弗洛伊德《人格与肛门性欲》

《人格与肛门性欲》CHARACTER ANDANAL EROTISM^^——弗洛伊德Among thosewhom wetry tohelp byour psycho-analytic effortswe oftencomeacross atype ofperson whois markedby thepossession of a certainset of character-traits,while at the sametime ourattention isdrawn to the behaviourin hischildhood ofone of hisbodily functionsand theorgan concernedin it.I cannotsay at this datewhat particularoccasionsbegan togive mean impressionthat there was someorganic connectionbetweenthis typeofcharacterand thisbehaviour ofan organ,but Ican assurethe readerthat notheoreticalexpectation playedany partin thatimpression.Accumulated experiencehas somuchstrengthened mybelief in the existenceof sucha connectionthat I am venturingtomake itthe subjectofacommunication.The peopleIamabout todescribe arenoteworthy fora regularcombination of thethree followingcharacteristics.They areespecially orderly,parsimonious andobstinate.Each of these wordsactually coversa smallgroup orseries ofinterrelated character-traits.Orderly9covers thenotion ofbodily cleanliness,as wellas ofconscientiousness incarryingout smallduties andtrustworthiness.Its oppositewould beuntidy andneglectful.Parsimony mayappear in the exaggeratedform ofavarice;and obstinacycango overinto defiance,to whichrage andrevengefulness areeasily joined.The twolatterqualities-parsimony andobstinacy arelinked witheach othermore closelythan they arewith thefirst-with orderliness.They are,also,the moreconstant elementof thewholecomplex.Yet itseems tome incontestablethat allthree insome waybelong together.It iseasy togather from these peoplesearly childhoodhistory that they tookacomparatively longtime toovercome theirinfantile incontinentiaalvi[faecalincontinence],and that even in later childhoodthey sufferedfrom isolatedfailures ofthisfunction.As infants,they seemto havebelonged to the classwho refuseto emptytheirbowels whentheyareput on the potbecause theyderive asubsidiary pleasurefromdefaecating;1for theytell usthatevenin somewhatlater yearsthey enjoyedholdingback theirstool,and theyremember-though morereadily about their brothersandsisters thanabout themselves-doing allsorts ofunseemly thingswith thefaeces thathadbeen passed.From theseindications weinfer thatsuch peopleare bornwith asexualconstitution inwhich theerotogenicity of the anal zone isexceptionally strong.But sincenoneof theseweaknesses andidiosyncracies are to befound in them oncetheir childhoodhasbeen passed,we mustconclude that the analzone hadlost itserotogenic significanceinthe course of development;and it is to be suspectedthat theregularity withwhich thistriadof propertiesis presentin theircharacter maybe brought into relationwith thedisappearanceof theiranal erotism.I knowthat noone isprepared to believe ina stateof thingsso longas it appears to beunintelligible andto offerno anglefrom whichan explanationcan beattempted.But wecanat leastbring theunderlying factorsnearer toour understandingby thehelp of thepostulates Ilaid downin myThree Essayson theTheory of Sexuality in

1905.1thereattempted toshow that the sexualinstinct ofman ishighly complex and isput togetherfromcontributions madeby numerousconstituents andcomponent instincts.Importantcontributions tosexual excitation9are furnishedby theperipheral excitations of certainspeciallydesignated parts of the body thegenitals,mouth,anus,urethra,which thereforedeserveto bedescribed aserotogenic zones.But theamounts ofexcitation cominginfrom thesepartsof thebodydo notall undergothe samevicissitudes,nor is the fateof allof them thesame atevery period of life.Generally speaking,only apart of them ismadeuse ofin sexuallife;another partis deflectedfrom sexualaims anddirected towardsothers-a processwhich deservesthe nameofsublimation\During the periodoflife whichmaybe calledtheperiodof sexuallatency9-i.e.from thecompletion of the fifthyear to the firstmanifestationsof pubertyround aboutthe eleventhyear-reaction-formations,orcounter-forces,such asshame,disgust andmorality,are createdin themind.They areactuallyformed atthe expenseof theexcitations proceedingfromtheerotogenic zones,and theyrise likedams tooppose thelater activityof thesexual instincts.Now anal erotismis oneof thecomponents of the instinctwhich,inthecourseofdevelopment andinaccordance with the educationdemanded byour presentcivilization,have becomeunserviceablefor sexualaims.It istherefore plausibleto supposethat thesecharacter-traitsof orderliness,parsimony andobstinacy,which areso oftenprominentin people who wereformerly analerotics,aretobe regardedas thefirst andmost constantresultsof thesublimation ofanal erotism.21Cf.Freud,Three Essayson theTheory ofSexuality1905d.

①性学三论1905d2Since it is preciselythe remarksin myThree Essayson theTheory ofSexualityabout the analerotismof infantsthat haveparticularly scandalizeduncomprehendingreaders,I ventureatthispoint tointerpolate anobservation forwhich Ihave tothank averyintelligent patient.A friendof mine,he toldme,who hasread yourThree Essayson theTheoryofSexuality,was talkingaboutthebook.He entirelyagreed withit,but therewasone passage,which-though of course heaccepted andunderstood itsmeaning likethat oftherest-struck himas sogrotesque andcomic thathe satdown andlaughed overit foraquarter ofan hour.This passageran:nOne ofthe clearestsigns ofsubsequent eccentricityornervousness istobeseen whena babyobstinately refusesto emptyhis bowelswhen heisput on the pot-that is,when hisnurse wantshim to-and holdsback that function tillhehimself choosesto exerciseit.He isnaturally notconcerned with dirtying thebed,he isonly anxious not to missthe subsidiarypleasure attached to defaecating.n Thepicture ofthisbaby sittingonthepot anddeliberating whetherhe wouldput upwith arestriction ofthiskind uponhis personalfreedom ofwill,and feelinganxious,too,nottomiss thepleasureattachedtodefaecating,-this causedmy friendthe mostintense amusement.About twentyminutes afterwards,as wewere havingsome cocoa,he suddenlyremarkedwithout anypreliminary:I say,seeing thecocoa infront ofme hassuddenly mademethink ofan ideathat Ialways hadwhen I was achild.I usedalways topretend tomyselfthat Iwas thecocoa-manufacturer Van Houten*he pronouncedthe nameVan Hautenand that Ipossessed agreat secretfor themanufacture ofthis cocoa.Everybody wastryingto gethold ofthis secret that was a boonto humanitybut Ikept itcarefully tomyself.I dontknow whyI shouldhave hitspecially uponVanHouten.Probably hisadvertisementsimpressed memore thanany others/Laughing,and withoutthinking atthetime that my wordshad anydeep meaning,I said:nWann haufndie Mutter11[When doesmothersmack Thefirst twowords inthe Germanphrase arepronounced exactlylikeVan Houten\]It wasonlylater thatI realizedthatmypun infact containedthe keytothewhole ofmy friendssuddenchildhood recollection,and Ithen recognizedit asa brilliantexample ofascreen-phantasy.My friendsphantasy,while keepingtothesituation,actually involvedthenutritional processand makinguse ofphonetic associationsnKakaon「cocoa.-Kaka isthe commonGerman nurseryword fbrfaeces9]and nWann hautn,pacified hissenseof guiltby makinga completereversal inthe contentofhisrecollection:therewasadisplacement fromthe backofthebody tothe front,excreting foodbecame takingfood in,and somethingthat wasshameful andhad tobe concealedbecame asecretthatwasaboonto humanity.Iwas interested tosee how,onlyaquarter ofan hourafter myfriend hadfendedthe phantasyoff though,it istrue,inthecomparatively mildform ofraising anobjectionon formalgrounds-he was,quite involuntarily,presented with the mostconvincingevidence byhis ownunconsciousThe intrinsicnecessity forthis connectionis notclear,ofcourse,even tomyself.ButI canmake somesuggestions whichmay helptowards anunderstanding ofit.Cleanliness,orderliness andtrustworthiness giveexactly theimpression ofa reaction-formation againstan interest inwhat isunclean anddisturbing andshould notbe partofthebody.Dirt ismatterinthewrong place.91To relateobstinacy toaninterest in defaecationwould seemnoeasy task;but itshould beremembered thateven babiescan showself-will aboutpartingwith theirstool,as wehave seenabove,andthatitisa generalpractice inchildrensupbringing toadminister painfulstimuli tothe skinofthebuttocks which is linkedup withtheerotogenic analzone-in orderto breaktheir obstinacyand makethem submissive.Aninvitation toa caressoftheanalzoneis stillused to-day,as itwasinancient times,toexpress defianceor defiantscorn,and thusin realitysignifies anact oftenderness thathasbeen overtakenby repression.An exposureofthebuttocks representsa softeningdown ofthisspoken invitationinto agesture;in GoethesGotz vonBerlichingen bothwords andgestureare introducedatthe most appropriatepoint asan expressionof defiance.The connectionsbetween thecomplexes ofinterest in money andof defaecation,which seemso dissimilar,appear tobe themost extensiveof all.Every doctorwho haspractisedpsycho-analysis knowsthatthemost refractoryand long-standing casesof whatisdescribed ashabitual constipationin neuroticscan becured bythat formof treatment.This isless surprisingif weremember thatthatfunctionhas shownitself similarlyamenableto hypnoticsuggestion.But inpsycho-analysis oneonly achievesthis resultifone dealswith thepatients moneycomplexandinduces themto bringit intoconsciousnesswith allits connections.It mightbe supposedthattheneurosis ishere onlyfollowingas indicationof commonusage inspeech,which callsa personwho keepstoocareful ahold onhis moneydirty or4filthy\2But thisexplanation wouldbe fartoosuperficial.In reality,wherever archaicmodes ofthought havepredominated orpersist-inthe ancientcivilizations,in myths,fairy talesand superstitions,in unconsciousthinking,indreams andin neuroses-money isbroughtintothemostintimate relationshipwithdirt.We knowthatthegold whichthe devilgives hisparamours turnsinto excrementafter hisdeparture,and thedevil iscertainly nothingelse thanthe personificationoftherepressedunconscious instinctuallife.3We alsoknow aboutthe superstitionwhich connectsthefinding oftreasure withdefaecation,and everyoneis familiarwiththefigure ofthe shitterofducats[Dukatenscheisser]A Indeed,even accordingto ancientBabylonian doctrinegoldisthefaeces ofHeir Mammon=ilu manman

5.Thus infollowing theusage oflanguage,neurosis,here aselsewhere,is takingwords intheir original,significant sense,and whereitappearstobeusing aword figurativelyitisusually simplyrestoring itsoldmeaning.It ispossible thatthe contrastbetween themost precioussubstance knownto menandthe mostworthless,which theyreject aswaste matterrefuse,has ledto thisspecificidentification ofgold withfaeces.Yet anothercircumstance facilitatesthis equationin neuroticthought.The originaleroticinterestindefaecation is,as weknow,destined tobe extinguishedinlateryears.Inthose yearsthe interestinmoneymakes itsappearance asa newinterest whichhad beenabsentin childhood.This makesit easierfor theearlier impulsion,whichisin processoflosing itsaim,tobecarried overtothenewly emergingaim.If thereis anybasis infact for the relationposited herebetween analerotism andthistriad ofcharacter-traits,one mayexpect tofind novery markeddegree ofanal character inpeople whohave retainedtheanalzones erotogeniccharacterinadult life,as happens,forinstance,with certainhomosexuals.Unless Iam muchmistaken,the evidenceofexperience talliesquite wellonthewhole withthis inference.We oughtin generalto considerwhether othercharacter complexes,too,do notexhibita connectionwiththeexcitationsofparticular erotogeniczones.At presentI onlyknowoftheintense burning9ambition ofpeoplewhoearlier sufferedfrom enuresis.Wecan atany ratelay downa formulafortheway inwhich characterin itsfinal shapeisformed outoftheconstituent instincts:the permanentcharacter-traits areeither unchangedprolongationsoftheoriginal instincts,or sublimationsof thoseinstincts,orreaction-formations againstthem.在那些我们试图用精神分析帮助的人中，我们常常会遇到一类人，他们的特点是有一系列特定的人格特质，同时我们会留意到他们的童年期行为里，特殊涉及他的某个身体功能和器官在这类人格特质和这种身体表现之间有个器官方面的联系，虽然目前我还不能说出是什么特殊的缘由让我有了这个印象，但是我可以向读者保证，形成的这种印象中不存在任何理论假设的因素越来越多的阅历巩固了我对这一关联的确存在的信念，于是我将冒险以它作为探讨的主题我要描述的这类人明显有以下三个常见组合的人格特质他们特殊地刻板、吝啬和固执其中的每个词都包含着一组相互关联的人格特质“刻板”包括身体洁癖的观念，以及履行职责和保持诚信的责任感它的反面则是“杂乱”和“疏忽大意”吝啬节俭可能来源于夸大了的贪欲；而固执可能转为轻视，然后很简单又产生生气和报复后两个特质——吝啬和固执相互的关联相对于和刻板的关联要更紧密它们也是整个组合中更固定不变的元素不过对我来说不行否认的是,这三者某种程度上仍旧是一体的从这些人的早期童年经验中很简单推断出，他们花了相对较长的时间来克服婴儿期的大便失禁问题，甚至到童年后期仍旧不能胜利解决这个问题作为婴儿，他们好像属于被放在盆上也拒绝排空肠道的那种，因为他们从排便过程中获得附带的愉悦感；他们告知我们说，即使在后几年他们还很享受收住大便的感觉，他们还记得——虽然他们更简单记得兄弟姐妹的事，而不是关于自己——用已排出的粪便做各种不风光的事从这些状况我们可以推断出，这样的人生来拥有一种性方面的特质，在肛门区的性感觉特殊强但是因为一旦过了童年期，他们身上就找不到这样的缺陷和特点，我们只能归结为，肛门区在发展过程中失去了它作为性欲区的意义；并且我们可以怀疑，表现在他们人格中的这三个一组的特质，可能和肛门性欲的消逝有关我知道没人会信任这么难以理解的事，并且对它尝试性的说明看起来也站不住脚但是通过我在1905年发表的性学三论中所做的假设，我们至少可以使潜在的真相接近我们能理解的程度其中我试图表明，人类的性本能是特别困难的，是由许多要素和各种本能组成构成“性兴奋”的重要成分是身体特定区域（生殖器、嘴、肛门、尿道）的神经末梢兴奋，可称之为“性欲区”但是大量来自身体这些部位的兴奋并没有全部经验同样的改变,它们在生命各个阶段的命运也不尽相同一般来说，只有一部分对性生活有用；其他部分则偏离了性目标，导向它处——这个过程可称为“升华”在称之为“性的潜藏期”的生命阶段——例如5岁以后至青春期起先（大约11岁）反向形成，或反驱力（reaction-formations,or counter-forces）,如羞愧、厌恶和道德起先在头脑中产生它们以消耗性欲区的兴奋为代价而形成，它们就像水坝一样升起，阻挡了之后的性本能活动现在可以说，肛门欲是本能中的一部分，在发展过程中，依据我们现有文明的教化要求，不再对性目标有用于是好像可以合理的假设说，在原本有肛门欲的人身上常常很明显看到的刻板、吝啬和固执这些人格特质，正是肛门欲最初也最稳固的升华结果

①这种关联用本能须要来说明并不特别自不待言，甚至我自己也这么觉得但是我可以做一些假设来帮助理解它洁癖、刻板和坚持责任的形象清楚地呈现了一种与个人喜好对抗的反应模式,也就是对抗不明确、干扰的以及不该是自身一部分的那些东西（“污垢出现在不该出现的地方就成了问题把固执和对排便的关注联系在一起好像不是一件简单的事；但是我们应当想到即使是婴儿也会在处置他们的大便上显示出自我意志，如上文所述，那是儿童在学着处理与肛门区性欲有关的皮肤苦痛刺激时的一种常规练习——为了打破他们的固执，使他们更听从肛门区安抚式的诱惑在今日仍旧在运用，而在古代，这是表示挑衅或蔑视，因此在现实象征意义上来说,温顺安抚的动作是用来表示压制暴露臀部表示对这所谓的邀请屈服的姿态;在歌德的《G6tz vonBerlichingen））中，开场的措辞和姿态都以最得体的程度来表达挑衅对金钱的欲望和排便之间的关系，看起来很不一样，是关联最松散的每个实践精神分析的医生都知道，那些习惯性便秘症状最顽固和长病程的神经症个案可以用精神分析的方式治疗假如我们想到这个问题可通过催眠示意限制，这就并不惊奇了但是在精神分析中，只有处理了病人的金钱议题并诱导他们将之带入意识层面，才能达到这样的效果这可能意味着神经症只是通俗说法中运用的词，指一个人把金钱看做“污秽或“肮脏”过于谨慎地对待但是这个说明可能太表面事实上，犹如古代观念所强调或残留的——在古代文明的神话、童话故事和迷信传闻中，在无意识思想中，在梦和疯人疯语中——金钱总是和肮脏有最紧密的关系我们知道恶魔给他情妇的金子，在他离开后就变成了粪便，而且恶魔无疑就是拟人化的压抑了的无意识本能我们也知道关于因为排便而找到珍宝的迷信传闻，每个人都很熟识“金马桶”的图案

②其实，甚至在古巴比伦的教义中，金子就是“来自地狱的粪便（财神=皿manman

③）因此在以后的语言运用中，神经症一词到处都是按它们的原型、明显的含义来运用，并且当它作为比方时，通常又回到它古老的意义上对人来说最宝贵的东西，以及最无用的、作为废物被拒绝的东西（“垃圾”），它们之间的反差导致了这种粪便般的金子的认知但是另一个事实促进了关于神经症的思索如我们所知，投注于排便过程的原初性欲在后几年注定会消逝在这些年里，对金钱的爱好成为一个新的爱好点，这在儿童期是不存在的这使得失去目标的早期冲动变得更简单实现，因而带来新的目标假如说对于肛门性欲和这种三特性格特质组之间的关联，有什么事实上的基础，我们可能会在某些人身上发觉程度不是很明显的“肛门人格”，例如那些同性恋者，他们在成年生活里保留了肛门区性欲的特征除非我错得离谱，这个推断和阅历上的证据完全是吻合的总的来说，我们应当考虑是否其他类型的人格组织没有呈现出与特定性欲区的关联目前我只知道有剧烈纵火冲动的人，他们早年有尿床的毛病至少我们可以设立这样的理论，人格最终的形态是来源于本能的不同构成稳定的人格特质，要么是原始本能的一样持续，要么是这些本能的升华，或者由对抗它们的反应所形成注释

①因为婴儿的肛门性欲已经在我的《性学三论》中精确说明过了，而这一点使不理解的读者特殊反感，我就冒险再加入一段记录，这要感谢一位特别天才的病人“我的一个挚友”，他告知我说，“他读了你的性学三论后说到这本书他完全同意这本书，虽然其他部分他都接受也理解，但是有一个段落，如此滑稽夸张地击中了他，以至于他坐到地上笑了一刻钟”这一段说到“随之而来的怪癖或神经质的一个最明显的症状是，一个婴儿被放在盆上但固执地拒绝排空肠道，也就是说，他的照料者希望他大便——他却撤回这个实力直到他自己选择起先练习排便其实他不是在乎弄脏床，他只是不想错过排便过程附带的愉悦感”这个婴儿坐在便盆上，慎重考虑着他是否要用自己个人意志的自由来进行这样的自我约束，同时他也感到焦虑，不想错过排便附带的愉悦——这个画面是最令我挚友觉得好笑的大约20分钟后，我们要去喝一杯可可饮料，他突然冒出一句“我说，看着面前这杯可可突然让我想到•个小时候常常有的念头我以前总是假装我是可可生产商范♦候顿”（他把这个名字读成范“豪顿”）o“而且我还有个生产这种可可的秘方每个人都想找到这个造福人类的秘方，但是我当心地保守着隐私我不知道为什么我总是联想到范♦候顿可能是因为他的广告比别家的让我印象深刻”我大笑起来，也没多想我的话有什么别的意思，我说“Wannhautndie Mutter（德语）T妈妈何时打耳光？”前两个单词在德语里的发音就像‘范•豪顿］然后我就意识到，我的双关语事实上包含着理解我挚友这个童年回忆的关键，然后我发觉这是个关于屏幕幻想（screen-phantasy）的绝妙例子回到这个情境说，我挚友（的幻想其实是运用了语音的巧合“Kaka”［可可——kaka是德语里跟小孩说的话，大便的意思］和），Wannhautn”这平复了他对这个记忆的内容做了彻底逆转的罪恶感这里有个移置，从身体后面到前面，排泄食物变成了吃进食物，以及一些羞愧的东西必需被隐藏起来，而成为一个造福人类的隐私我很有爱好知道，他怎么会刚回避了这个幻想才一刻钟尽管他确好用相对温顺的方式以及很一般的理由来提出反对看法，就不由自主地用最确信无疑的证据，无意识地呈现了他自己？

②对有钱的挥霍者的通俗说法@Mamon Mammon在巴比伦语中是Manman,是地下之神Nergal的另一个名字依据古神话学，“金子是来自地狱的粪便”的说法已传播到传闻和童话故事中肛门性欲就是岁儿童能够独立大便，粪便摩擦直肠的快感弗洛伊德所说的3性欲是广泛的身体上的快感，口唇，皮肤，性器等等肛门期约岁,动欲区在肛门在这一阶段，由于幼儿对粪便anal stage

1.5~3排泄时解除内急压力所得到的快感阅历，因而对肛门的活动特殊感爱好,并因此获得满意在这段时间里，父母为了养成子女良好的卫生习惯，多对幼儿的便溺行为订立规则，加以训练假如父母的要求能协作幼儿自己限制的实力，良好的习惯可以因而建立，从而使幼儿长大后具有创建性与高效率性假如父母训练过严，与儿童发生冲突，则会导致所谓的肛门性格一种是肛门排放型性格anal character如表现为遒遢、奢侈、无条理、放纵、凶暴等；另一种anal-expul-sive character,是肛门便秘型性格如过分干净、过分留意条理和小节、固anal-retenivecharacter,执、小气、忍耐等因此，弗洛伊德特殊强调父母应留意儿童大小便的训练不宜过早、过严。