[PAGE 1]
February 8. 1960

Tleck you very ¿ueh for your Final Feport and your statoceot of px;eirlitures. They are both very Lnch approciated.

Wo are vory pleased with the rosults of your work and are lookng forwori to seeing the dissortation. .

Sincerely.

Assistant Treesurer

[PAGE 2]
Hork Pertoraed

Sinco gubaittel of thé Seai-Anmual Report\_or this Nork, e diesertation proponal vas ocapleted and lator rovised ia B consultatiou with eávicora of tha 2he propoeel was aoooptoa Ln Juiy (9d, alter, Goy of-tho-zeriged diesertstion propoaal, an erel heaviag hse previously boeu eutsittel to tho A firot drart of. tho diasertetion Staelt do partielly ooaploted. A preoieo coheduls for coapleting is osnnot ba givon at preseut beocuee of dotsila to bo vorked out wkth a now ecabor of the ocsittoo,. It ie expeoted-that.it.mill de oosploted in tino for en crerd of tho Phd degreo during the oarrent yoar.

Funda provided by thé grent heve beon ooaplotely expemdod. (Seg NStetcaont .of Expenditures" enolosed.) Tho exont vog uecdfor maintensnco of golt and foally daring tho poriod July l,. l957 to Jane 1, 2958 and July 1, 1959 to Ootober 1, 1959, logo a total of 44 davs darins theso perioda on vhioh daya tho granteo wns othoreioo ceploycd. Iatermuption of. work on tho grant fer othor aocording5 caployuent was endoracd by the S to 8 letter froa tho. Exooutivo Iareotor dated Jene 30, l958.

Meay deliya wore exporienoed in making arrengeaoute with mfor a dipeertetion cocaittov ani in Bthe pocuring prproval for e propoael, The pajer portion er thg work porforaed undor tho grens waa dopo. in accordanoa with a propoeal which vaa ursooaptable to the dissortation coaaitteo that vaa finelly conatituted.

To keop the work that oeuld pot bo used ia' the dlesortatien frea boing wovated efrort, the grenteo hes prepered several pepera for pablioction based in phole or part on thip reaooarch.. Theae. popora ere es fellooai

76-2

7obxva8y 3, 1960

[PAGE 3]
Batorlsl froa thig-reaonrob-hes-eloo-beon ánoorporated, or io boing incorporsted in roports of relatod roavaroh by the kxenteo, eo folloret

Attaobuenti Finol Eoport of Bpendltures

[PAGE 4]
T bave examined and approved the submitted exponditures.

TSS/Chemical Divieion Dator. 9 Hanch 1960

Februers 3, 1960

[PAGE 5]
MEMORANDUM FOR: THE RECORD

SUBJECT : Action on MKULTRA Audit Excepticns --TSS/CD (MKULTRA 76)

As of this date the has contacted and an additional gave all assurance request for his accounting hes been made. that it will bo fortheoming

1

25 January 1960

[PAGE 6]
September 17, 1959

Dear V

liava been choeking through our project files in orier to detereine if vo lave recoivod accountings lron each ol our grantees for our auditors.

I do not find one fros you, Perhaps. you tave tot finished using tha funds? lf you have and if you could sond ke a su nary statenent of hou tho funds. rore ex:endod. it would bo of creat help to te.

Hany tharks. Fopo all goos well with you and yours.

Sincqrely,

Asoistknt Troasurer

[PAGE 7]
November 19, 1957

D

Enolosed is our chock for tho Zrd quorterly poyrent cn your srant. lt wos more convenient for us to make a quartcrly paymont than rodyco the omount. .

.  Thonk you for the edditicasl material. Iea still hoving a creet deal of difioulty barrlng ryself to productive effort on the resccrch opprocch, the ratericl will be helpful.

I was gled to heer that the cyst wos renaved, end thot you cro recovering. I cea Inagine how uncomfortable you were.

Dast regords.

Slncerely,

Fas: 1

[PAGE 8]
Receipt, is hereby acknowlcdged of the following check:

Cashier'a Check No. 209-303779, cated September 16, 1957, in the amount
dravn on
of \$10,000.00.

The abcve check is made payablé to

RECELPT

[PAGE 9]
August 28, 1957

Attached is our cheok in paynent of two quarters of the grant which tho rhas mads to you.The folloudng conditions spplyin the.utilization of these tumdss

2. A terainal roport is to be subsittsd after the cospletion of ths phase of ressarch covered by this grant.,

2, A terainal eccounting of funds expended in obtaining. processing and reporting data shall be provided for our pecords.

3. Any technical reports or papers vhich grow out of the study supoortod under this grant shall contain tho follosing notico: "This stucy vas suoported in part by a grant from thes
B

The Board of Diroctors and the solentific advisors to the join ve in vishinz you woll in this endeavor. Please call B bon us for any assistance that vo nay be sblo to provido.

Sincerely,

Executive Secrotary and Treasurer

Fno.

[PAGE 11]
MEMORANDUA FORI CHIEF, FINANCE DIVISION

VIA : TSS/Budget Officer

MKULTRA Subproject 76, Lavoice €1
A11otmeot 822.02-10-001

1. Involco No. I for the above subproject is attachod. Payment shouid be made as followa;

Canhier'o check in the amount of \$10, 000. 00 drawn pavabic to tho B

2. The check should be forwarded to Chief, TSS/Chemieal Division, tlurougk T50/Eudget Officer, no later thaa Friday, 16 August 1957.

3. Thie is a ¿nsl invoice. A total of \$10, 000.00 was obligated uader taia subproject during FY 5S. Howover, since it is anticipatod ttat additionsl fuuds will be obligated for this project, the fies should act be closed.

Acttng Chief TSs/Chcnical Division

Attacluents: Iavoice and Certilicatloas

Dictribution:

Orig t 2 . Addressce

1- Comptroller

r.: TSS/FASB

2-TSS/CD

J33 8250%0001

2 Avguet 1957

[PAGE 12]
MEMORANDUM FOR: CHIEF, FINANCE DIVISION

VIA …… : TSS/Budget Oficer

SUDJECT: MKULTRA Subproject 76, Invoice 41 411otment 8\~2502-10-001

1. lavolee No. 1 for the above subprojcct is attached. laymect should bo made.as followa:

Caahior's chock in the amount of 510,000.00 drawa on a C payable to tho 3

2. Tho check should bo forwarded to Chicf, TSS/Chemical. Divisioa, throvgh Tss/Budget Oflicor, ao later than Friday. 16 August 1957.

3. This is a final involce. A total of \$10, 000.00 was oblipatudi vuder thio vubprojece during FY 56. Howover. since it is anticipatcd that audutional tunda will be obligated for this project. tho files chould aqt bo cloced.

Atachmeotet Invotca and Certifcatioas

Distribatioa;

Ovig k à - Addreauve 1. Cotptrcller

TSS/CD:M2 August 1957)

TSS/Chemical Diviston

76-10

2 Aμgust 1957

[PAGE 13]
CERTIFICATIONS

(1) It ia hercby certificd that thia is Invoice l applying to Subproject 676 of AkULTRA, that performance has been satisfactory, that servicca have beeș acconplished in accordance with mutual agreomeats, that a detailed agenda of the paymente and receipts is on file in TSS/CD, that thia bill is just and correct and that payment theroof has not yet been made,

Acting Chief, TSS/Chemical Division

Date:

(2) It is hereby cextified that this invoice applies to Subproject 76 of MKULTIA which was duly approved, and that the project has been carried φut in oceorúznce with the memorandum dated 13 April 1953 from the DCI to the DD/A, and the extension of tbis avthority in subscquent nemorenda.

Date:

For services

INVOICE

76-t0

\$10,000.00

Rcacarch Director

[PAGE 14]
MMORANDUMA FOR: COMAPTROLLER

ATTENTION t Finance Division

SUDJLCT 1 MKULTRA, Sobprojoct 76

Uoder the avthority granted la the Memorandum dated

13 Aprl1 1953 from ths DCI to tho DD/A. and tho extenaiea of thla authority is subsequcas mcmaorands, Subproject 76 bas beca aporoved and S10. 000. G0 ofthe over-all Projeet MKUl.TkA funda/ bavo bcca obligated to cover the subproject's espcnses and should ba cbar3cd to Allotmcnt 8-2502-10-C01. :

Actiag Chiel TS37Chymical Divteloa

APPROVLD FOR OBLIGATION OF FUNDSI

beeearch birector

Dator:

Kiotributioat Crig & 4- Addrearee

1 - TSS/OC

1 - TSS/FASB

TSS/SRB

TSS/CD

TSS/CD:(29 July 57)

29 Jvly 1957

[PAGE 15]
1. The purpose of Subproject No. 76 will be to support the research begun by has worked for five years for thet His last position was has been active in his field and has written rnany valuable publications. A list of his publications are appended herewith.

C2. has undertaken a study of how individuals and groups who are subject to apparently all-powerful, coercive authority, successfully defy this authority in pursuit of their own goals. It is the intention of to study the method which prisoners uee to defy authority while under.the extreme restrictions of a prison\_environent.-This type of study is a natural extension of our previous work-on-Conunist Prison Methods and provides the necessary follow up for the developmcnt of systems for resisting interrogation in imprisonment.

3.. When this project was originally planned it was believed that it would serve a useful purpose under Subproject No. 74.
C was known to two merbers 'of the
C and they strongly supported bis further research eltorts In addition as a represents a discipline that, to date, has not be adequately covered in the
B activities. However, as the project 'emerged, it became apparent that it had definite Agency relevance and would be best funded as a special project. The project was circularized to the members of the Board of Directors and approved in principleby C deferred judgment on the basis that he did not feel competent to evaluate this particular .project but indicated that he wouldaccept the opinions of the other members of the Board. who previously had no contact C
C with indicated the greatest support for this project. He hasrindicated his willingness to give professional consultive advice
C to and planning conferences have already been held
C with him. evaluation of the project is forwarded herewith.

76-12

DRAFT/ 29 July 1957 1

MEMORANDUM FOR: THE RECORD

SUBJECT

; MKULTRA Subproject No. 76

[PAGE 16]
4,. It is proposed that will work C independently in the area. Initially he e will takc advantage of the xesearch facilities of thel B and the B has indicated their approval of the study and a commnittee bas been formed to furnish profeseional guidance. Thus,-monitoring of the project wiil come from three sources: (1) (2) 13 and (3) TSS/CD personnel."The B will not be witting of the true\_source\_of the Grant. Funding of the project will be handled on a guarterly basis with payments made directly by the 3 C to will provide a detailed accounting of monies advanced him to thet This procedure is in accordance vith the By lawe of the and will be in the nature of a 3 fellowship grant.\_\_Equipment purchased will become the property of B the although it is anticipated that equipment costs will be practically negligiblc in this project.

5., .The total cost will be \$10, 000. 00 for a period of one year bcginning 1 July 1957 and will not be renewable.  Charges will .be made against Allotment 8-2502-10-001..

Chief,: Branch III TSS/Chemical Division

APPROVED FOR OBLIGATION ApProved: OF FUNDS:

ng Chief, TSS/Chemical Division

Date:

Attached: As stated above

Distribution: Original only

[PAGE 17]
Attached is the swmary pertaining to a proposal by C You will note that the majority. of our Directors have approved.

It is recormended that this project be -initiated as of July lst and funded in the amount of \$l0,000.

July 26, 1957.

Dear

[PAGE 18]
TE 210P0SAPUHAVIOR

The study will invostigste soke of tho charaoteristics of the sooisl situatien waich daternino whather or not. sntiauthoritarian centinents ars ezpressed in anti-anthoritarian acts kni vhich lnfluonce the fores such aotivity vay take.

ly ofrort during the yeor will bo to carry out a ressorch and to furthcr ay educstional preparation. This resosrch and oducation vill bs rolevant to ry interost in tho generel probleà or hov individuais and croups vho are subjoct to apparently all-powerful, cosrcive suthority succeasfvlly defy this authority in pursuit of thoir ona coals.

K3 intersst in this topio, and ay lormulation of it as a genoral toplo in hs above teras, steas froa vàat I conceivo as a cosmon thread ruraing throvgh mach of ths resuarch I have dono. For the pest tives yoare, maoot of py tine das been covoted to studying. the inolicaticns for the of the capture of ty the Cormunists. This foraulation was of obvious relcvanco to many of the central problepo of the 'stusy. B

Darirs the ontire five yaar period I epent in rosearch. I vas concorned in planning and csrayivg out researoh which freqvently invoived the otudy of aimilar relationshipe. Our researoh was to supçort and cpocial operations. Concoquently. it vas orientad frequently tovard tho probloms of osptive populations. I begin un trosearoh in April 1953

I plonned:to ctusy instancoo in vhich individuals and groups, seomiogly poverioss in terus er nber a, vaapons, orgenizatkons, and legitinaey.

[PAGE 19]
succeaafully resisted a seemingly all-poverful authority (e.g. prison riots, hungar atrikes. goneral atrikes, work slow-dowas, toycotts, terrorian, oto.). Tho objoctive wae to deterains whother thers vere princiolos which could bo stated at some high loval of generality vhieh would bo true of ell, or of broad -classos.. of such events. The praotieal ain was to provide potential advica on hona pnight bo used to support end control then. I had. completed a fiold ctudy of a prison riot baforo stating thio project in formal terns. As tho initial focus of tho projeot itself. the gencral etriko vas chosen ae a topio. A preliminary roview led es to the conelusion that the gonorsl strike vas one of tho rost likoly foras in vhich Bast Eoropean satellite discontont might tako overt revolutionary form. .Tho cccurrence of general strikes els appearod to co to bo a situation in which 7 had a potential 2 role as à controlling or supporting foree. Priority vhich was given to the  problen requirod no to susponi vork on this atudy of the goreral. striko threu moaths after I begen to. reviev lltorature on this topie. Tho expericnco was sufficient to convinoe re that it vould be possible to dorive prinoiplep of considereble power rolating both to tho goneration an:t the outcose of definnce of cosrciva authority.

This sketoh of the background of ry intoreat idontifien it coat brosdly. I propoto that, ry researeh during the yoar be on a Mlited and higaly speoifio opirieal prohloa in this genoral aros. rather than cspiriny tovard a treatise. I vieh to cosplote 9 paper vhich vill bo ueoapteblo as a diosortetion for tho Ih. D. in

[PAGE 20]
sinco I have completed ell othor requirements there for this degree. I vould propose to locath nyself for the period at such pluce aa appoars to ma to hoid forth groatost pronise as & souros of data for a wells defined problena in this genersì fiald and of. professional guidance and ossistanoe. I would seok to remady-those-deficiencies in ny oducational. background in whioh the institution at whioh I locate is perticularly strong.

[PAGE 21]
I vete dafiritely in favor of zrant of €l0.000 to 0 h B asstat him in studyr hor ina vicuats and srouos who are subject to roparently all-peyerful, coeretve authority successfully defy this suthority in pursuit of their own gonls.

It.is sensible of him to plen to-do his investirative work in feshien snd uner cusnices wrich will get him  PhiD. degree.. I trust, hovever, thet in doinc so he will suecessfully pursue his own goals vith a high dearee of intellectual integrity snd indecencence of the "aopsrently ell-Doverful, coercive suthority" of the depree-grantirg instittion. By th's J intend no discaracerent of the inetitution of his choice,--I merely mean ty indicate that the grent. is to hin for his stuy, not dezendent uron conforming to degree rocuirerents.

I see resson to hope that tis sporoach snd the publication of his results (and the subseouent academie scru'ay of his study) will help to retebllsh a rore clearly eetion-oriented conantation of the concent, of "ettitude," vhict has.been too much "psper-ant-pensil" oriented in theliterature of sociology and social nsvchology.

One aspect of his besic puoblex, vhich scems to re of the greatest precticel importanse, es well as the dee-tst theoreticnl slenificancr, ray be ststed: low does one establish and wainta!n woralesn integratin? sense of shared coumitrent to a highly values cause--vhen the others (those with vhom one sheres the comritment) are "imegined" persons, rérote, or in indirect contact, rather than physicslly preeent, in direct contect?

My daily vork presents to me petients (schizophrenic patients) some of whon appcar to me to be out of rapport with those In authority, yet seeking to meintain somnc onse of worale through awkward hallucinatory snd delusional imsginati .atesbip with iteallze! figures. Schizoptrenic eetients do not jeve. very robust or effective integration in such e shared commitment. It is lik o be silly, sentimental end stubborn. The phenomenon

[PAGE 22]
CEpage?

does however scer to present sonevhat the same auesticn that I rentioned-in the preceding paregraph, which I teze to be a crucial oe in pro0osal, C

Sincerelv yours,

[PAGE 23]
In pendengpreporl to the directors I rernoved liis budget hecauce :

a) fees forrnrdatonr go alsve
1ooos. oidenrdue grauls b)  both fell it woel
le rreucd as a boowdorgle for oue ms dreads )  flt  shcld make
pome conieicas sinse he wes
Mperthereng his status & elucatesm, d) Other anrangent con
likaly le made fov some coat
such as. dates Grelesing, secretarel
Salptravel I ouggestd to the Boand
am annoviit Q 10m und
referred is forI their connneut. dDo you feel threne's enougl
focies to thiir problem to justifes
its bavidleng as a "project
Nather tan a grant— that
anvight mnake a differeuce in
it hamdling pailetid 7o desire to mauntsin hi
tandend g livriug -whicls sville

76-17

[PAGE 24]
puffer por at hest. De. rehh in tht oller Sand
I would be tavyh to oblaiw a grunt 2 even 5M. from crecne like
Some 2 te ollers

We ohrld have aoincnts 8 sorne B the Goard ooon- alsa  think this urlle stimelate a little plavininy pession to determine firliny guedance re the boader Wrereinohould he helpfel

V 224 q040 5I0C62aT28) S0202 ( 000) 0ar

9 800°00 T\*00000 200\*00 3E08

7117

[PAGE 25]
p

e 59 cend t 0 0'3.9. go €3 2 4 20 546 21 24 ng C2 2 or 3 C 0 8 4

7617

[PAGE 26]
FEMORANDUE TOT AIL THE DIRECTG S

Subject: Project Proposal

Attached is a proposaì from who has been concerned for recent months with the Froblem. He has. B conducted as well as monitored research in this area for the B

His organization, thel is B toing dissolved in a current re-organization ofd research; B and are faniliar with Mr. accomplishments. ohas suggested thate is a prime example of tho young scientist with ideas and initiative who constitute the best of America's hope for irnovation. I heartiy agree although my judgment may be prejudiced by having worked with for three years C in the B

The proposal woald not oniy explore a rather new area in inter cultural, socio-political studies, but would enable to C qualify for his Fh. D. degree. The proposal is recormended to you for your conments: Do you agree with: me that this proposal could constitute one of the small grants to be made during 1957.

C nive Secretary

Apriì .8, 1957

[PAGE 27]
TENPATIVE PROFOSAL A STUDY OF AITI-AUTEORTTARIAN BEHAVIOR

The study will investigate sone of the characteristics of the social situation which detormine whether or not antiauthoritarian sentiments are exprgssed in anti-authoritarian acts and which influence the forms such ctivity may take.

Ny effort doring the year will bo to carry out a research and to further my oducational preparation, This research and education will be relevant to wy interest in the general problem of how individuals and groups who are subject to apparently all-powerful, coercive authority successfully defy this authority in pursuit of their own goals.

ly interest in this topic. and my formulation of it as a general tooic.in tho above terms, stems fron what I conceive as a commion throad running bhrough much of the resoarcn I have done. For tho past three years; most of y time has beendevoted to studying the implications for the of the capture of by the Comunists. This formulation was of otvious-relevance to many of the central problems of the study. B

During the entire five year period I spent in research, -I-was-corcerned in plarning and carrying out research which frequently involved the study of similar rolationships. Our researeh was to support and special operations. Consequently, it was orientod frequentiy toward the problems of captive popolations. I began an  research in April 1953 B

I planned to study instances in vhich individvals and groups, seemingly powerless in terns of numbers. weapons, organizations and legitimacy.

76:18

O

[PAGE 28]
successfully resisted a seemingly all-powerful authority (o.g. prison rlots, hunger strikes, general strikes, work slow-downs, boycotts, terrorism, etc.). The objective was to determine whether there were rinciples which could be stated at some high level of generality which would be true of all, or of broad classes, of such everis. The practicat aim was to provido potential advice on how might te ased to sapport and control them. I had completed a field study of a prison riot before stating tris project in formal terms. As the initial focus of the project itself, the general strike was chosen -as a topic. A preliminary review led me to the conclusion that the general strike was one of the most likəly forms in which East European satellite discontent night take overt revolutionary form. The occurrence of general. strikes also appeared to me to bo a situation in which had-a-potentiat role as a controllirg or supporting force. Pricrity which was given to the problem required me to suspend work on this study of the generai strike thres months after I began to review\_litorature on this topic. The experience was sufficient to convince, me that it would be possible to derive principles of considerable powor rerating both to the generation and the outcome of defianco of coercive authority.

This sketch of the background of ny interest identifies it most broadly. I proposo that my research during the year be on a limited ani highly specific empirical problen in this genera! area, rather than aspiring toward a treatise. I wish to complete a paper which will be acceptable as a dissertation for the Ph. D. in

76-18

O

[PAGE 29]
all other requirements there-for this degree: I would propose to locate myself for the period at such place as appears to me to nold forth greatest promise as a source of data for\_a welldefined problen in this generai fieid and of profossional guidance and assistance. I would seek to romedy those deficiencies in my educational background in which\_the institution at which I locate is particulariy strong.

Stipend (Continuation of present salary(\$9,000) plus : retirement annuity. paymonts) \$9.540.00

Estimatò of moving family. and moving-or-storing household goods 800.00

Research expenditures (clerical and data processing) 1,000.00

Travel for consaltation 500.00

Academię fecs 1.000.00

Total Required \$12,840.00

76-18 0.3