s t h e iaaasochist a p p e a r s to b e s o m e o n e who, like t h e p s y c h o p a t h , feels c h e a t e d a n d a b u s e d a n d is a t t e m p t i n g to g e t justice a n d c o m p e n s a t i o n for his claims. This m a y freq u e n t l y p r o d u c e sadistic r e j o i n d e r s f r o m t h e comnaunity. T h e usefulness of this d e f e n s e in d e a l i n g w i t h feelings of p o w e r l e s s n e s s d e p e n d s u p o n m a n ' s cont i n u e d belief in p r i m i t i v e m a g i c a n d its p o w e r s of expiation, as well as on t h e h u m a n belief a n d p r o p e n s i t y to s t i m u l a t e a n o t h e r h u m a n b e i n g to b e n e v o l e n t action b y t h e a p p e a l of helplessness a n d suffering. This is similar to t h e b e h a v i o r of s o m e a n i m a l s who, w h e n helpless in a fight w i t h an e n e m y , p r e s e n t t h e i r m o s t v u l n e r a b l e a r e a to t h e e n e m y a n d t h u s e s c a p e u n h a r m e d . T h e m a s o c h i s t h o p e s b y t h e a p p e a l of his suffering to s t i m u l a t e b e n e v o l e n c e a n d fulfill his d e m a n d s . Like t h e acts of m o r t i f i c a t i o n of t h e saints of e a r l y C h r i s t i a n i t y , t h e m a s o c h i s t hopes to g a i n h i g h e r r e w a r d s t h r o u g h his suffering. T h u s m a s o c h i s m can demonstrate the process of h u m a n b e h a v i o r w h i c h appears to b e p u n i s h m e n t seeking, y e t a c t u a l l y is r e w a r d seeking. Like n e u r o t i c b e h a v i o r in general, it is distorted and does not achieve its expected results.
Psychopathic Behavior T h e r e is a n o t h e r v a r i e t y of d i s t o r t e d h u m a n b e h a v i o r w h i c h has fallen p r e y to t h e o v e r s i m p l i f i e d e x p l a n a t i o n of t h e d e a t h i n s t i n c t or t h e n e e d to fail or to be p u n i s h e d . This is t h e c a t e g o r y of the asocial, anti-social, or t h e p s y c h o p a t h i c b e h a v i o r d i s o r d e r s . A m a j o r issue has b e e n m a d e of t h e r e p e t i t i v e t e n d e n c y of s o m e p s y c h o p a t h s to a r r a n g e their behav,.'or so t h a t t h e y are ine v i t a b l y a p p r e h e n d e d a n d p u n i s h e d . T h i s w a s a s s u m e d to b e d e r i v e d from their u n c o n s c i o u s wishes for s u c h p u n i s h m e n t . S u c h an e x p l a n a t i o n does not take sufficient c o g n i z a n c e of t h e l a r g e r n u m b e r of p s y c h o p a t h s w h o n e v e r get c a u g h t , or w h o a r e c u l t u r a l l y a c c e p t a b l e , a n d thus are a m p l y r e w a r d e d for their p s y c h o p a t h y . N e i t h e r does it a d e q u a t e l y explain t h e extensive v a r i e t y of such b e h a v i o r w h i c h derives f r o m a n u m b e r of sources t o t a l l y u n r e l a t e d to a n e e d for p u n i s h m e n t . I t i s o f t e n clear t h a t t h e f a i l u r e of p s y c h o p a t h i c b e h a v i o r is m o r e closely r e l a t e d to l o w i n t e l l i g e n c e a n d t h e p o o r p l a n n i n g of anti-social activities w h i c h l e a d t o carelessness a n d u n n e c e s s a r y risks in c a r r y i n g o u t t h e crimes. Most o f t e n t h e g r a n d i o s i t y of t h e p s y c h o p a t h w h i c h c h a r a t e r i z e s his neurosis t h e f e e l i n g of s p e c i a l p r i v i l e g e a n d e x e m p t i o n from n a t u r a l law of c a u s e a n d effect explains h i s t e n d e n c y to b e a p p r e h e n d e d . P s y c h o p a t h s c o n c e i v e of t h e m s e l v e s as c l e v e r a n d i m m u n e to t h e c o n s e q u e n c e s w h i c h befall t h e ordin a r y m o r t a l . T h e i r g r a n d i o s i t y is o f t e n so e x t r e m e t h a t t h e y e x p e c t to e v a d e the skills of experts a n d ,viii r e p e a t activities w h i c h i n v a r i a b l y e n t r a p them. S u c h b e h a v i o r is v e r y striking in c e r t a i n t y p e s of p s y c h o p a t h s as it is in o t h e r g r a n d i o s e states like p a r a n o i a . F o r example, a y o u n g p a r a n o i d patient w h o h a d a delusion of b e i n g t h e " s e c o n d c o m i n g of C h r i s t " a t t e m p t e d to b r e a k t h r o u g h t h e police g u a r d a r o u n d tile P r e s i d e n t in o r d e r to p r e s e n t h i m with
CUILT~ RESPONSIBILITY
AND
THE
UNCONSCIOUS
183
t h e s o l u t i o n of t h e R u s s i a n p r o b l e m . H e wa s q u i c k l y s t o p p e d a n d s e n t to a m e n t a l h o spital. H e w as a s t o n i s h e d , f u r i o u s a n d a b a s h e d w h e n h e w a s n o t r e c o g n i z e d as the "Christ.'" H e w a s not s e e k i n g h o s p i t a l i z a t i o n , r a t h e r , h e exp e c t e d a c c l a m a t i o n a n d deification. His b e h a v i o r w a s d i c t a t e d b y his g r a n d i o s ity, not his d e s i r e for p u n i s h m e n t . T h i s s i t u a t i o n in m o r e s u b t l e a n d less d e l u sional t e r m s c h a r a c t e r i z e s a g r e a t d e a l of p s y c h o p a t h i c b e h a v i o r . T h u s , p u n i s h m e n t is a s e c o n d a r y , u n e x p e c t e d , a n d u n s o u g h t for c o n s e q u e n c e , r a t h e r t h a n a p r i m a r y goal. T h e i r b e h a v i o r , like t h a t of t h e m a s o c h i s t , is a d a p t i v e , alt h o u g h f r o m the c u l t u r a l p o i n t of view, h i g h l y m a l a d a p t i v e . Yet it s e e m s to b e a n a t t e m p t at solution of f e e l i n g s of u n w o r t h i n e s s , r a t h e r t h a n a n a t t e m p t to s e c u r e p u n i s h m e n t for u n c o n s c i o u s f e e l i n g s of guilt. It ha s b e c o m e a f a m i l i a r error to v i s u a l i z e t h e p s y c h o p a t h as b e i n g i n c a p a b l e of e x p e r i e n c i n g guilt. T h e f a c t s e e m s to b e t h a t h e has no g u i l t sinc e t h e r e is no r e a s o n for g u i l t as h e v i e w s t h e situation. A p p r e h e n s i o n , c o n v i c t i o n , i m p r i s o n m e n t , etc., ar e o n l y a c c i d e n t a l c o n s e q u e n c e s to s o m e d e f e c t in his p l a n n i n g , r a t h e r t h a n t h e feeli n g of justified r e m o r s e c o n c e r n i n g his g u i l t a n d p u n i s h m e n t . T h e effect of p u n i t i v e t r e a t m e n t on t h e p s y c h o p a t h is w e l l k n o w n for its i n e f f e c t u a l consequences. T h e difficulties in t h e t r e a t m e n t of t h e p s y c h o p a t h , as in states s u c h as t~aranoia, a l c o h o l i s m a n d o t h e r c o n d i t i o n s in w h i c h g r a n d i o s e i m m u n i t y f r o m n a t u r a l l a w p l a y s a l a r g e role, rests on the i n t r i n s i c n a t u r e of t h e illness as w e l l as o u r t h e r a p e u t i c deficiencies. I t h a s b e c o m e too f a s h i o n a b l e to c o n c l u d e t h a t t h e r a p y for t h e p s y c h o p a t h is iml?ossible b e c a u s e of his d e s i r e for p u n i s h m e n t a n d his i n a b i l i t y to r e l a t e to his t h e r a p i s t a n d b e n e f i t froln this e x p e r i e n c e . T h e i n a d e q u a t e a n d o f t e n a b s e n t m o t i v a t i o n for t r e a t m e n t h a s l e d us to c o n c l u d e i n c o r r e c t l y , t h a t t h e c o n d i t i o n is e i t h e r b a s i c a l l y c o n s t i t u t i o n a l or t h a t t h e d y n a m i c s a r e s u c h as to r e n d e r t h e m b e y o n d h m n a n i n t e r v e n t i o n . T h i s m y t h d e v e l o p e d a n d g r e w d e s p i t e c o n s i d e r a b l e e v i d e n c e to t h e c ontr a r y. P s y c h o p a t h s h a v e d e v e l o p e d a series of m a n e u v e r s to d e a l w i t h life t h a t rev o l v e a b o u t t h e i r i m m u n i t y f r o m social r e q u i r e m e n t s . T h i s s e e m s to s t e m f r o m a c o m b i n a t i o n of u t t e r d e s p a i r as to the ir c a p a c i t y for b e h a v i n g like h u m a n s a n d b e i n g b o u n d to h u m a n l i m i t a t i o n s . T h e g r a n d i o s i t y is o f t e n a w a y of d e n y i n g s u c h h u m a n l i m i t a t i o n s . It is n o t tr ue t h a t t h e y do n o t e x p e r i e n c e g u i l t or a n xiety. T h e y s i m p l y cu t off e v e r y i n t e r p e r s o n a l r e l a t i o n s h i p of signifi c a n c e at t h e root a n d t h u s a v o i d t h e d e v e l o p m e n t of a n x i e t y or guilt. T h n s t h e y m a y a p p e a r to b e i n v u l n e r a b l e to a n y i n f l u e n c e , a n d t h e y a r e m a s t e r s at m a k i n g i n d i v i d u a l s as w e l l as t h e i r t h e r a p i s t s feel like d a m n fools or u t t e r failures. T h e y often l e a d us on w i t h t h e i r c a p t i v a t i n g c h a r m a n d g l i b in te ll e c t u a l i t y , o n l y to d i s a p p o i n t us in t h e i r r e p e a t e d a n t i - s o c i a l b e h a v i o r . I n this lies t h e d i f f i c u l t y in t h e r a p y . H o w e v e r , it is not the p s y c h o p a t h ' s r i g i d i t y , or "'need to fail" t h a t is i n v o l v e d , b u t r a t h e r the r i g i d , r e i f i e d c o n c e p t s of t h e t h e r a p i s t w h o is b o u n d b y an i n f l e x i b l e t e c h n i c a n d u n y i e l d i n g theory. All p a t i e n t s m u s t b e m o t i v a t e d for t h e r a p y . S o m e m o r e , a n d s o m e less. So me p a t i e n t s h a v e sufficient trust in the ir c a p a c i t y to c h a n g e a n d s o m e f a i t h in t h e e n v i r o n m e n t to a c c e p t t h e m . T h e p s y c h o p a t h ha s little f a i t h in h i m s e l f a n d p r a c t i c a l l y no e x p e c t a t i o n of c o m m u n i t y a p p r o v a l . T h i s is f r e q u e n t l y the r e s u lt
184
ucoN SAWZMA~
of a backlog of communit), disapproval and p u n i s l u n e n t for his neurotic faihu'es. His is a compulsive failure and he undergoes a relentless self derogatory appraisal, w h i c h is reinforced by. the community. T h e grandiosity is an a d a p tive m a n e u v e r designed to deal with this extreme feeling of worthlessness. He constantly displays this aspect of his defensive system and he parries, charms and provokes the therapist. The p h o n y cleverness of the p s y c h o p a t h must be exposed, and the therapist must be p r e p a r e d to be disappointed w i t h o u t feeling despair a b o u t his value to the patient. The psychopath is looking for a closeness t h a t he is afraid of, and a trust which he is convinced no one will give him. It is not p u n i s h m e n t he wants, in spite of the fact that his behavior invariably stirs up rejection and punition. T h e p s y c h o p a t h and the masochist d e m o n s t r a t e the significance and, at the same time, the i n h e r e n t weakness of F r e u d ' s conception of the unconscious. T h e notion of an area of mental functioning entirely out of control of the individual and p o p u l a t e d bv forces and attitudes which are d e s t r u c t i v e (aggressive instincts), self defeating ( n e e d to fail, unconscious guilt), and anti-social, has lent s u p p o r t to the t e n d e n c y to feel relieved from responsibility for one's behavior. Bv assuming innate tendencies towards desh'uctiveness ~r the need to fail, etc., the individual often feels t h a t his behavior was visited upon him by heredity, etc. His responsibility is minimal and the t h e r a p e u t i c implications of such a philosophy often distract from the therapist's zeal in identifying lhe areas of responsibility. Such a concept encourages the foolish notion that l~ostility o u t w a r d l y m a n i f e s t e d is health), since it avoids the internalizatiol~ of this hostility w h i c h m a y lead to a depression or suicide. It encourages pessimistic attitudes t o w a r d s the potentialities of the t h e r a p e u t i c process and justifies the notion of the u n t r e a t a b i l i t y of some patients because they p r o d u c e a "negative t h e r a p e u t i c reaction." Philosophically, it encourages a view of man which is essentially destructive, and considers the humanistic and optimistic view of man as sentimental romanticism. T h e issue of responsibility for man's behavior, w h i c h is highlighted in existential philosophical and psychoanalytic theorizing is confused bv this notion of the unconscious. "Fhe recognition that there are forces o p e r a t i n g in our m e n t a l life that lie outside of imm e d i a t e awareness, which is the core of the concept of the unconscious, does not relieve the individual of responsibility for his action, b u t rather d e m a n d s t h a t such out-of-awareness attieudes be b r o u g h t into our consciousness, as F r e u d emphasized, so as to increase the control over our behavior, Our knowle d g e of these forces enables us to c o m p r e h e n d and often clarify the neurotic development, b u t can never serve as an excuse or justification for its presence. W e must thus clearly distinguish b e t w e e n guilt and responsibility. This will p e r m i t us to a c k n o w l e d g e the responsibility of the p a t i e n t for his neurotic disorder in contrast to b l a m i n g him and loading him with spurious guilt which serves to diminish responsibility. This is in contrast to the feelings of true guilt associated with real responsible remorse over unfulfilled and u n p r o d u c t i v e living. T h e concepts of "need to fail," etc., encourage in the mind of the therapist, as well as the patient, an irresponsible a t t i t u d e towards their unproductiveness which maintains and reinforces the neurotic pattern. W e can no
GUILT,
I~ESPONSIBILITY
AND
THE
UNCONSCIOUS
l'S,~
longer be satisfied with a psyclmlogical c o n c e p t w h i c h tends to t h r o w b l a m e or responsibility on our parents, or our h e r e d i t a r y , or our instinctual drives and unconsc.i,m~s motivations over which we have no control. W e must recognize that a l t h o u g h neurosis develops '~hrough a succession of life's experiences t h a t we f r e q u e n t l y have no control over, c o n t i n u i n g these p a t t e r n s in the n e u r o t i c w a y of life is the responsibility of the neurotic. O n l y b y m a k i n g him assume this'responsibility can we ever hope to influence the neurosis. This, of course, raises m a n y questions a b o u t the value of p u n i s h m e n t in n e u r o t i c oilsorders, since responsibility is still e q u a t e d with guilt in legal t e r m s . T
Reinterpretation of Guilt and Responsibility Guilt a n d responsibility r e p r e s e n t different orders of concern, a n d while related in an obvious way, t h e y should also be d i s t i n g u i s h e d in their p r o p e r realm. Responsibility is a concept that involves one's p a r t i c i p a t i o n in an e v e n t or activity, regardless of w h e t h e r such p a r t i c i p a t i o n is of m i n o r or major proportions. Responsibility is thus always implied u n d e r the r u b r i c of guilt. H o w ever, it is a well k n o w n psychological fact t h a t guilt m a y be assumed, or g u i l t y feelings expressed, w h e n there is no p a r t i c i p a t i o n or actual responsibility for an event. This fact is characteristic of m a n y patients with varied p s y c h i a t r i c disorders. C o n s e q u e n t l y , guilt is a j u d g m e n t , while responsibility is an issue d e t e r m i n e d in fact. T h e j u d g m e n t of guilt follows the elucidation of responsibility d e t e r m i n e d by the d e g r e e of participation w h e t h e r conscious, deliberate, or accidental, or as a result of a d i s o r d e r e d mind. In the consideration of guilt, other questions arise. Has it a n y rightful place in the science of psychology, or is it exclusively a moral question limited to the r e a l m of speculative p h i l o s o p h y or t h e o l o g y ? W h i l e F r e u d actively resisted a n y intrusion of m o r a l i t y into his psychological system, he used the concept of guilt very extensively. A l t h o u g h it was never precisely defined, it always had reference to feelings g e n e r a t e d by the disobedience to authority, or to hostility, or aggression q u a n t i t a t i v e l y u n a c c e p t a b l e to the super-ego. Thus, guilt, for F r e u d , was similar to the theological c o n c e p t of guilt as activity o p p o s e d to the authority, w h e t h e r the a u t h o r i t y is external or i n c o r p o r a t e d into the super-ego. This c o n c e p t h a d no relation ostensibly to responsibility, since these "guilt feelings" p r o v o k e d defensive m a n e u v e r s in the form of n e u r o t i c defenses or s y m p t o m s , and led to expiation rituals d e s i g n e d to avoid the guilt r a t h e r than to confront and o v e r c o m e it. T h e p r o b l e m s of responsibility w e r e f u r t h e r c o m p l i c a t e d b y F r e u d ' s deterministic a n d biological orientation. Since certain guilt feelings w e r e inevitable b e c a u s e of their instinctual origin, such as castration fears and the guilt arising out of the O e d i p a l conflict, how could the i n d i v i d u a l be b l a m e d for his aggressive or hostile feelings which g e n e r a t e d this guilt? T h e s e notions, c o u p l e d with the unconscious n a t u r e of these wishes a n d feelings, raised the whole issue of tree will versus psychic determinism. To the extent t h a t man's b e h a v i o r is d e t e r m i n e d , w h e r e is the e l e m e n t of choice which then p r e s u m e s responsibility? Does an instinct t h e o r y which defines aggression and hostility as innate, and considers deflections of these feelings as pathological, e n c o u r a g e the expression of hostility and con-
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s e q u e n t l y increase guilt feelings? T h e c o n c e p t of unc;onscious g~uilt ~eelings f u r t h e r clouds a n d complicates 1his entire matter, siaaee it implies t h a t individuals m a y not only feel guilt), w i t h o u t k~v~wing it, b u t t h a t they. h a v e an elaborat,e b e h a v i o r a | system b a s e d on it, w i t h o u t ;any a w a r e n e s s of responsibility for this behavior. F r e u d ' s basic f,ormulations raised more questions a b o u t guilt a n d responsibility for the courts t h a n they answered, while t h e y subs c r i b e d to m a n y of the theological views on guilt. T h e free will versus psychic d e t e r m i n i s m d i l e m m a faces the same circular reasoning w h e n it is v i e w e d in an e i t h e r / o r realm. \r~Zhile the concept of p s y c h i c d e t e r m i n i s m remains a basic formulation for the d e v e l o p m e n t of a science of psychology, it does not obviate man's ability to m a k e choices and decisions in spite of a n d with the help of, unconscious forces w h i c h p r e j u d i c e the choice. M u c h of the confusion arising out of F r e u d ' s view of guilt needs to be cleared away. Does the Existentialist view of guilt, w h i c h assumes a responsibility and a necessity for choice a n d action, illuminate this m a t t e r ? Here, guilt is a c o n s e q u e n c e of irresponsibility or "'bad faith" ( m a u v a i s foi) as Sartre calls it, r a t h e r t h a n v i c e versa. T h e n e o - F r e u d i a n g r o u p of p s y c h o a n a l y s t s have m a d e crucial contributions
to this question b y first distinguishing b e t w e e n t r u e guilt or pseudo, neurotic, or false guilt. A clear distinction is m a d e b e t w e e n guilt as a neurotic defensive m a n e u v e r , a n d guilt as an awareness of personal responsibility. T r u e guilt assmnes a personal responsibility for one's action, a n d a d e d i c a t e d interest in altering it, while false guilt would utilize all the neurotic evasions in order to m a i n t a i n the status quo w i t h o u t the assumption of r e s p o n s i b i l i t y for one's behavior. This gives us hints as to the u n d e r s t a n d i n g of the concept of guilt. Guilt, or rather, feelings of guilt, intrude themselves into the realm of p s y c h i a t r y b y virtue of their extensive i n v o l v e m e n t in h u m a n affairs, particularly in the area of the p a t h o l o g y of h u m a n behavior. T h e y b e c o m e areas for psychiatric s t u d y b e c a u s e t h e y are actively involved in the neurotic a n d psychotic process. H o w e v e r , the d e t e r m i n a t i o n o f b o t h types of guilt is totally outside the p s y c h i a t r i c realm, even t h o u g h it plays a significant role in psychopathology. Responsibility, on the other hand, is an issue for the p s y c h i a t r i s t at all times. T h e assumption of responsibility for one's b e h a v i o r and actions is a p r e r e q u i s i t e for the successful elaboration a n d clarification of one's role in living. O n l y then can p s y c h o t h e r a p y be beneficial, and decisive changes in one's living take place. H o w can w e o v e r c o m e the d i l e m m a of psychic d e t e r m i n i s m ? Does our awareness t h a t h u m a n b e h a v i o r is not entirely within the individual's volition a n d design run c o u n t e r to the responsibility that he bears for his actions? Do we b r i d g e the chasm b y a c k n o w i e d g i n g at the outset t h a t illness, w h e t h e r it be physical or mental, bears both personal as well as c o m m u n i t y responsibility? Polio, as well as schizophrenia, is. d e p e n d e n t on the e n v i r o m n e n t and cultural situation. Thus, the issue of exclusive personal responsibility m u s t be seriously q u e s t i o n e d and p e r h a p s a b a n d o n e d . ~vVe do recognize the notion of degrees of responsibility, w h i c h is p a r t i a l l y personal and partially accidental. In m a n y neurotic difficulties, the p a t i e n t
i87
(,UIL'I, RESI' ONSItHLV[~/ AND THE UNCONSCIOUS
by virtue ,of his pattenas ,of defense may become revolved in actwltles which range from the extreme ,of self destructive performances to those which are aimed entirely at others. They represent for both ex~'emes reparative and adaptive attempts at solution of their neurosis. Whi~e society permits scm~e of these defenses to go ~mpunished and imposes severe punishment on others, this does not alter ,our conception of the nature ,of these behavioral tendencies, Punishment, however, is not very likely to influence ,either ,of these defensive types even though society demands it:. t sychoanalytlc theory, however, should represent the best efforts ,of a scientific methodology designed to uncover and elucidate the whys and wherefores of such behavior. ]it should avoid formulations which confuse legal necessities with moral philosophy or theological constructs with a naturalistic view of man. In this endeavor, the notio'.a of unconscious plays a major role and its nature and operation must be carefully elucidated, and precisely ~ornaulated. This still remains to be done, in the same way :as our knowledge of the ego and its functiens has markedly expanded
in the last forty years. REFERENCES 1. Rado, S.: Psychoanalysis of Behavior. New York, Crune & Stratton, Inc., 1956,
sexuality, Am, J. Psychoanalysis, 17: 161-169, 1957,
p. 182. Robbins, B. S.: The Myth of Latent Emotion. Psychotherapy, 1:3-29, 1955. Freud, S.: Collected Papers. London, Hogarth Press, 1927, p. 26. ~ : Collected Papers. London, Hogarth Press, 1927, p 33. Sa]zman, L.: The concept of latent homo-
6. --: Masochism a review of flaeory and therapy, iJ~ Individual and Familial l)ynamics. J. Massennan, editor, New York, Grune & Stratton~, Inc,, 1959. 7. ~ : Guilt and responsibility. Bull. of tile Annual Meeting of the M. Sot., St. Elizabeths Hospital, Washington, D. C., 1959.
2. 3. 4. 5.
Leon, Salzman, M.D., Associate Professor of Clinical PsycMatry, Georgetown University Medical School; Visiting Lecturer, Medical College of Virginia Catholic University Graduate School; Member of the Faculty, Was'hington School of Psychiatr~]; Trustee, Academy of P~choanahtsis.