[..]To understand the dynamics of the social process we must understand the dynamics of the psychological processes operating within the individual, just as to understand the individual we must see him in the context of the culture which moulds him. It is the thesis of this book that modern man, freed from the bonds of preindividualistic society, which simultaneously gave him security and limited him, has not gained freedom in the positive sense of the realization of his individual self; that is, the expression of his intellectual, emotional and sensuous
potentialities. Freedom, though it has brought him independence and rationality,has made him isolated and, thereby, anxious and powerless. This isolation is unbearable and the alternatives he is confronted with are either to escape from the burden of this freedom into new dependencies and submission, or to advance to the full realization of positive freedom which is based upon the uniqueness and individuality of man. Although this book is a diagnosis rather than a prognosis–an analysis rather than a solution–its results have a bearing on our course of action. For, the understanding of the reasons for the totalitarian flight from freedom is a premise for any action which aims at the victory over the totalitarian forces.
[..]Modern European and American history is centred around the effort to gain freedom from the political, economic, and spiritual shackles that have bound men. The battles for freedom were fought by the oppressed, those who wanted new liberties,against those who had privileges to defend. While a class was fighting for its own liberation from domination, it believed itself to be fighting for human freedom as such and thus was able to appeal to an ideal, to the longing for freedom rooted in all who are oppressed. In the long and virtually continuous battle for freedom, however, classes that were fighting against oppression at one stage sided with the enemies of freedom when victory was won and new privileges were to be defended. Despite many reverses, freedom has won battles. Many died in those battles in the conviction that to die in the struggle against oppression was better than to live without freedom. Such a death was the utmost assertion of their individuality. History seemed to be proving that it was possible for man to govern himself, to make decisions for himself and to think and feel as he saw fit. The full expression of man’s
potentialities seemed to be the goal towards which social development was rapidly approaching. The principles of economic liberalism, political democracy, religious autonomy, and individualism in personal life, gave expression to the longing for freedom, and at the same time seemed to bring mankind nearer to its realization.
One tie after another was severed. Man had overthrown the domination of nature and made himself her master; he had overthrown the domination of the Church and the domination of the absolutist state. The abolition of external domination seemed to be not only a necessary but also a sufficient condition to attain the cherished goal: freedom of the individual.The World War was regarded by many as the final struggle and its conclusion the ultimate victory for freedom. Existing democracies appeared strengthened, and new ones replaced old monarchies. But only a few years elapsed before new systems emerged which denied everything that men believed they had won in centuries of struggle. For the essence of these new systems, which effectively took command of man’s entire social and personal life, was the submission of all but a handful of men to an authority over which they had no control.
At first many found comfort in the thought that the victory of the authoritarian system was due to the madness of a few individuals and that their madness would lead to their downfall in due time. Others smugly believed that the Italian people, or the Germans, were lacking in a sufficiently long period of training in democracy, and that therefore one could wait complacently until they had reached the political maturity of the Western democracies. Another common illusion,perhaps the most dangerous of all, was that men like Hitler had gained power over the vast apparatus of the state through nothing but cunning and trickery, that they and their satellites ruled merely by sheer force; that the whole population was only the will-less object of betrayal and terror.
In the years that have elapsed since, the fallacy of these arguments has become apparent. We have been compelled to recognize that millions in Germany were as eager to surrender their freedom as their fathers were to fight for it; that instead of wanting freedom, they sought for ways of escape from it; that other millions were indifferent and did not believe the defence of freedom to be worth fighting and dying for. We also recognize that the crisis of democracy is not a peculiarly Italian or German problem, but one confronting every modern state. Nor does it matter which symbols the enemies of human freedom choose: freedom is not less endangered if attacked in the name of anti-Fascism or in that of outright
Fascism. This truth has been so forcefully formulated by John Dewey that I express the thought in his words: “The serious threat to our democracy”, he says,”is not the existence of foreign totalitarian states. It is the existence within our own personal attitudes and within our own institutions of conditions which have given a victory to external authority, discipline, uniformity and dependence upon The Leader in foreign countries. The battlefield is also accordingly here–within ourselves and our institutions.”
[..]These are the outstanding questions that arise when we look at the human aspect of freedom, the longing for submission, and the lust for power: What is freedom as a human experience? Is the desire for freedom something inherent in human nature? Is it an identical experience regardless of what kind of culture a person lives in, or is it something different according to the degree of individualism reached in a particular society? Is freedom only the absence of external pressure or is it also the presence of something–and if so, of what? What are the social and economic factors in society that make for the striving for freedom? Can freedom become a burden, too heavy for man to bear, something he tries to escape from? Why then is it that freedom is for many a cherished goal and for others a threat? Is there not also, perhaps, besides an innate desire for freedom, an instinctive wish for submission? If there is not, how can we account for the attraction which submission to a leader has for so many to-day? Is submission always to an overt authority, or is there also submission to internalized authorities, such as duty or conscience, to inner compulsions or to anonymous authorities like public opinion? Is there a hidden satisfaction in submitting, and what is its essence? What is it that creates in men an insatiable lust for power? Is it the strength of their vital energy–or is it a fundamental weakness and inability to experience life spontaneously and lovingly? What are the psychological conditions that make for the strength of these strivings? What are the social conditions upon which such psychological conditions in turn are based?
[..]Freud always considers the individual in his relations to others. These relations as Freud sees them, however, are similar to the economic relations to others which are characteristic of the individual in capitalist society. Each person works for himself, individualistically, at his own risk, and not primarily in co-operation with others. But he is not a Robinson Crusoe; he needs others, as customers, as employees, or as employers. He must buy and sell, give and take. The market, whether it is the commodity or the labour market, regulates these relations. Thus the individual, primarily alone and self-sufficient, enters into economic relations with others as means to one end: to sell and to buy. Freud’s
concept of human relations is essentially the same: the individual appears fully equipped with biologically given drives, which need to be satisfied. In order to satisfy them, the individual enters into relations with other “objects”. Other individuals thus are always a means to one’s end, the satisfaction of strivings which in themselves originate in the individual before he enters into contact with others. The field of human relations in Freud’s sense is similar to the market–it is an exchange of satisfaction of biologically gives and needs, in which the relationship to the oilier individual is always a means to an end but never an end in itself.Contrary to Freud’s viewpoint, the analysis offered in this book is based on the assumption that the key problem of psychology is that of the specific kind of relatedness of the individual towards the world and not that of the satisfaction or frustration of this or that instinctual need perse; furthermore, on the assumption that the relationship between man and society is not a static one. It is not as if we had on the one hand an individual equipped by nature with certain drives and on the other, society as something apart from him, either satisfying or frustrating these innate propensities. Although there are certain needs, such as hunger, thirst, sex, which are common to man, those drives which make for the differences in men’s characters, like love and hatred, the lust for power and the yearning for submission, the enjoyment of sensuous pleasure and the fear of it, are all products of the social process. The most beautiful as well as the most ugly inclinations of man are not part of a fixed and biologically given human nature, but result from the social process which creates man. In other words, society has not only a suppressing function–although it has that too–but it has also a creative function. Man’s nature, his passions, and anxieties are a cultural product; as a matter of fact, man himself is the most important creation and achievement of the continuous human effort, the record of which we call history. It is the very task of social psychology to understand this process of man’s creation in history. Why do certain definite changes of man’s character take place from one historical epoch to another? Why is the spirit of the Renaissance different from that of the Middle Ages? Why is the character structure of man in monopolistic capitalism different from that in the nineteenth century? Social psychology has to explain why new abilities and new passions, bad or good, come into existence. Thus
we find, for instance, that from the Renaissance up until our day men have been filled with a burning ambition for fame, while this striving which to-day seems so natural was little present in man of the medieval society.l In the same period men developed a sense for the beauty of nature which they did not possess before. Again, in the Northern European countries, from the sixteenth century on, man developed an obsessional craving to work which had been lacking in a free man before that period. But man is not only made by history–history is made by man. The solution of this
seeming contradiction constitutes the field of social psychology.Its task is to show not only how passions, desires, anxieties change and develop as a result of the social process, but also how man’s energies thus shaped into specific forms in their turn become productive forces, moulding the social process. Thus, for instance, the craving for fame and success and the drive to work are forces without which modern capitalism could not have developed; without these and a number of other human forces man would have lacked the impetus to act according to the social and economic requirements of the modern commercial and industrial system. It follows from what we have said that the viewpoint presented in this book differs from Freud’s inasmuch as it emphatically disagrees with his interpretation of history as the result of psychological forces that in themselves are not socially conditioned. It disagrees as emphatically with those theories which neglect the role of the human factor as one of the dynamic elements in the social process. This criticism is directed not only against sociological theories which explicitly wish to eliminate psychological problems from sociology (like those of Durkheim and his school), but also against those theories that are more or less tinged with behaviouristic
psychology. Common to all these theories is the assumption that human nature has no dynamism of its own and that psychological changes are to be understood in terms of the development of new “habits” as an adaptation to new cultural patterns. These theories, though speaking of the psychological factor, at the same time reduce it to a shadow of cultural patterns. Only a dynamic psychology, the foundations of which have been laid by Freud, can get further than paying lip service to the human factor. Though there is no fixed human nature, we cannot regard human nature as being infinitely malleable and able to adapt itself to any kind of conditions without developing a psychological dynamism of its own. Human nature, though being the product of historical evolution, has certain inherent mechanisms and laws, to discover which is the task of psychology.
At this point it seems necessary for the full understanding of what has been said so far and also of what follows to discuss the notion of adaptation. This discussion offers at the same time an illustration of what we mean by psychological mechanisms and laws. It seems useful to differentiate between “static” and “dynamic” adaptation. By static adaptation we mean such an adaptation to patterns as leaves the whole character structure unchanged and implies only the adoption of a new habit. An example of this kind of adaptation is the change from the Chinese habit of eating to the Western habit of using fork and knife. A Chinese coming to America will adapt himself to this new pattern, but this adaptation in itself has little effect on his personality; it does not arouse new drives or character traits.By dynamic adaptation we refer to the kind of adaptation that occurs, for example, when a boy submits to the commands of his strict and threatening father–being too much afraid of him to do otherwise–and becomes a “good” boy. While he adapts himself to the necessities of the situation, something happens in him. He may
develop an intense hostility against his father, which he represses, since it would be too dangerous to express it or even to be aware of it. This repressed hostility, however, though not manifest, is a dynamic factor in his character structure. It may create new anxiety and thus lead to still deeper submission; it may set up a vague defiance, directed against no one in particular but rather toward life in general. While here, too, as in the first case, an individual adapts himself to certain external circumstances, this kind of adaptation creates something new in him, arouses new drives and new anxieties. Every neurosis is an example of this dynamic adaptation; it is essentially an adaptation to such
external conditions (particularly those of early childhood) as are in themselves irrational and, generally speaking, unfavourable to the growth and development of the child. Similarly, such socio-psyc ho logical phenomena as are comparable to neurotic phenomena (why they should not be called neurotic will be discussed later), like the presence of strong destructive or sadistic impulses in social groups, offer an example of dynamic adaptation to social conditions that are irrational and harmful to the development of men.
[..]The other aspect of the process of individuation is growing aloneness. The primary ties offer security and basic unity with the world outside oneself. To the extent to which the child emerges from that world it becomes aware of being alone, of being an entity separate from all others. This separation from a world, which in comparison with one’s own individual existence is overwhelmingly strong and powerful, and often threatening and dangerous, creates a feeling of powerlessness and anxiety. As long as one was an integral part of that world, unaware of the possibilities and responsibilities of individual action, one did not need to be afraid of it. When one has become an individual, one stands alone and faces the
world in all its perilous and overpowering aspects. Impulses arise to give up one’s individuality, to overcome the feeling of
aloneness and powerlessness by completely submerging oneself in the world outside. These impulses, however, and the new ties arising from them, are not identical with the primary ties which have been cut off in the process of growth itself. Just as a child can never return to the mother’s womb physically, so it can never reverse, psycliically, the process of individuation. Attempts to do so necessarily assume the character of submission, in which the basic contradiction between the authority and the child who submits to it is never eliminated. Consciously the child may feel secure and satisfied, but unconsciously it realizes that the price it pays is giving up strength and the integrity of its self. Thus the result of submission is the very opposite of what it was to be: submission increases the child’s insecurity and at the same time creates hostility and rebelliousness, which is the more frightening since it is directed against the very persons on whom the child has remained–or become–dependent.However, submission is not the only way of avoiding aloneness and anxiety. The other way, the only one which is productive and does not end in an insoluble conflict, is that of spontaneous relationship to man and nature, a relationship that connects the individual with the world without eliminating his individuality. This kind of relationship!–the foremost expressions of which are love and productive work–are rooted in the integration and strength of the total personality and are therefore subject to the very limits that exist for the growth of the self.
The problem of Submission and of spontaneous activity as two possible results of growing individuation will be discussed later on in great detail; here I only wish to point to the general principle, the dialectic process which results from growing individuation and from growing freedom of the individual. The child becomes more free to develop and express its own individual self unhampered by those ties which were limiting it. But the child also becomes more free from a world which gave it security and reassurance. The process of individuation is one of growing strength and integration of its individual personality, but it is at the same time a process in which the original identity with others is lost and in which the child becomes more separate from them. This growing separation may result in an isolation that has the quality of desolation and creates intense anxiety and insecurity; it may result in a new kind of closeness and a solidarity with others if the child has been able to develop the inner strength and productivity which are the premise of this new kind of relatedness to the world. If every step in the direction of separation and individuation were matched by corresponding growth of the self, the development of the child would be harmonious. This does not occur, however. While the process of individuation takes place automatically, the growth of the self is hampered for a number of individual and social reasons. The lag between these two trends results in an unbearable feeling of isolation and powerlessness,and this in its turn leads to psychic mechanisms, which later on are described as mechanisms of escape.
[..]The history of man can be characterized as a process of growing individuation and growing freedom, Man emerges from the prehuman stage by
the first steps in the direction of becoming free from coercive instincts. If we understand by instinct a specific action pattern which is determined by inherited neurological structures, a clear-cut trend can be observed in the animal kingdom. The lower an animal is in the scale of development, the more are its adaptation to nature and all its activities controlled by instinctive and reflex action mechanisms. The famous social organizations of some insects are created entirely by instincts. On the other hand, the higher an animal is in the scale of development, the more flexibility of action pattern and the less completeness of structural adjustment do we find at birth. This development reaches its peak with man. He is the most helpless of all animals at birth.His adaptation to nature is based essentially on the process of learning, not on instinctual determination.”Instinct … is a diminishing if not a disappearing category in higher animal forms, especially in the human.”Human existence begins when the lack of fixation of action by instincts exceeds a certain point; when the adaptation to nature loses its coercive character; when the way to act is no longer fixed by hereditarily given mechanisms. In other words, human existence and freedom are from the beginning inseparable. Freedom is here used not in its positive sense of “freedom to” but in its negative sense of”freedom from”, namely freedom from instinctual determination of his actions.This concept of instinct should not be confused with one which speaks of instinct as a physiologically conditioned urge (such as hunger, thirst, and so on), the satisfaction of which occurs in ways which in themselves are not fixed
and hereditarily determined. Freedom in the sense just discussed is an ambiguous gift, Man is born without the equipment for appropriate action which the animal possesses;l he is dependent on his parents for a longer time than any animal, and his reactions to his surroundings are less quick and less effective than the automatically regulated instinctive actions are. He goes through ah the dangers and fears which this lack
of instinctive equipment implies. Yet this very helplessness of man is the basis from which human development springs; mein s biological weakness is the condition of human culture.From the beginning of his existence man is confronted with the choice between different courses of action. In the animal there is an uninterrupted chain of reactions starting with a stimulus, like hunger, and ending with a more or less strictly determined course of action, which does away with the tension created by the stimulus. In man that chain is interrupted. The stimulus is there but the kind
of satisfaction is “open”, that is, he must choose between different courses of action. Instead of a predetermined instinctive action, man has to weigh possible courses of action in his mind; he starts to think. He changes his role towards nature from that of purely passive adaptation to an active one: he produces. He invents tools and, while thus mastering nature, he separates himself from it more and more. He becomes dimly aware of himself–or rather of his group–as not being identical with nature. It dawns upon him that his is a tragic fate: to be part of nature, and yet to transcend it. He becomes aware of death as his ultimate fate even if he tries to deny it in manifold phantasies. One particularly telling representation of the fundamental relation between man and freedom is offered in the biblical myth of man’s expulsion from paradise.
The myth identifies the beginning of human history with an act of choice, but it puts all emphasis on the sinfulness of this first act of freedom and the suffering resulting from it. Man and woman live in the Garden of Eden in complete harmony with each other and with nature. There is peace and no necessity to work; there is no choice, no freedom, no thinking either, Man is forbidden to eat from the tree of knowledge of good and evil. He acts against God’s command, he breaks through the state of harmony with nature of which he is a part without transcending it. From the standpoint of the Church which represented authority, this is essentially sin. From the standpoint of man, however, this is the beginning of human freedom. Acting against God’s orders means freeing himself from coercion, emerging from the unconscious existence of prehuman life to the level of man. Acting against the command of authority, committing a sin, is in its positive human aspect the first act of freedom, that is, the first human act. In the myth the sin in its formal aspect is the acting against God’s command; in its material aspect it is the eating of the tree of knowledge. The act of disobedience as an act of freedom is the beginning of reason. The myth speaks of other consequences of the first act of freedom. The original harmony between man and nature is broken. God proclaims war between man and woman, and war between nature and man, Man has become separate from nature, he has taken the first step towards becoming human by becoming an “individual”. He has committed the first act
of freedom. The myth emphasizes the suffering resulting from this act. To transcend nature, to be alienated from nature and from another human being, finds man naked, ashamed. He is alone and free, yet powerless and afraid. The newly won freedom appears as a curse; he is free from the sweet bondage of paradise, but he is not free to govern himself, to realize his individuality. “Freedom from” is not identical with positive freedom, with “freedom to”. The emergence of man from nature is a long-drawn-out process; to a large extent he remains tied to the world from which he emerged; he remains part of nature–the soil he lives on, the sun and moon and stars, the trees and flowers, the animals, and the
group of people with whom he is connected by the ties of blood. Primitive religions bear testimony to man’s feeling of oneness with nature. Animate and inanimate nature are part of his human world or, as one may also put it, he is still part of the natural world.These primary ties block his full human development; they stand in the way of the development of his reason and his critical capacities; they let him recognize
himself and others only through the medium of his, or their, participation in a clan, a social or religious community, and not as human beings; in other words,they block his development as a free, self-determining, productive individual. But although this is one aspect, there is another one. This identity with nature,clan, religion, gives the individual security. He belongs to, he is rooted in, a structuralized whole in which he has an unquestionable place. He may suffer from hunger or suppression, but he does not suffer from the worst of all pains–complete aloneness and doubt.
We see that the process of growing human freedom has the same dialectic character that we have noticed in the process of individual growth. On the one hand it is a process of growing strength and integration, mastery of nature, growing power of human reason, and growing solidarity with other human beings. But on the other hand this growing individuation means growing isolation, insecurity, and thereby growing doubt concerning one’s role in the universe, the meaning of one’s life,and with all that a growing feeling of one’s own powerlessness and insignificance as an individual.
If the process of the development of mankind had been harmonious, if it had followed a certain plan, then both sides of the development–the growing strength and the growing individuation–would have been exactly balanced. As it is, the history of mankind is one of conflict and strife. Each step in the direction of growing individuation threatened people with new insecurities. Primary bonds once severed cannot be mended; once paradise is lost, man cannot return to it. There is only one possible, productive solution for the relationship of individualized man with the world: his active solidarity with all men and his spontaneous activity, love and work, which unite him again with the world, not by primary ties but as a free and independent individual. However, if the economic, social and political conditions on which the whole process of human individuation depends, do not offer a basis for the realization of individuality in the sense just mentioned, while at the same time people have
lost those ties which gave them security, this lag makes freedom an unbearable burden. It then becomes identical with doubt, with a kind of life which lacks meaning and direction. Powerful tendencies arise to escape from this kind of freedom into submission or some kind of relationship to man and the world which promises relief from uncertainty, even if it deprives the individual of his freedom.
European and American history since the end of the Middle Ages is the history of the full emergence of the individual. It is a process which started in Italy, in the Renaissance, and which only now seems to have come to a climax. It took over four hundred years to break down the medieval world and to free people from the most apparent restraints. But while in many respects the individual has grown, has developed mentally and emotionally, and participates in cultural achievements in a degree unheard-of before, the lag between “freedom from” and “freedom to” has grown too. The result of this disproportion between freedom from any tie and the lack of possibilities for the positive realization of freedom and individuality has led, in Europe, panicky flight from freedom into neurotics oral least into complete indifference.
We shall start our study of the meaning of freedom for modern man with an analysis of the cultural scene in Europe during the late Middle Ages and the beginning of the modern era. In this period the economic basis of Western society underwent radical changes which were accompanied by an equally radical change in the personality structure of man. A new concept of freedom developed then, which found its most significant ideological expression in new religious doctrines, those of the Reformation, Any understanding of freedom in modern society must start with that period in which the foundations of modern culture were laid, for this formative stage of modern man permits us, more clearly than any later epoch, to recognize the ambiguous meaning of freedom which was to operate throughout modern culture: on the one hand the growing independence of man from external authorities, on the other hand his growing isolation and the resulting feeling of individual insignificance and powerlessness.Our understanding of the new elements in the personality structure of man is enhanced by the study of their origins, because by analysing the essential features of capitalism and individualism at their very roots one is able to contrast them with an economic system and a type of personality which was fundamentally different from ours. This very contrast gives a better perspective for the understanding of the peculiarities of the modern social system, of how it has shaped the character structure of people who live in it, and of the new spirit which resulted from
this change in personality. The period of the Reformation is more similar to the contemporary scene than might appear at first glance; as a matter of fact, in spite of all the obvious differences between the two periods, there is probably no period since the sixteenth century which resembles ours as closely in regard to the ambiguous meaning of freedom. The Reformation is one root of the idea of human freedom and autonomy as it is
represented in modern democracy. However, while this aspect is always stressed,especially in non-Catholic countries, its other aspect–its emphasis on the wickedness of human nature, the insignificance and powerlessness of the individual, and the necessity for the individual to subordinate himself to a power outside himself–is neglected. This idea of the unworthiness of the individual, his fundamental inability to rely on himself and his need to submit, is also the main theme of Hitler’s ideology,which, however, lacks the emphasis on freedom and moral principles which was inherent in Protestantism. This ideological similarity is not the only one that makes the study of the fifteenth and sixteenth centuries a particularly fruitful starting point for the understanding of the present scene. There is also a fundamental likeness in the social situation. I shall try to show how this likeness is responsible for the ideological and psychological similarity. Then as now a vast sector of the population was threatened in its traditional way of life by revolutionary changes in the economic and social organization; especially was the middle class, as today, threatened by the power of monopolies and the superior strength of capital,and this threat had an important effect on the spirit and the ideology of the threatened sector of society by enhancing the individual’s feeling of aloneness and insignificance.
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Erich Fromm: freedom and alienation, and loving and being, in education.