Sunday, February 27, 2011
School of Arts and Sciences
Communication Arts Department
SYLLABUS Spring, 2010 - 2011
Course Code: COMM200 (A) M.W. 08:00 – 09:15
Course Title: Introduction to Communication Studies (B) T.Th. 08:00 – 09:15
Instructor: H. Choubassi
Office Hours: MW: 11:00 – 12:30 TTh: 11:00 – 14:00
This course introduces students to the central concepts of image theories in communication and the operation of the media industries. It is an introduction to the history, structure, process and social environment of each medium in the communication industry; an overview of the emerging technology in mass media and its social impact. It is a study of the development, principles and effects of prints, PR, advertising, radio, TV, film and computer-generated communication. Particular attention will be given to the Lebanese and Arab communication media tools and their relations to the historical, sociopolitical aspect on the local level.
The purpose of this course is to provide the basic concepts and understandings of the theory of image in mass communication industries, defined as the tools of communication exchange, manipulation and mass deception as determinant of the sociopolitical orientation. The overall goal is to develop an understanding of the process and tools of mass communication industries and their political background. Considering that the basis of mass communication tools are the product of social, political and ideological structures and disciplines; we will be analyzing theories of mass communication in their socio-historical context.
Specifically we will aim to:
*Develop understanding of the mass communication tools process.
*Appreciate the diversity of mass communication institutes from different cultures and different political orientations and opinions.
*Encourage analytical skills in examining mass communication theories.
*Understand how socio-historical changes and technological evolution influences mass communication theories and vice versa.
-In this course, you must be prepared to read works of politics, literature and arts critically, intellectually, and analytically, be able to express these ideas both orally and in written forms.
-Attendance of all class sessions is mandatory as per university rules and regulations.
-Continuous classroom discussions and critique contributes greatly to the learning process of the whole class. Special attention will be paid to discussing mass communication theories.
-Research project resulting in a term paper to be presented at the end of the semester. Your research may be on any approved topic concerning mass communication theories.
-In grading, emphasis is placed on seriousness of purpose, rate of progress, besides the degree of achievement of course objectives.
Exam I 15%
Projects & Presentations 15%
Midterm exam 20%
Final exam 25%
Research paper 15%
Attendance & participation 10%
I: Semiotics (semiology):
Introductory models & basic concepts (F. de Saussure):
-The sign: Signifier/Signified
-Semiotics and culture: Denotation/Connotation
Second and third-order signification (R. Barthes)
*-“Myth Today” by Roland Barthes
Structuralism and Post-Structuralism
II: Mass Media; Modern and Post-Modern
-Global reach of the media
*-“The work of art in the age of Mechanical reproduction” (1938) by Walter Benjamin
The aura of the uncanny:
Post-mortem photography of the Victorian era (Memento Mori)
*"The uncanny" by Sigmund Freud
The uncanny valley of Masahiro Mori
-The media’s social impact
*-“Simulacra and simulations” by Jean Baudrillard
*Screening: “The Matrix” a film by Larry & Andy Wachowski
III: The print Media: (Presentations)
IV: Mass Media influence and effect
*-“The influence and effects of mass media” by Denis McQuail
-Historic press freedoms: a study of the paradoxical press role during the student’s revolution of 1968 in France. (Research and presentation by students)
V: The Visual Electronics, TV, Video and Film
-Television entertainment / News
*-“Welcome to the desert of the real” (2001) by Slavoj Zizek
*-“Wars that Never Take Place: Non-events, 9/11 and Wars on Terrorism" by Binoy Kampmark
- TV, Cable TV, satellite and Live broadcast
-Video as banality
-Photographic and graphic communication
-The film: commercial and artistic
VI: Persuasion and deception
*-“The culture industry: Enlightenment as mass deception” (1944) by Theodor Adorno & Max Horkheimer
VII: Communication Worldwide
-International mass communications
*-“Media professionalism in the third world: The transfer of an ideology” by Peter Golding
School of Arts and sciences
Communication Arts Department
Course Code: COMM255 (A) M.W. 9:30 – 10:45
Course Title: Theories of Mass Media (B) T. Th. 9:30 – 10:45
Instructor: H. Choubassi
Office Hours: MW: 11:00 – 12:30 TTh: 11:00 – 14:00
This course examines the role of mass media in modern societies and the effects of media institutions and messages on individuals, communities and society. It is an introduction to the social responsibilities of the mass communicator in Lebanon, the Middle East, and the world. An examination of the mass media in terms of the social, political and economic forces which influence and shape them, the development, process, principles and effects of print, PR, advertising, radio, TV, film, satellite and computer assisted communication.
By the end of the course, Students will have an understanding of the important areas of mass communication research and theory, they will learn to be more sophisticated consumers of information and the media and gain an understanding of the structures and processes of mass communication: print, broadcast, online media, and advertising. Students are introduced to theories of mass communication and will experiment with the various media through introductory projects covering the basic media forms. They will be able to understand theories and research about media effects, analyze how media consumption habits affect thinking and behavior. They will apply theories and research about media effects to professional practice and they will critically evaluate the appropriateness of study designs and data analysis techniques used in media research studies.
-In this course, you must be prepared to read works of politics, literature and arts critically, intellectually, and analytically, be able to express these ideas both orally and in written forms.
-Attendance of all class sessions is mandatory as per university rules and regulations.
-Continuous classroom discussions and critique contributes greatly to the learning process of the whole class. Special attention will be paid to discussing how mass communication theories and researches can and is used by media practitioners in the real world.
-Research about a subject concerning mass communication; techniques, history or functionality, in the form of a written paper to be presented at the end of the semester
-In grading, emphasis is placed on seriousness of purpose, rate of progress, besides the degree of achievement of course objectives.
Exam I 15%
Projects & Presentations 15%
Midterm exam 20%
Final exam 25%
Research paper 15%
Attendance & participation 10%
I: Semiotics (semiology)
Introductory & basic concepts
Modernity and modernization
*Screening: “Metropolis” a film by Fritz Lang
*-“All that is solid melts into air: introduction” by Marshall Berman
Old Testament: Chapter one of Ecclesiastes
Hubert Robert: Louvre gallérie en ruines, salon de Paris 1767 (1798)
Paul Eluard: Adieu Tristesse
Charles Baudelaire: Le Spleen de Paris
Arthur Rimbaud: Une saison en enfer
Paul Auster: In the country of last things
II: An overview of mass media research
Mass Media theories
Mass Communication as a social science
III: The loss of individuality
Influencing political attitudes and behavior.
*-“One-dimensional man” by Herbert Marcuse
IV: Societies of spectacle
*-"The Society of Spectacle" by Guy Debord
Mass Communication and the Community
The rise of mass society theory (the global village)
*-“Myth and mass media” by Marshall McLuhan
*-"On Television" by Pierre Bourdieu
In front of the camera and behind the scenes
Invisible structures and their effects
The language of new media (software, database and fragmentation)
*-“Deep Remixability” by Lev Manovich
V: Communication Technology: reality, virtual and actual
Technological determinism as the drives of history
*-“Technological determinism in American culture” by Merritt Roe Smith
Technological pessimism and mass deception
*-“The idea of technology and postmodern pessimism” by Leo Marx
New technologies and mass media theory
*-“The art of the motor” by Paul Virilio
The understanding of ‘reality’ as ‘actual’ and ‘virtual’
Under globalization circumstances, the “virtual reality” is taking over the “actual reality” through “substitution”.
*-“The third interval: a critical transition in re-thinking technologies” by Paul Virilio
VI: The Ephemeral Real and the Everlasting Image
The effect of contemporary technologies on the manifestation of the image of pop culture
*-“Cool memories” by Jean Baudrillard
The physical existence under globalization, an actual simulation of the body and nature
*-“Globalization and the manufacture of transient events: the body manufactured with letters” by Bilal Khbeiz.
It is only rarely that a psycho-analyst feels impelled to investigate the subject of aesthetics, even when aesthetics is understood to mean not merely the theory of beauty but the theory of the qualities of feeling. He works in other strata of mental life and has little to do with the subdued emotional impulses which, inhibited in their aims and dependent on a host of concurrent factors, usually furnish the material for the study of aesthetics. But it does occasionally happen that he has to interest himself in some particular province of that subject; and this province usually proves to be a rather remote one, and one which has been neglected in the specialist literature of aesthetics.
The subject of the 'uncanny' is a province of this kind. It is undoubtedly related to what is frightening — to what arouses dread and horror; equally certainly, too, the word is not always used in a clearly definable sense, so that it tends to coincide with what excites fear in general. Yet we may expect that a special core of feeling is present which justifies the use of a special conceptual term. One is curious to know what this common core is which allows us to distinguish as 'uncanny'; certain things which lie within the field of what is frightening.
As good as nothing is to be found upon this subject in comprehensive treatises on aesthetics, which in general prefer to concern themselves with what is beautiful, attractive and sublime; that is, with feelings of a positive nature; and with the circumstances and the objects that call them forth, rather than with the opposite feelings of repulsion and distress. I know of only one attempt in medico-psychological literature, a fertile but not exhaustive paper by Jentsch (1906). But I must confess that I have not made a very thorough examination of the literature, especially the foreign literature, relating to this present modest contribution of mine, for reasons which, as may easily be guessed, lie in the times in which we live; so that my paper is presented to the reader without any claim to priority.
In his study of the 'uncanny'; Jentsch quite rightly lays stress on the obstacle presented by the fact that people vary so very greatly in their sensitivity to this quality of feeling. The writer of the present contribution, indeed, must himself plead guilty to a special obtuseness in the matter, where extreme delicacy of perception would be more in place. It is long since he has experienced or heard of anything which has given him an uncanny impression, and he must start by translating himself into that state of feeling, by awakening in himself the possibility of experiencing it. Still, such difficulties make themselves powerfully felt in many other branches of aesthetics; we need not on that account despair of finding instances in which tee quality in question will be unhesitatingly recognized by most people.
Two courses are open to us at the outset. Either we can find out what meaning has come to be attached to the word 'uncanny' in the course of its history; or we can collect all those properties of persons, things, sense-impressions, experiences and situations which arouse in us the feeling of uncanniness, and then infer the unknown nature of the uncanny from what all these examples have in common. I will say at once that both courses lead to the same result: the uncanny is that class of the frightening which leads back to what is known of old and long familiar. How this is possible, in what circumstances the familiar can become uncanny and frightening, I shall show in what follows. Let me also add that my investigation was actually begun by collecting a number of individual cases, and was only later confirmed by an examination of linguistic usage. In this discussion, however, I shall follow the reverse course.
The German word 'unheimlich'is obviously the opposite of 'heimlich' ['homely'], 'heimisch' ['native'] the opposite of what is familiar; and we are tempted to conclude that what is 'uncanny' is frightening precisely because it is not known and familiar. Naturally not everything that is new and unfamiliar is frightening, however; the relation is not capable of inversion.
We can only say that what is novel can easily become frightening but not by any means all. Something has to be added to what is novel and unfamiliar in order to make it uncanny.
On the whole, Jentsch did not get beyond this relation of the uncanny to the novel and unfamiliar. He ascribes the essential factor in the production of the feeling of uncanniness to intellectual uncertainty; so that the uncanny would always, as it were, be something one does not know one's way about in. The better orientated in his environment a person is, the less readily will he get the impression of something uncanny in regard to the objects and events in it.
It is not difficult to see that this definition is incomplete, and we will therefore try to proceed beyond the equation 'uncanny' as 'unfamiliar'. We will first turn to other languages. But the dictionaries that we consult tell us nothing new, perhaps only because we ourselves speak a language that is foreign. Indeed, we get an impression that many languages are without a word for this particular shade of what is frightening.
I should like to express my indebtedness to Dr. Theodor Reik for the following excerpts:
Latin: (K.E. Georges, Deutschlateinisches buch, 1898). An uncanny place: locus suspectus; at an uncanny time of night: intempesta nocte.
Greek: (Rost's and Schenkl's Lexikons). Eeros (i.e., strange, foreign).
English: (from the dictionaries of Lucas, Bellows, Flumlgel and Muret-Sanders). Uncomfortable, uneasy, gloomy, dismal, uncanny, ghastly; (of a house) haunted; (of a man) a repulsive fellow.
French: (Sachs-Villatte). Inquiétant, sinistre, lugubre, mal à son aise.
Spanish: (Tollhausen, 1889). Sospechoso, de mal aguëro, lúgubre, siniestro.
The Italian and Portuguese languages seem to content themselves with words which we should describe as circumlocutions. In Arabic and Hebrew ‘uncanny’ means the same as ‘daemonic’, ‘gruesome’.
Let us therefore return to the German language. In Daniel Sanders’s Wörterbuch der Deutschen Sprache (1860, 1, 729), the following entry, which I here reproduce in full, is to be found
under the word ‘heimlich’. I have laid stress on one or two passages by italicizing them.
Heimlich, adj., subst. Heimlichkeit (pl. Heimlichkeiten): I. Also heimelich, heimelig, belonging to the house, not strange, familiar, tame, intimate, friendly, etc.
(a) (Obsolete) belonging to the house or the family, or regarded as so belonging (cf. Latin familiaris, familiar); Die Heimlichen, the members of the household; Der heimliche Rat (Gen. xli, 45; 2 Sam. xxiii, 23; I Chron. xii, 25; Wisd. viii. 4), now more usually Geheimer Rat [Privy Councillor].
(b) Of animals: tame, companionable to man. As opposed to wild, e.g., ‘Animals which are neither wild nor heimlich’, etc. ‘Wild animals … that are trained to be heimlich and accustomed to men.’ ‘If these young creatures are brought up from early days among men they become quite heimlich, friendly’ etc. — So also: ‘It (the lamb) is so heimlich and eats out of my hand.’ ‘Nevertheless, the stork is a beautiful heimelich bird.’
( c) Intimate, friendly comfortable; the enjoyment of quiet content, etc., arousing a sense of agreeable restfulness and security as in one within the four walls of his house. Is it still heimlich to you in your country where strangers are felling your woods?’ ‘She did not feel too heimlich with him.’ ‘Along a high, heimlich, shady path …, beside a purling, gushing and babbling woodland brook.’ ‘To destroy the Heimlichkeit of the home.’ ‘I could not readily find another spot so intimate and heimlich as this.’ ‘We pictured it so comfortable, so nice, so cosy and heimlich.’ ‘In quiet Heimlichkeit, surrounded by close walls.’ ‘A careful housewife, who knows how to make a pleasing Heimlichkeit (Häuslichkeit [domesticity]) out of the smallest means.’ ‘The man who till recently had been so strange to him now seemed to him all the more heimlich.’ ‘The protestant land-owners do not feel … heimlich among their catholic inferiors.’ ‘When it grows heimlich and still, and the evening quiet alone watches over your cell.’ ‘Quiet, lovely and heimlich, no place more fitted for the rest.’ ‘He did not feel at all heimlich about it.’ — Also, [in compounds] ‘The place was so peaceful, so lonely, so shadily-heimlich.’ ‘The in- and outflowing waves of the current, dreamy and lullaby-heimlich.’ Cf. in especial Unheimlich [see below]. Among Swabian Swiss authors in especial, often as a trisyllable: ‘How heimelich it seemed to Ivo again of an evening, when he was at home.’ ‘It was so heimelig in the house.’ ‘The warm room and the heimelig afternoon.’ ‘When a man feels in his heart that he is so small and the Lord so great — that is what is truly heimelig.’ ‘Little by little they grew at ease and heimelig among themselves.’ ‘Friendly Heimeligkeit.’ ‘ I shall be nowhere more heimelich than I am here.’ ‘That which comes from afar … assuredly does not live quite heimelig (heimatlich [at home], freundnachbarlich [in a neighbourly way]) among the people.’ ‘The cottage where he had once sat so often among his own people, so heimelig, so happy.’ ‘The sentinel’s horn sounds so heimelig from the tower, and his voice invites so hospitably.’ ‘You go to sleep there so soft and warm, so wonderfully heim’lig.’ — This form of the word deserves to become general in order to protect this perfectly good sense of the word from becoming obsolete through an easy confusion with II [see below]. Cf: ‘"The Zecks [a family name] are all ‘heimlich’." (in sense II) "’Heimlich’? … What do you understand by ‘heimlich’?" "Well, … they are like a buried spring or a dried-up pond. One cannot walk over it without always having the feeling that water might come up there again." "Oh, we call it ‘unheimlich’; you call it ‘heimlich’. Well, what makes you think that there is something secret and untrustworthy about this family"?"’ (Gutzkow).
- (d) Especially in Silesia: gay, cheerful; also of the weather.
II. Concealed, kept from sight, so that others do not get to know of or about it, withheld from others. To do something heimlich, i.e., behind someone’s back; to steal away heimlich; heimlich meetings and appointments; to look on with heimlich pleasure at someone’s discomfiture; to sigh or weep heimlich; to behave heimlich, as though there was something to conceal; heimlich love-affair, love, sin; heimlich places (which good manners oblige us to conceal) (1 Sam. V. 6. ‘The heimlich chamber’ (privy) (2 Kings x. 27.). Also, ‘the heimlich chair’. ‘To throw into pits or Heimlichkeiten’. — ‘Led the steeds heimlich before Laomedon.’ — ‘As secretive, heimlich, deceitful and malicious towards cruet masters … as frank, open, sympathetic and helpful towards a friend in misfortune.’ ‘You have still to learn what is heimlich holiest to me.’ ‘The heimlich art’ (magic). ‘Where public ventilation has to stop, there heimlich conspirators and the loud battle-cry of professed revolutionaries.’ ‘A holy, heimlich effect.’ ‘I have roots that are most heimlich. I am grown in the deep earth.’ ‘My heimlich pranks.’ ‘If he is not given it openly and scrupulously he may seize it heimlich and unscrupulously.’ ‘He had achromatic telescopes constructed heimlich and secretly.’ ‘Henceforth I desire that there should be nothing heimlich any longer between us.’ — To discover, disclose, betray someone’s Hleimlichkeiten; ‘to concoct Heimlichkeiten behind my back’. ‘In my time we studied Heimlichkeit.’ ‘The hand of understanding can alone undo the powerless spell of the Heimlichkeit (of hidden gold).’ ‘Say, where is the place of concealment … in what place of hidden Heimlichkeit?’ ‘Bees, who make the lock of Heimlichkeiten’ (i.e., sealing-wax). "learned in strange Heimlichkeiten’ (magic arts).
For compounds see above, Ic. Note especially the negative ‘un-‘: eerie, weird, arousing gruesome fear: ‘Seeming quite unheimlich and ghostly to him.’ ‘The unheimlich, fearful hours of night.’ ‘I had already long since felt an unheimich’, even gruesome feeling.’ ‘Now I am beginning to have an unheimlich feeling.’ … ‘Feels an unheimlich horror.’ ‘Unheimlich and motionless like a stone image.’ ‘The unheimlich mist called hill-fog.’ ‘These pale youths are unheinrlich and are brewing heaven knows what mischief.’ ‘"Unheimlich is the name for everything that ought to have remained ... secret and hidden but has come to light’ (Schelling).— ‘To veil the divine, to surround it with a certain Unheimlichkeit.’ — Unheimlich is not often used as opposite to meaning II (above).
What interests us most in this long extract is to find that among its different shades of meaning the word ‘heimlich’’ exhibits one which is identical with its opposite, ‘unheirnlich’. What is heimlich thus comes to be unheimlich. (Cf. the quotation from Gutzkow: ‘We call it "unheimlich"; you call it "heimlich".’) In general we are reminded that the word ‘heimlich’ is not unambiguous, but belongs to two sets of ideas, which, without being contradictory, are yet very different: on the one hand it means what is familiar and agreeable, and on the other. what is concealed and kept out of sight. ‘Unheimlich’ is customarily used, we are told, as the contrary only of the first signification of’ heimlich’, and not of the second. Sanders tells us nothing concerning a possible genetic connection between these two meanings of heimlich. On the other hand, we notice that Schelling says something which throws quite a new light on the concept of the Unheimlich, for which we were certainly not prepared. According to him, everything is unheimlich that ought to have remained secret and hidden but has come to light.
Some of the doubts that have thus arisen are removed if we consult Grimm’s dictionary. (1877, 4. Part 2, 873 ff.)
Heimlich; adj. and adv. vernaculus, occultus; MHG, heimelich, heimlich.
(P. 874.) In a slightly different sense: ‘I feel heimlich, well, free from fear.’ . . .
 (b) Heimlich is also used of a place free from ghostly influences … familiar, friendly, intimate.
(P. 875: ß) Familiar, amicable, unreserved.
From the idea of ‘homelike’, ‘belonging to the house’, the further idea is developed of
something withdrawn from the eyes of strangers, something concealed, secret; and this idea is expanded in many ways …
(P. 876.) ‘On the left bank of the lake there lies a meadow heimlich in the wood.’ (Schiller, Wilhelm Tell, 1. 4.) … Poetic licence, rarely so used in modern speech … Heimlich is used in conjunction with a verb expressing the act of concealing: ‘In the secret of his tabernacle he shall hide me heimlich.’ (Ps. xxvii. 5.) … Heimlich parts of the human body, pudenda … ‘the men that died not were smitten on their heimlich parts.’ (1 Samuel v. 12.) …
a. Officials who give important advice which has to be kept secret in matters of state are called heimlich councillors; the adjective, according to modern usage, has been replaced by geheim [secret] ... ‘Pharaoh called Joseph’s name "him to whom secrets are revealed"’ (heimlich councillor). (Gen. xli. 45.)
(P. 878.) 6. Heimlich, as used of knowledge — mystic, allegorical: a heimlich meaning, mysticus, divinus, occultus, figuratus.
(P. 878.) Heimlich in a different sense, as withdrawn from knowledge, unconscious … Heimlich also has the meaning of that which is obscure, inaccessible to knowledge … ‘Do you not see? They do not trust us; they fear the heimlich face of the Duke of Friedland.’ (Schiller, Wallensteins Lager, Scene 2.)
9. The notion of something hidden and dangerous, which is expressed in the last
paragraph, is still further developed, so that ‘heimlich’ comes to have the meaning usually ascribed to ‘unheimlich’. Thus: ‘At times I feel like a man who walks in the night and believes in ghosts; every corner is heimlich and full of terrors for him’. (Klinger, Theater, 3. 298.)
Thus heimlich is a word the meaning of which develops in the direction of ambivalence, until it finally coincides with its opposite, unheimlich. Unheimlich is in some way or other a sub-species of heimlich. Let us bear this discovery in mind, though we cannot yet rightly understand it, alongside of Schelling’s definition of the Unheimlich. If we go on to examine individual instances of uncanniness, these hints will become intelligible to us.
When we proceed to review things, persons, impressions, events and situations which are able to arouse in us a feeling of the uncanny in a particularly forcible and definite form, the first requirement is obviously to select a suitable example to start on. Jentsch has taken as a very good instance ‘doubts whether an apparently animate being is really alive; or conversely, whether a lifeless object might not be in fact animate’; and he refers in this connection to the impression made by waxwork figures, ingeniously constructed dolls and automata. To these he adds the uncanny effect of epileptic fits, and of manifestations of insanity, because these excite in the spectator the impression of automatic, mechanical processes at work behind the ’ordinary appearance of mental activity. Without entirely accepting this author’s view, we will take it as a starting point for our own investigation because in what follows he reminds us of a writer who has succeeded in producing uncanny effects better than anyone else.
Jentsch writes: 'In telling a story one of the most successful devices for easily creating uncanny effects is to leave the reader in uncertainty whether a particular figure in the story is a human being or an automaton and to do it in such a way that his attention is not focused directly upon his uncertainty, so that he may not be led to go into the matter and clear it up immediately. 'I'hat, as we have said, would quickly dissipate the peculiar emotional effect of the thing. E. T. A. Hoffmann has repeatedly employed this psychological artifice with success in his fantastic narratives.’
This observation, undoubtedly a correct one, refers primarily to the story of The Sand-Man" in Hoffmann’s Nachtstücken, which contains the original of Olympia, the doll that appears in the first act of Offenbach’s opera, Tales of Hoffmann. but I cannot think — and I hope most readers of the story will agree with me — that the theme of the doll Olympia, who is to all appearances a living being, is by any means the only, or indeed the most important, element that must be held responsible for the quite unparalleled atmosphere of uncanniness evoked by the story. Nor is this atmosphere heightened by the fact that the author himself treats the episode of Olympia with a faint touch of satire and uses it to poke fun at the young man’s idealization of his mistress. The main theme of the story is, on the contrary, something different, something which gives it its name, and which is always re-introduced at critical moments: it is the theme of the ‘Sand-Man’ who tears out children’s eyes.
This fantastic tale opens with the childhood recollections of the student Nathaniel. In spite of his present happiness, he cannot banish the memories associated with the mysterious and terrifying death of his beloved father. On certain evenings his mother used to send the children to bed early, warning them that ‘the Sand-Man was coming’; and, sure enough, Nathaniel would not fail to hear the heavy tread of a visitor, with whom his father would then be occupied for the evening. When questioned about the Sand-Man, his mother, it is true, denied that such a person existed except as a figure of speech; but his nurse could give him more definite information: ‘He’s a wicked man who comes when children won’t go to bed, and throws handfuls of sand in their eyes so that they jump out of their heads all bleeding. Then he puts the eyes in a sack and carries them off to the half-moon to feed his children. They sit up there in their nest, and their beaks are hooked like owls’ beaks, and they use them to peck up naughty boys’ and girls’ eyes with.’
Although little Nathaniel was sensible and old enough not to credit the figure of the Sand-Man with such gruesome attributes, yet the dread of him became fixed in his heart. He determined to find out what the Sand-Man looked like; and one evening, when the Sand-Man was expected again, he hid in his father’s study. He recognized the visitor as the lawyer Coppelius, a repulsive person whom the children were frightened of when he occasionally came to a meal; and he now identified this Coppelius with the dreaded Sand-Man. As regards the rest of the scene, Hoffmann already leaves us in doubt whether what we are witnessing is tee first delirium of the panic-stricken boy, or a succession of events which are to be regarded in thc story as being real. His father and the guest are at work at a brazier with glowing flames. The little eavesdropper hears Coppelius call out: 'Eyes here! Eyes here!' and betrays himself by screaming aloud. Coppelius seizes him and is on the point of dropping bits of red-hot coal from the fire into his eyes, and then of throwing them into the brazier, but his father begs him off and saves his eyes. After this the boy falls into a deep swoon; and a long illness brings his experience to an end. Those who decide in favour of the rationalistic interpretation of the Sand-Man will not fail to recognize in the child’s phantasy the persisting influence of his nurse’s story. The bits of sand that are to be thrown into the child’s eyes turn into bits of red-hot coal from the flames; and in both cases they are intended to make his eyes jump out. In the course of another visit of the Sand-Man’s, a year later, his father is killed in his study by an explosion. The lawyer Coppelius disappears from the place without leaving a trace behind.
Nathaniel, now a student, believes that he has recognized this phantom of horror from his childhood in an itinerant optician, an Italian called Giuseppe Coppola, who at his university town, offers him weather-glasses for sale. When Nathaniel refuses, the man goes on: ‘Not weather-glasses? not weather-glasses? also got fine eyes, fine eyes!’ The student’s terror is allayed when he finds that the proffered eyes are only harmless spectacles, and he buys a pocket spy-glass from Coppola. With its aid he looks across into Professor Spalanzani’s house opposite and there spies Spalanzani’s beautiful, but strangely silent and motionless daughter, Olympia. He soon falls in love with her so violently that, because of her, he quite forgets the clever and sensible girl to whom he is betrothed. But Olympia is an automaton whose clock-work has been made by Spalanzani, and whose eyes have been put in by Coppola, the Sand-Man. The student surprises the two Masters quarrelling over their handiwork. The optician carries off the wooden eyeless doll; and the mechanician, Spalanzani, picks up Olympia’s bleeding eyes from the ground and throws them at Nathaniel’s breast, saying that Coppola had stolen them from the student. Nathaniel succumbs to a fresh attack of madness, and in his delirium his recollection of his father’s death is mingled with this new experience. ‘Hurry up! hurry up! ring of fire!’ he cries. ‘Spin about, ring of fire — Hurrah! Hurry up, wooden doll! lovely wooden doll, spin about — .’ He then falls upon the professor, Olympia’s ‘father’, and tries to strangle him.
Rallying from a long and serious illness, Nathaniel seems at last to have recovered. He intends to marry his betrothed, with whom he has become reconciled. One day he and she are walking through the city market-place, over which the high tower of the Town Hall throws its huge shadow. On the girl’s suggestion, they climb the tower, leaving her brother, who is walking with them, down below. From the top, Clara’s attention is drawn to a curious object moving along the street. Nathaniel looks at this thing through Coppola’s spy-glass, which he finds in his pocket, and falls into a new attack of madness. Shouting ‘Spin about, wooden doll!’ he tries to throw the girl into the gulf below. Her brother, brought to her side by her cries, rescues her and hastens down with her to safety. On the tower above, the madman rushes round, shrieking ‘Ring of fire, spin about!’ — and we know the origin of the words. Among the people who begin to gather below there comes forward the figure of the lawyer Coppelius, who has suddenly returned. We may suppose that it was his approach, seen through the spy-glass, which threw Nathaniel into his fit of madness. As the onlookers prepare to go up and overpower the madman, Coppelius laughs and says: ‘Wait a bit; he’ll come down of himself.’ Nathaniel suddenly stands still, catches sight of Coppelius, and with a wild shriek ‘Yes! "fine eyes — fine eyes"!’ flings himself over the parapet. While he lies on the paving-stones with a shattered skull the Sand-Man vanishes in the throng.
This short summary leaves no doubt, I think, that the feeling of something uncanny is directly attached to the figure of the Sand-Man, that is, to the idea of being robbed of one’s eyes, and that Jentsch’s point of an intellectual uncertainty has nothing to do with the effect. Uncertainty whether an object is living or inanimate, which admittedly applied to the doll Olympia, is quite irrelevant in connection with this other, more striking instance of uncanniness. It is true that the writer creates a kind of uncertainty in us in the beginning by not letting us know, no doubt purposely, whether he is taking us into the real world or into a purely fantastic one of his own creation. He has, of course, a right to do either; and if he chooses to stage his action in a world peopled with spirits, demons and ghosts, as Shakespeare does in Hamlet, in Macbeth and, in a different sense, in The Tempest and A midsummer-Night’s Dream, we must bow to his decision and treat his setting as though it were real for as long as we put ourselves into this hands. But this uncertainty disappears in the course of Hoffmann’s story, and we perceive that he intends to make us, too, look through the demon optician’s spectacles or spy-glass — perhaps, indeed, that the author in his very own person once peered through such an instrument. For the conclusion of the story makes it quite clear that Coppola the optician really is the lawyer Coppelius and also, therefore, the Sand-Man.
There is no question therefore, of any intellectual uncertainty here: we know now that we are not supposed to be looking on at the products of a madman's imagination, behind which we, with the superiority of rational minds, are able to detect the sober truth; and yet this knowledge does not lessen the impression of uncanniness in the least degree. The theory of intellectual uncertainty is thus incapable of explaining that impression.
We know from psycho-analytic experience, however, that the fear of damaging or losing one's eyes is a terrible one in children. Many adults retain their apprehensiveness in this respect, and no physical injury is so much dreaded by them as an injury to the eye. We are accustomed to say, too, that we will treasure a thing as the apple of our eye. A study of dreams, phantasies and myths has taught us that anxiety about one's eyes, the fear of going blind, is often enough a substitute for the dread of being castrated. The self-blinding of the mythical criminal, Oedipus, was simply a mitigated form of the punishment of castration — the only punishment that was adequate for him by the lex talionis. We may try on rationalistic grounds to deny that fears about the eye are derived from the fear of castration, and may argue that it is very natural that so precious an organ as the eye should be guarded by a proportionate dread. Indeed, we might go further and say that the fear of castration itself contains no other significance and no deeper secret than a justifiable dread of this rational kind. But this view does not account adequately for the substitutive relation between the eye and the male organ which is seen to exist in dreams and myths and phantasies; nor can it dispel the impression that the threat of being castrated in especial excites a peculiarly violent and obscure emotion, and that this emotion is what first gives the idea of losing other organs its intense colouring. All further doubts are removed when we learn the details of their 'castration complex' from the analysis of neurotic patients, and realize its immense importance in their mental life.
Moreover, I would not recommend any opponent of the psycho-analytic view to select this particular story of the Sand-Man with which to support his argument that anxiety about the eyes has nothing to do with the castration complex. For why does Hoffmann bring the anxiety about eyes into such intimate connection with the father's death? And why does the Sand-Man always appear as a disturber of love? He separates the unfortunate Nathaniel from his betrothed and from her brother, his best friend; he destroys the second object of his love, Olympia, the lovely doll; and he drives him into suicide at the moment when he has won back his Clara and is about to be happily united to her. Elements in the story like these, and many others, seem arbitrary and meaningless so long as we deny all connection between fears about the eye and castration; but they become intelligible as soon as we replace the Sand-Man by the dreaded father at whose hands castration is expected.
We shall venture, therefore, to refer the uncanny effect of the Sand-Man to the anxiety belonging to the castration complex of childhood. But having reached the idea that we can make an infantile factor such as this responsible for feelings of uncanniness, we are encouraged to see whether we can apply it to other instances of the uncanny. We find in the story of the Sand-Man the other theme on which Jentsch lays stress, of a doll which appears to be alive. Jentsch believes that a particularly favourable condition for awakening uncanny feelings is created when there is intellectual uncertainty whether an object is alive or not, and when an inanimate object becomes too much like an animate one. Now, dolls are of course rather closely connected with childhood life. We remember that in their early games children do not distinguish at all sharply between living and inanimate objects, and that they are especially fond of treating their dolls like live people. In fact, I have occasionally heard a woman patient declare that even at the age of eight she had still been convinced that her dolls would be certain to come to life if she were to look at them in a particular, extremely concentrated, way. So that here, too, it is not difficult to discover a factor from childhood. But, curiously enough, while the Sand-Man story deals with the arousing of an early childhood fear, the idea of a ‘living doll’ excites no fear at all; children have no fear of their dolls coming to life, they may even desire it. The source of uncanny feelings would not, therefore, be an infantile fear in this case, but rather an infantile wish or even merely an infantile belief. There seems to be a contradiction here; but perhaps it is only a complication, which may be helpful to us later on.
Hoffmann is the unrivalled master of the uncanny in literature. His novel, Die Elixire des Teufels [The Devil’s Elixir], contains a whole mass of themes to which one is tempted to ascribe the uncanny effect of the narrative; but it is too obscure and intricate a story for us to venture upon a summary of it. Towards the end of the book the reader is told the facts, hitherto concealed from him, from which the action springs; with the result, not that he is at last enlightened, but that he falls into a state of complete bewilderment. The author has piled up too much material of the same kind. In consequence one’s grasp of the story as a whole suffers, though not the impression it makes. We must content ourselves with selecting those themes of uncanniness which are most prominent, and with seeing whether they too can fairly be traced back to infantile sources. These themes are all concerned with the phenomenon of the ‘double’, which appears in every shape and in every degree of development. Thus we have characters who are to be considered identical because they look alike. This relation is accentuated by mental processes leaping from one of these characters to another — by what we should call telepathy —, so that the one possesses knowledge, feelings and experience in common with the other. Or it is marked by the fact that the subject identifies himself with someone else, so that he is in doubt as to which his self is, or substitutes the extraneous self for his own. In other words, there is a doubling, dividing and interchanging of the self. And finally there is the constant recurrence of the same thing — the repetition of the same features or character-traits or vicissitudes, of the same crimes, or even the same names through several consecutive generations.
The theme of the ‘double’ has been very thoroughly treated by Otto Rank (1914). He has gone into the connections which the ‘double’ has with reflections in mirrors, with shadows, with guardian spirits, with the belief in the soul and with the fear of death; but he also lets in a flood of light on the surprising evolution of the idea. For the ‘double’ was originally an insurance against the destruction of the ego, an ‘energetic denial of the power of death’, as Rank says; and probably the ‘immortal’ soul was the first ‘double’ of the body. This invention of doubling as a preservation against extinction has its counterpart in the language of dreams, which is found of representing castration by a doubling or multiplication of a genital symbol. The same desire led the Ancient Egyptians to develop the art of making images of the dead in lasting materials. Such ideas, however, have sprung from the soil of unbounded self-love, from the primary narcissism which dominates the mind of the child and of primitive man. But when this stage has been surmounted, the ‘double’ reverses its aspect. From having been an assurance of immortality, it becomes the uncanny harbinger of death.
The idea of the ‘double’ does not necessarily disappear with the passing of primary narcissism, for it can receive fresh meaning from the later stages of the ego’s development. A special agency is slowly formed there, which is able to stand over against the rest of the ego, which has the function of observing and criticizing the self and of exercising a censorship within the mind, and which we become aware of as our ‘conscience’. In the pathological case of delusions of being watched, this mental agency becomes isolated, dissociated from the ego, and discernible to the physician’s eye. The fact that an agency of this kind exists, which is able to treat the rest of the ego like an object — the fact, that is, that man is capable of self-observation — renders it possible to invest the old idea of a ‘double’ with a new meaning and to ascribe a number of things to it — above all, those things which seem to self-criticism to belong to the old surmounted narcissism of earliest times.
But it is not only this latter material, offensive as it is to the criticism of the ego, which may be incorporated in the idea of a double. There are also all the unfulfilled but possible futures to which we still like to cling in phantasy, all the strivings of the ego which adverse external circumstances have crushed, and all our suppressed acts of volition which nourish in us the illusion of Free Will. [Cf. Freud, 1901b, Chapter XII (B).]
But after having thus considered the manifest motivation of the figure of a 'double', we have to admit that none of this helps us to understand the extraordinarily strong feeling of something uncanny that pervades the conception; and our knowledge of pathological mental processes enables us to add that nothing in this more superficial material could account for the urge towards defence which has caused the ego to project that material outward as something foreign to itself. When all is said and done, the quality of uncanniness can only come from the fact of the 'double' being a creation dating back to a very early mental stage, long since surmounted — a stage, incidentally, at which it wore a more friendly aspect. The 'double' has become a thing of terror, just as, after the collapse of their religion, the gods turned into demons.
The other forms of ego-disturbance exploited by Hoffmann can easily be estimated along the same lines as the theme of the ‘double’. They are a harking-back to particular phases in the evolution of the self-regarding feeling, a regression to a time when the ego had not yet marked itself off sharply from the external world and from other people. I believe that these factors are partly responsible for the impression of uncanniness, although it is not easy to isolate and determine exactly their share of it.
The factor of the repetition of the same thing will perhaps not appeal to everyone as a source of uncanny feeling. From what I have observed, this phenomenon does undoubtedly, subject to certain conditions and combined with certain circumstances, arouse an uncanny feeling, which, furthermore, recalls the sense of helplessness experienced in some dream-states. As I was walking, one hot summer afternoon, through the deserted streets of a provincial town in Italy which was unknown to me, I found myself in a quarter of whose character I could not long remain in doubt. nothing but painted women were to be seen at the windows of the small houses, and I hastened to leave the narrow street at the next turning. But after having wandered about for a time without enquiring my way, I suddenly found myself back in the same street, where my presence was now beginning to excite attention. I hurried away once more, only to arrive by another detour at the same place yet a third time. Now, however, a feeling overcame me which I can only describe as uncanny, and I was glad enough to find myself back at the piazza I had left a short while before, without any further voyages of discovery. Other situations which have in common with my adventure an unintended recurrence of the same situation, but which differ radically from it in other respects, also result in the same feeling of helplessness and of uncanniness. So, for instance, when, caught in a mist perhaps, one has lost one’s way in a mountain forest, every attempt to find the marked or familiar path may bring one back again and again to one and the same spot, which one can identify by some particular landmark. Or one may wander about in a dark, strange room, looking for the door or the electric switch, and collide time after time with the same piece of furniture -- though it is true that Mark Twain succeeded by wild exaggeration in turning this latter situation into something irresistibly comic.
If we take another class of things, it is easy to see that there, too, it is only this factor of involuntary repetition which surrounds what would otherwise by innocent enough with an uncanny atmosphere, and forces upon us the idea of something fateful and inescapable when otherwise we should have spoken only of ‘chance’. For instance, we naturally attach no importance to the event when we hand in an overcoat and get a cloakroom ticket with the number, let us say, 62; or when we find that our cabin on a ship bears that number. But the impression is altered if two such events, each in itself indifferent, happen close together — if we come across the number 62 several times in a single day, or if we begin to notice that everything which has a number — addresses, hotel rooms, compartments in railway trains — invariably has the same one, or at all events one which contains the same figures. We do feel this to be uncanny. And unless a man is utterly hardened and proof against the lure of superstition, he will be tempted to ascribe a secret meaning to this obstinate recurrence of a number; he will take it, perhaps, as an indication of the span of life allotted to him. Or suppose one is engaged in reading the works of the famous physiologist, Hering, and within the space of a few days receives two letters from two different countries, each from a person called Hering, though one has never before had any dealings with anyone of that name. Not long ago an ingenious scientist (Kammerer, 1919) attempted to reduce coincidences of this kind to certain laws, and so deprive them of their uncanny effect. I will not venture to decide whether he has succeeded or not.
How exactly we can trace back to infantile psychology the uncanny effect of such similar recurrences is a question I can only lightly touch on in these pages; and I must refer the reader instead to another work, already completed, in which this has been gone into in detail, but in a different connection. For it is possible to recognize the dominance in the unconscious mind of a 'compulsion to repeat' proceeding from the instinctual impulses and probably inherent in the very nature of the instincts — a compulsion powerful enough to overrule the pleasure principle, lending to certain aspects of the mind their daemonic character, and still very clearly expressed in the impulses of small children; a compulsion, too, which is responsible for a part of the course taken by the analyses of neurotic patients. All these considerations prepare us for the discovery that whatever reminds us of this inner 'compulsion to repeat' is perceived as uncanny.
Now, however, it is time to turn from these aspects of the matter, which are in any case difficult to judge, and look for some undeniable instances of the uncanny, in the hope that an analysis of them will decide whether our hypothesis is a valid one.
In the story of "The Ring of Polycrates’, The king of Egypt turns away in horror from his host, Polycrates, because he sees that his friend’s every wish is at once fulfilled, his every care promptly removed by kindly fate. His host has become ‘uncanny’ to him. His own explanation, that the too fortunate man has to fear the envy of the gods, seems obscure to us; its meaning is veiled in mythological language. We will therefore turn to another example in a less grandiose setting. In the case history of an obsessional neurotic, I have described how the patient once stayed in a hydropathic establishment and benefited greatly by it. He had the good sense, however, to attribute his improvement not to the therapeutic properties of the water, but to the situation of his room, which immediately adjoined that of a very accommodating nurse. So on his second visit to the establishment he asked for the same room, but was told that it was already occupied by an old gentleman, whereupon he gave vent to his annoyance in the words: ‘I wish he may be struck dead for it.’ A fortnight later the old gentleman really did have a stroke. My patient thought this an ‘uncanny’ experience. The impression of uncanniness would have been stronger still if less time had elapsed between his words and the untoward event, or if he had been able to report innumerable similar coincidences. As a matter of fact, he had no difficulty in producing coincidences of this sort; but then not only he but every obsessional neurotic I have observed has been able to relate analogous experiences. They are never surprised at their invariably running up against someone they have just been thinking of, perhaps for the first time for a long while. If they say one day 'I haven't had any news of so-and-so for a long time', they will be sure to get a letter from him the next morning, and an accident or a death will rarely take place without having passed through their mind a little while before. They are in the habit of referring to this state of affairs in the most modest manner, saying that they have 'presentiments' which 'usually' come true.
One of the most uncanny and wide-spread forms of superstition is the dread of the evil eye, which has been exhaustively studied by the Hamburg oculist Seligmann (1910-11). There never seems to have been any doubt about the source of this dread. Whoever possesses something that is at once valuable and fragile is afraid of other people's envy, in so far as he projects on to them the envy he would have felt in their place. A feeling like this betrays itself by a look even though it is not put into words; and when a man is prominent owing to noticeable, and particularly owing to unattractive, attributes, other people are ready to believe that his envy is rising to a more than usual degree of intensity and that this intensity will convert it into effective action. What is feared is thus a secret intention of doing harm, and certain signs are taken to mean that that intention has the necessary power at its commend.
These last examples of the uncanny are to be referred to the principle which I have called 'omnipotence of thoughts', taking, the name from an expression used by one of my patients. And now we find ourselves on familiar ground. Our analysis of instances of the uncanny has led us back to the old, animistic conception of the universe. This was characterized by the idea that the world was peopled with the spirits of human beings; by the subject's narcissistic overvaluation of his own mental processes; by the belief in the omnipotence of thoughts and the technique of magic based on that belief; by the attribution to various outside persons and things of carefully graded magical powers, or 'mama'; as well as by all the other creations with the help of which man, in the unrestricted narcissism of that stage of development, strove to fend off the manifest prohibitions of reality. It seems as if each one of us has been through a phase of individual development corresponding to this animistic stage in primitive men, that none of us has passed through it without preserving certain residues and traces of it which are still capable of manifesting themselves, and that everything which now strikes us as 'uncanny' fulfils the condition of touching those residues of animistic mental activity within us and bringing them to expression.
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 [‘homely’] into its opposite, das Unheimliche (p. 226); 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 [p. 224] of the uncanny as something which ought to have remained hidden but has come to light.
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 [p. 221] 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.
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.
Sic fühlt dass ich ganz sicher ein Genie,
Vielleieht sogar der Teufel bin.
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.
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 that 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 [home] 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 heimisch, familiar; the prefix ‘un’ [‘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 [unheimlich] is something which is secretly familiar [heimlich-heimisch], 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 [p. 244] 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 Phampsinitus, 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 [p. 239] 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 [p 237] 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 [rather than of the uncanny]? 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 [p. 242]?
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.
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 [the group dealt with in the previous paragraph]. 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 [rather than repressed]. 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 [The Prophecy] 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 [see p. 252]. 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 [p. 246] 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 [The Torn Man], 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 [pp. 246-7], 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.credits: This translation was originally made available for Mark Taylor's course on the Psychology of Religion [http://www.williams.edu/go/Religion/courses/Rel301/rea