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ABS TRACT

A STUDY OF THE EXPRESSION OF TRADITIONAL
JAPANESE CULTURE THROUGH SELECTED SOCIAL RITUALS
As REVEALED IN POPULAR NOVELS
By

Midori Yamanouchi Banks

There has been increased interest in the dramaturgi-

cal approach to the study of interpersonal dynamics in

recent; years. There also has been renewed interest on the

study of rituals. Analysis of these studies often suggests

the importance of everyday interaction rituals. The drama...

turgical approach to the study of human behavior is applied

h." to study the ritualization of symbolic behavior. The
process of ritualization of everyday behavior interaction
is seen from the perspective of Japanese culture and per-
sonality.

In Part II, a discussion of Japanese everyday social
run“, is presented as manifested through contemporary
Japanese popular novels. Reflecting history and tradition,
Social rituals in Japanese interpersonal relations contain
a hierarchy of principles which we might consider as the
cultural basis for the manifested overt behavior patterns

of the people. Japanese mental characteristics such as a

naturalistic dom-to-earth orientation, the conditionality

 

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Midori Yamanouchi Banks

of their thinking, the concept of resignation, and emotion-
alism are identified and discussed. Some of the major
guiding principles for interpersonal relationships as ex-
pressions of these psychological characteristics are the
distinction made between public and private matters, the
relativity of thinking regarding interpersonal relationships,
and the emphasis on vertical relationships and honorifics

in particular as expressed in Japanese language.

In addition to this internal analysis of social
rituals. an analysis of Japanese interaction rituals in term
of various external aspects is also undertaken: (1) the
proper use of language, particularly the relative nature of
language usage, (2) ritualization of spatial pattern, (3)
standardized greetings for different occasions and for differ-
ent relationships, and (h) the social rituals of clothing.

The concept of face and face-work in Japanese inter-
action is reviewed in the last chapter and related to
various points developed in the earlier chapters. Topics
dealt with include the general concept of face and face-work
in a Japanese context; various expressions used in referring
to the subject; frequently mentioned embarrassing situations
in Japanese novels; and a particular type of face-losing
situation involving those who are able but fail in competi-
tion, those who are less than lucky. The last section
describes the use of a third party in settling differences

in Japanese interpersonal relations.

a.“

 

 

fluid-3|

 

iSI'JDY 3F IKE ES:

Nidori '1'

A STUDY OF THE EXPRESSION OF TRADITIONAL
JAPANESE CULTURE THROUGH SELECTED SOCIAL RITUALS

AS REVEALED IN POPULAR NOVELS

By

Midori Yamanouchi Banks

A THESIS

Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of

DOCTOR OF PHILOSOPHY

College of Social Science

1973

If

V- . .
I
1? I ' "'Q
m

 

AZXKCO'

I: has been my goc

£29. Dr. Donald V. 0125

11911:: Dr. Ralph .\'ic‘:‘

23:93. In most ind
Jrspiration to 85.91“
Sigrity. I am grateful
tinted And Mrs. Wall

1'1"!" and Dr. Clmstec

.‘s ”in“ and com

d 11k! a1;

’7 data”
me and, 33t b
hI

A CKNOWLEDGEMENT

It has been my good fortune to have Dr. James B.

McKee, Dr. Donald W. Olmsted, Dr. Douglas Dunham, Dr. Walter

R. Fee and Dr. Ralph Nicholas as the members of my advisory
committee. I am most indebted to each one of them for

the inspiration to aspire for academic excellence and
integrity. I am grateful to Professors McKee, Fee, Dunham,
and Olmsted and Mrs. Walter R. Fee for having read my draft.
Dr. McKee and Dr. Olmsted have been the most wonderful
thesis advisers, and their kindness and patience are deeply
appreciated. My gratitude also goes to my husband, Dr.
Valter R. Banks, for reading rough drafts, pointing out
ambiguous points and coming forward with criticism.

I should like also to express my appreciation for my
bl‘Other's insistence on my mastery of Japanese language and
°133810s, my sister's and my late father's never failing
faith in me, and, last but not the least, to my mother for
ha'ing given the opportunity to breathe the best of old

Japan .

ii

 

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Enter
I. JEIEPAL EIECRISE

Recent Dowel:
Limitation o:
Ethological E
Ritualizatiox
Human Ri
Ethology

N I
«'. RIKALIZATICX 3

Dramaturgic ‘
Behavior
Ritualizatio
imitation o
of Even'da
Cultural bif
ExProssion

resentation
°nc°Pt of

 

INTRODUCTION

Chapter

I.

II.

III!

TABLE OF CONTENTS

0 O O O O O O O O O O O O O O O O O O 0

PART I

GENERAL THEORIES OF RITUALIZATION . . . . .

Recent Developments
Limitation of Ethological Approach
Ethological Studies
Ritualization of Behavior in Man
Human Ritual Elements
Ethology and Human Ritualization

RITUALIZATION OF SYMBOLIC BEHAVIOR . . e e

Dramaturgic Approach to the Study of
Behavior

Ritualization of Everyday Behavior

Limitation on Individual Variation
of Everyday Rituals

Cultural Differences in Standardized
Expressions

Presentation of Self

Concept of Space in Interaction Rituals

Good Manners as Social Rituals

PART II

CULTURAL SOURCES FOR JAPANESE INTERPERSONAL
RELATIONS: GENERAL DISCUSSION ON JAPANESE
MENTAL CHARACTERISTICS . . e e . . . e 0

General Observations

The Tangible or Down-to-Earth Orienta-
tion of Japanese Language

Conditionality, Multi-Dimensionality
and Tendency away from Exaggeration

Resignation

Bmotionalism

iii

Page

15

15
21
25
31
33
38

56
56
so
6’4
66

7h

93
10h

109
109
120
128

137
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Historical An;
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Feudal Soc
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and It:
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IntergerSOI
Vocabula
Japanese
Intern
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SOClal Ritu;
sOcial Ritu;
Rituals as '
'ajof Catex
Rituals U
Relatln
PTOper

Chapter

 

Page
IV. REVIEW OF TRADITIONAL JAPANESE INTERACTION
PATTERNS C O O O O O O O O O O O O O O O 151
Historical Analysis of Major Concepts on
Interpersonal Relationship 151
Feudal Social Bond and 'Familialism"
of Today 158
Reigi 16%
Giri and Nin'B 169
Oyake and atakushi 174
Lack of the Concept "Privacy" 179
Mibun §§§ 186
Fragmentation of the Japanese Society
and Its Impact on Interpersonal
Behavior 190
On Japanese Language with regard to
Interpersonal Relationship 192
Vocabulary on Good Social Behavior 192
Japanese Accent and Pattern of Social
Interaction 196
Honorifics 199
Varieties of Honorifics 202

Japanese Language and Social Structure 206

V. SOCIAL RITUALS AND SOCIAL CRISIS IN EVERYDAY

JAPANESE LIFE . . . . . . . . . . . . . . 216
Social Rituals in a Traditional Society 218
Social Rituals in a Newer Society 220
Rituals as a Response to Danger 221
Major Categories of Japanese Social

Rituals 222
Relating to the Proper Use of Language 225
PrOper Spatial Behavior 231

Place for Interaction 2&1
Standardized Greetings 2&9
Regarding Proper Attire to wear:

Occasions and Seasons 262

Types of Kimono and Special Occasion
for Them 266

Social Consequences of Violating Social

Rituals 272

VI. ON JAPANESE CONCEPT OF FACE AND FACE-WORK. . 283

Japanese Expression Regarding "Face" 302
Embarrassing Situations 313

Face-work Rituals for Less Lucky Ones:
Neutralizing Measures 318
Face-work by Employing a Third Party 325
CONCLUSION ‘ 0 O O O O O O O O O O O O O O O O O O 339
APPENDIX eeeeeeeeeeeeeeeeeeeee 31‘s
BIBLIOGRAPIIY 0 O 0 O O O O O O O O O O O O O O O O O 350

iv

  

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PART I

 

 

 

 

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INTRODUCTION

In recent years there have been studies utilizing
the dramaturgical approach to interpersonal relations.
However, as Goffman states, "The study of face-to—face
interaction in natural settings doesn't yet have an adequate
name. Moreover, the analytical boundaries of the field
remain unclear. . . ."1 This research field itself is,
thus, relatively new and in its formative stage. Yet, it
is of crucial importance. Bennis and others emphasize the
importance of the expression of interpersonal feelings in
our daily interaction with others. Not only such feelings
are basic and real, but they do "have real effects tin
interpersonal relationshipsn, and that they can be studied
Vithout recourse to a physiological or instinctual theory."2
Studying social rituals is an important segment of
“19 dramaturgical approach to the study of interpersonal
dYnamic. and the quality of human relations. Also the
““derstanding of social rituals would be essential for
“Mowing the quality of interpersonal relation in any given
seeigty.

\

N 1Erving Goffman, Interaction Ritual (Garden City,
- Y. : Doubleday do Company, 1937’ e P. 1.

2Warren G. Bennis and others, eds., Inter ersonal
%. rev. ed., (Homewood, Ill.: Dorsey Press, 1968’,

 

Social rituals s
recesses to specific 3
In; in a society to
2mm. Social ritus
:srizas hey are on
info: a people. “e”:
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Emotion of bringin
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7"‘13 serve a society ‘

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Moreover, in con

teasing urbanization
can form that gen:
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Uta? ‘5.

called "tom;

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2

Social rituals may be considered as standardized
responses to specific situations which recur frequently
enough in a society to warrent the canalization of behavior
patterns. Social rituals represent normative behavior
inasmuch as they are culturally built-in regulatory mecha—
nisms for a people. While more formal types of social
control such as laws and official regulations may serve well
the function of bringing justice when a code of good conduct
has been violated, or damage done to a party has to be
corrected, or an offender punished, they do little to effec-
tively serve a society as mechanisms for maintaining positive
relationships among its members in their everyday life.

Moreover, in contemporary Japanese society with its
increasing urbanization and rapid social change, there are
certain forces that generate toward a breakdown of the
<1uality of human relationships in that: (l) the trend toward

what may be called "temporary system" where geographic
Inability is great and interpersonal relationships tend to

3 and (2) the density of population which

be less permanent,
a‘ff‘ects personal space or "territoriality" which is a
31éflrificant factor in interpersonal dynamics. and (3) a
general disintegration of norms that accompanies a rapid
social and cultural change.

Sir Julian Huxley pointed out that when existing

l”Whale are no longer adaptive and adequate to new types

\

0 3Usage by Philip E. Slater, in his "Some Social
°“3°quences of Temporary Systems," in Bennis and others,

eds., 02, cit.. pp. 139-53.

 

 

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3

of psycho-social situation which are the result of contem-

porary social changes, new everyday rituals will have to be
constantly added either to take over or to supplement these
older rituals which are no longer adequate.“

With these considerations, a study of social rituals

seems most crucial in our attempt to understand interpersonal

_..‘J

dynamics. Yet there is no systematic study regarding a.“

Japanese everyday social rituals available as of date.

 

Hence the findings of this study will be a contribution to

the analysis of interaction in Japanese everyday life, and

the significance of social rituals in general. The Japanese

Imople are reputed to be very polite and most courteous,

however this reputation may be a result of their close

adherence to established social rituals. Possibly it is

this adherence to social rituals that contributes to the
Prevention of open hostilities, which are rare in Japanese
e179:l:‘yday interaction. Specifically social rituals may help
iJuiividuals in working situation in that they can better
distinguish personal relationships and instrumental relation-
Shiqaa. If so, a certain degree of harmony can be maintained
“'91! when two people who are not fond of each other have to
'°rki itith each other. Possibly also the existence of social
1Rituals may give individuals a sense of security and comfort,
i.e

- e not having to suffer from the anxiety of not knowing

if one is being prOPBro

\

lo
B Julian Huxley, "A Discussion on Ritualization of
ahaViemr in Animals and Men: Introduction," Philosophical

Transaction
s 23; the Re a1 Society 23 London, Ser. B, No. 772,
01. 251, 29 Dec. 19665, p. 2 .

 

—‘—‘—

 

 

Based on th' PI
unison the "11 be:
23;: social rituals 1
only ingrained in S
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trait, a selective

refer this study 1
can; rituals are :11
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Based on the presumed importance that social rituals
have upon the well being of a society as a whole, and that
basic social rituals in everyday interaction are usually
deeply ingrained in social customs and that such behavior
patterns are usually taken for granted and viewed as

"natural" responses to a given situation not requiring much
thought, a selective list of contemporary popular novels are
used for this study to see how various elements of Japanese
social rituals are dramatized in them. In other words, inter-
personal social rituals as observed and reproduced through

the keen eyes of novelists will serve here as data as to

the common and accepted expressions of rituals in everyday
Japanese life. Of course obvious exceptions can also be

noted when the novelist deals with a character that is
conspicuously deviant.

As mentioned before, this study describes Japanese
everyday social rituals with an emphasis on face-to-face
relationship through popular novels. It is not concerned
'31131 the general impact of specific social rituals upon
the Quality of interaction or upon Japanese culture as such,
a1though its significance is fully recognized and it is hoped
that such a study will be undertaken in a future.

It is also not concerned with a comparative Study of
Japan use everyday rituals of today with any other period
°f JEI-pamese history or with other societies. The degree of
impasrt that Vesternization has upon Japanese culture and

Pfirsonality and upon everyday interaction patterns are

 

 

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framing and challen:
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5
fascinating and challenging topics for study, but it is
beyond the scope of this thesis. While most Western scholars
of modern Japan are intrigued by such comparison, there are
some leading Japanese scholars, such as Prof. Chie Nakane,
who see the continuing elements of Japanese culture deserv-
ing greater emphasis. We are inclined to agree with Prof.
Nakane and other such scholars, but we do not intend to
become involved in this dispute. Rather, our analysis
focuses upon various cultural and ritual elements which are
seemingly significant in the Japanese everyday interpersonal
relationship. It appears that the importance of social
rituals is far greater than normally so recognized by most
laymen. In the future we wish to extend this study to the
issue of the relative importance of rituals, but this too
is beyond the scope of this thesis.

Also, this study is not a psychological study nor a
comparative study of various social variables influencing
social status differentiation. Rather, what we intend to
pursue in this thesis. because of some presumed social
impact, is the subject of everyday social rituals in
Japanese fece-to-face interaction (and their cultural basis)
and analyzing the content of literary works. It is hoped
the structural manifestation of these rituals can be studied.
Some sub-areas of this topic could also be studied in depth,
such as the significance of laughter as a component of
social rituals. but these too would be outside the scope of

this thesis.

1'
E ‘a me.um' -"‘“" ‘ ‘

Ibis study is no
me: Mamie a qu
3:391: consulted. I
:I’Jepmse scholars it

How the novels 1
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6

This study is not a quantitative study. Hence, it
does not undertake a quantitative analysis of the content
of novels consulted. For supportive materials, the works
of Japanese scholars and personal observations are used.

How the novels were chosen for this study will be
discussed in the following section. Theories on the
relationship between literature and social life will

conclude this introduction.

The Method of Selecting Novels

In order to get a fair representation of contemporary
popular Japanese novels dealing with Japanese everyday life,
Shuppan Nenkan (Publication Yearbook, compiled by Shuppan
Nyfisu-Sha, Tokyo) was consulted to obtain the list of best
selling books from the end of WWII to the present. Of
these titles, translations of foreign works, historical
novels, novels dealing with non-Japanese societies, and
non-fiction titles were excluded.

An emphasis was placed upon those authors whose
complete works have been included in the list of best
sellers, and those who have received various literary awards
as well. These titles which appeared in the list more than
once received particularly close attention. Those novels
which were initially published as shimbun sthetsu ("news-
paper novels" which appear in a newspaper as a series) of
major newspapers also received careful considerations.

This selection is based on the fact that (1) the most

 

 

 

 

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7

popular fiction tends to portray more common topics rather
than eccentric and outrageous characters, and, in fact,
often portray everyday life of various categories of people,
and that (2) there seems to be an un-written understanding
among authors to stay with a reasonably moderate and some-
what educational orientation when writing shimbun sthetsu
because of its presumed impact on general public, and that
(3) those novels, i.e., shimbun sthetsu, ought to be
rather simple, straight forward and not too difficult, for
the readers of these novels are most inclusive, i.e., women
at home and children, young and old, highly educated and
not so well educated, and so on. Hence, they are aimed at
the most general reading public.5 Moreover, the authors
selected to write a shimbun shosetsu for one of the major
papers are usually already well established novelists,
because the primary function of the inclusion of a novel
in a newspaper series is to increase the newspaper subscrip-
tion.6 In addition to the novels so selected, some titles
in the pre-WWII best selling list, which are considered
classics, are also included when it seemed appropriate to
do so.7

These various authors' novels were used qualitatively

and not quantitatively. In other words, some works had

 

5Seiseien Ihara, "Shimbun Shfisetsu," Waseda Bungaku
(February 1906). Cited in Senichi Hisamatsu, Nihon Bungaku
Shi: Kindai (Tokyo: Shibun D5, 1966), p. 79.

6Circulation figure of about U,000,000 or over.

7See Appendix, "Annotated List of Novels Used."

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8
very little to contribute toward the particular interests
of this thesis, and hence are not even reflected in footnotes.
Thus, the footnotes do not necessarily reflect all the titles
consulted for this study.

It might be added that the background of the authors
whose works contributed most toward my study tend to have
relatively strong educational background although their
original family backgrounds and the route they took to have
become literary figures differed considerably. It may be
that the more educated tend to have the type of sensitivity
which interests and enables them to describe in detail
intricate social interaction scenes. The differences in
treatment of subject by the authors of various background,
such as educational, social or philosophical difference, in

itself would be a topic worthy of further study.

Theories of Relationship Between Literature and Social Life

Not only novelists, but most literary artists have
endeavored to attempt to catch the color of life itself.
As Coser stated, literature, "though it may also be many
other things, is social evidence and testimony. It is a
continuous commentary on manners and morals . . . ."8 And,
literary works present for us the precious record of modes
of response to peculiar social and cultural conditions of

the time the story takes place. Han Suyin's §_Many

Splendored Thing is therefore a literary piece more so than

 

8Lewis A. Coser, ed., Sociology Through Literature
(New York: Prentice-Hall, 1963), p. 2.

 

2:215 an autobiograth‘
:e 3:;19 and manner!
It is said that
:53: our sense percei
311i: is so it vould
acquire data on V318
111:! ncvelists to b
ire-sass. In other \
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utpecple do withou‘
1% reason for the po;
163mg out many t1
i459“ ”put their
Hark Schorer d
313918 the croativ
232E” impoud Upon

at:
' If the artist

9

merely an autobiography, for the scenes, the customs of
the people and manners are so vividly portrayed.

It is said that subliminal perceptions are something
beyond our sense perception and even our cognitive level.
If this is so it would be impossible for ordinary people
to acquire data on what is subliminal. It takes the acute
mind of novelists to bring this phenomena into the level of
awareness. In other words, literature condenses what
people do because of the author's ability to describe what
most peOple do without really being aware of it. Moreover,
the reason for the popularity that many novels enjoy is that
they bring out many things which readers feel that they
could not "put their finger on" before.

Mark Schorer discussed the need of realization, as
it impels the creative artist. The necessary limitations
that are imposed upon every creative being is his environ-
ment. If the artist inhabits "such barren ground cas in
America: . . . it would be difficult to fulfill himself."9
Regarding the work of ten well-known twentieth century
American writers, T. K. Vhipple concluded as follows:

Most of their work has a touch of that gauntness or
emaciation, a deficiency in variety, body, mass, which
springs from underfeeding of the imagination - from

having lived, that is, in a world which affords
inadequate experience.

 

9Introduction to Leon Surmelian, Technigues‘gg Fiction

Writin s Measure and Madness (Garden City, N. Y.s Doubleday,
1963, Anchor Books, 1969), p. x.

10Quoted in Surmelian, op: cit., p. x.

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The world that the author creates, therefore, depends in
large part on the world that he inhabits. Thus, "even the
greatest genius has a collaborator in his environment, and
if that collaborator is sluggish, even the greatest genius
may fail in the full realization of himself."11

It follows, then, that if the creative process of
writing itself is a movement from the unrealized to the
realized, it is a process that in part brings the unconscious
quality of the habitual into the realm of consciousness,
and in this way it endeavors to know and to make known the
previously unknown.

There has been considerable controversy over the
question of unconscious behavior, however. Some insist
that men are often unaware of the most important things they
do, and others are equally adamant that any talk of "un-
conscious" or "subconscious" processes is fraudulent.
Regardless, it would be reasonable to say that much of our
everyday behavior escapes our conscious awareness, some
are natural responses to a recurring situation and some are
characterized as habits whether one is aware of them or not.
Much of our everyday behavior and expressions are, in fact,
not a result of deliberate thinking. These are the behavior
areas the novelist is able to observe and describe through
his perceptivity and sensitivity, as discussed before.

In his Language 222 Literature in Society, Hugh

D. Duncan discusses literature as equipment for action:

 

11Mark Schorer, Introduction, in Surmelian, op, cit.,

p. xi.

 

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11

and points out that whereas Freud uses the dream, Malinowski
the spell, Burke uses the proverb as an illustration of the
sociological function of verbal symbolism.12 When people
find a certain social relationship recurring so frequently
they must have a way of naming it to begin dealing with it
at all.13 The deve10pment of social ritual involves both
the canalization of behavior patterns and language. Thus,
in studying social rituals, the use of literary works seems
most appropriate.

Concerning cross-cultural studies of behavior, Al-
Issa and Dennis wrote:

One of the many ways of comparing cultures is to
compare the content of the successful plays produced
by each culture. This method can be criticized, as
the authors acknowledge. Perhaps authors, not nations,
are being compared. But plays are produced for profit,
and it seems likely that over the years the producefls
have learned to give the audiences what they want.1

Our assumption is that the psychological constella-
tions in a literary work, as in a dramatic work, "indicate
sensitive areas in the personalities of those for whom the
work has appeal" and that "their needs, assumptions and

values are expressed ('projected')" in it.15 It may be

reasonable to state, as McGranahan and Wayne did, that

 

12(New'York: The Bedminster Press, 1961), p. 8b.

13Cf. Kenneth Burke, The Philoso h 2; Literagy
Form: Studies in Symbolic Action (Baton Rouge: Louisiana

State University Press, 1931), p. 293.

1’"Ihsan Al-Issa and Wayne Dennis, eds., Cross-
Cultural Studies 2; Behavior (New York: Holt, Rinehart and
Winston, 1970), p. 196. cEditors' note).

15Donald V. McGranahan and Ivor Wayne, "German and
American Traits Reflected in Popular Drama," in Al-Issa and
Dennis, eds., op, cit., p. 197.

 

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12

analysis of popular songs, poetry, art, humor, novels and
short stories, and so forth, may well reveal other psycho-
logical facets of a historical population that are not
accessible to direct study.16 In order to create a desired
sensation in the mind of reader, the writer has to reproduce
situations portraying the characteristic movements of a
given group, reflecting geographic, social, age, sexual
and other differences. The author provides the reader with
scenes, and so forth. so that the reader can build up his
own sensations of space, scene and atmosphere.

In this regard, Hall in his Th2 Hidden Dimension
discusses literature as a key to perception, Although he
is specifically talking with regard to social Space, the
same principle may be applied to the study of social rituals.
A writer's "success in communicating perception depends
upon the use of visual and other clues to convey different
degree of closeness." Not only the spatial relationship
of interactants, their concern for non-verbal communication,
particularly the subliminal level of awareness of the
interactants themselves, would be most helpful in fully
creating scenes of interpersonal interaction. The question
that Hall asked himself was "whether one could use literary

texts as data rather than simply as descriptions."18 "It

 

16Loc. cit.

17Edward T. Hall, The Hidden Dimension (Garden City,
N. Y.: Doubleday, 1966), p. 95. .

18Loca cit.

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must be remembered," Hall states, "that communications are
on many levelsz'what is relevant on one level may not be
on another, . . . [the passages: reveal how great writers
perceive and communicate the meaning and uses of distance as
a significant cultural factor in interpersonal relations."19
Likewise, it is reasonable to say that the study of gestures
and non-verbal expressions as well as verbal exchange will
serve the same purpose, as much of body movement, change of
tone, shifting of position, et cetera, is done at the
subconscious level. In fact, space is but one component of
the total interaction process. And, what he says about
social space seems applicable also to the study of everyday
social rituals.

In conclusion, as Shibutani commented, "it has
frequently been contended that literary men present a more
convincing depiction of human life than social psychologists,"
and in "even the best of their [social psychologists'n

20 And that

studies, something seems to be missing."
although these phenomena that novelists and playwrights
deal with as central theme are unquestionably a central
part of the drama of life, social psychologists have until
quite recently avoided their study.21 Thus, it seems most

appropriate to use literary works as sources of data in

this study of social rituals.

 

19

Loc: cit.

20Tamotsu Shibutani, Societ and Personality (Engle-
wood Cliffs, N. J.: Prentice-Hall, 1961), p. 323.

21Loc: cit.'

1U

In the two following chapters, we review Western
scholars' scientific works on the subjects most relevant
to the topic of this thesis. Part II deals with the
Japanese everyday social rituals in face-to-face inter-
personal relations. Inasmuch as social rituals are products
of tradition and hence reflect the basic ways of thinking
of a people, Japanese scholars' works on Japanese culture
and personality are reviewed in Chapter III. The major
concepts on interpersonal relationship in Japanese everyday
life from historical point of view is specifically dealt

in Chapter IV.

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CHAPTER I
GENERAL.THEORIES 0F RITUALIZATION

Recent Developments

Lorenz defines the young science of ethology as the
biology of behavior,1 and identifies the subject of ritual
and ritualization as the principal concern of ethologists.2
An increasing amount of interest has been seen in recent
years also among anthropologists, psychiatrists, and other
social science disciplines in the subject of ritual and
ritualization. In fact, in 1965 the Royal Society of London
sponsored a symposium, the first one in 150 years, under
the leadership of Sir Julian Huxley with ritual as the
central topic for discussion. Each member presented his
findings as to how ritualization or formalized activities
take place among animals, and how the process of evolution

is related to ritualization.

 

1Konrad z. Lorenz, "Ritualization in the Psycho-social
Evolution of Human Culture," Philoso hical Transactions of

the Re a1 Societ 2£_London, er. B, No. 7727 v61. 251 (BBB.
I536}. p. 275: ' '

2Sir Julian Huxley, who himself is credited with
being the founder of ethology, acknowledges Charles Darwin
as the forerunner of ethology, notably the publication,
Expression 2; the Emotions ig.§3g‘§gg.Animals (1881). The
‘work of elous-TTQOl), entitled Bird Watching, is also of
great importance. More contemporary ethologists include such
scholars as Lorenz and Tinbergen. For a brief review of the
subject, see "A Discussion on Ritualization of Behaviour in
Animals and Men: Introduction," Philosophical Transactions

of the Re al Societ 22 London, Ser. B, No. 772, Vol. 251
'Tfiec. 193%). Pp. 259-71. 5? Huxley.

15

 

 

 

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16

Referring to ritualization in man, and being fully
aware of the existence of wide disagreement as to the use
of terms like ritual in anthropological and psychological
literature, Huxley states that he continues to use the term
ritualization "for simplicity's sake . . . in a broad sense
to denote the adaptive formalization and canalization of
motivated human activities so as to secure more effective
communicatory ('signalling') function, reduction of intra-
group damage, or better intra—group bonding."3

Not only do approaches to the study of ritual and
ritualization of behavior differ according to discipline,

there is no uniformity in the use of the term ritual and

ritualization between disciplines.“ Erikson mentions that

 

3Huxley, op. cit., p. 258.

1(Ritual as an adjective is defined by $23 Shorter
Oxford Dictionapz as "pertaining or relating to . . . rites:
of the nature of . . . a rite or rites": and rite is defined
as "a formal procedure in a religious or other solemn obser-
vance; a custom or practice of a formal kind (e.g. rites of
hospitality) the general or normal custom, habit or practice
of a country, now especially in relation to religion or
worship (e.g. the Roman rite)." Ritual as a noun is defined
as "a prescribed order of performing religious or other
devotional service; a book containing the order to be observed
in the celebration of religious or other solemn service . . .
the performance of ritual acts." (Quoted in Huxley, op. cit.,
p. 258n.) Leach suggests that, for the ethologists, Hinde s
definition seems to serve for all: "ritualization refers to
the evolutionary changes which the signal movements of lower
vertebrates have undergone in adaptation to their function
in communication," Philoso hical Transactions 331392 Re a1
Society of London, er. B, o. 772, Vol. 251 (Dec. 19
p. #03.) However, for the purposes of this paper, Huxley's
general-definition seems to fit better. Leach also notes
that: "tor the ethologist, ritual is adaptive repetitive
behaviour which is characteristic of a whole species; for
the anthropologist, ritual is occasional behaviour by par-
ticular members of a single culture . . . . It cannot be
too strongly emphasized that ritual, in the anthropologist's
sense, is in no way whatsoever a genetic endowment of the
species." (Leach, 02: cit., p. #03.)

 

V

 

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17

the oldest of a number of connotations concerning ritualiza-
tion is the conventional anthropological one, "which ties it
to rites and rituals conducted by communities of adults
(and sometimes witnessed by children or participated in by
youths) for the purpose of marking such recurring events as
the phases of the year or of the stages of life."5 Fortes'
usage is very much in this line. He distinguishes ritual
from non-ritual by saying that "the distinguishing feature of
ritual lies, not in the internal constitution of actions,
utterances and beliefs, but in their external signification,
in their relationship with the total cultural environment."6
rortes takes the position that "ritual is distinguished from
non-ritual by the fact that it is aimed at the occult," and
accordingly defines ritual as "procedure for prehending the
occult, that is first, for grasping what is, for a particular
culture, occult in the events and incidents of people's
lives, secondly, for binding what is so grasped by means of
the ritual resources and beliefs available in that culture,
and thirdly, for thus incorporating what is grasped and
bound into the normal existence of individuals and groups."7
Leach, on the other hand, proposes that ritual be .
viewed in broader terms. 0f the three types of distinctively

human behaviors, i.e., (1) "rational technical" behavior,

 

5B. Erikson, "Ontogeny of Ritualization in Man,"
Philosoppical Transactions pg’pgp Ro a1 Societ pg’London,
er. B, No. 772, Vol. 251 (Dec. 19 , p. 357.
6M. Fortes, "Religious Premisses and Logical Technique
in Divinatory Ritual," Philoso hical Transactions of'gpg Rozal
Sociegz pg London, Ser. B, No. 772, Vol. 251, p. #15.

71bid., p. #11.

 

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18

(2) "communitive" behavior, and (3) "magical" behavior, the
orthodox convention in anthropology is to reserve the term
ritual for the behaviors of class (3), and call behaviors
of class (2) by some other term, such as etiquette or
ceremonial. Leach sees the distinction between behaviors
of the above two categories as either illusory or trivial
so that he makes the term ritual embrace both categories.8
Thus the Tallensi custom where a messenger announcing the
birth of a baby (i.e., if the baby is a boy, the messenger
arrives carrying a cockerel and a throwing stick of the kind
men carry when they go hunting, and if it is a girl, a pullet
and a calabash dish) would be ritualization in this defini-
tion, whereas in the definition of Fortes it would not be.9

A relatively recent connotation of "ritualization"
is the clinical one, where "the term 'private ritual' is.
used to conceptualize obsessional behaviour consisting of
repetitive solitary acts with highly idiosyncratic
meanings."10 In the light of more recent findings this
connotation is no longer popularly used. Erikson suggests
this clinical connotation be set aside in order to take
account of newer insights both in ethology and in psycho-
analysis.11 There is now a trend in the ethological

literature12 which follows the original suggestion of Sir

 

8Leach, op. cit., p. hoh

90f., Fortes, op. cit., p. #12.

1onrikson, op. cit., p. 337.

11Loc. cit.

12Summarized in Konrad Lorenz's Das So enannte Boese,
196b, later translated in English and published as

2E.Aggression (New York: Harcourt, Brace a Worhi,l966).

 

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on in grand
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19
Julian Juxley to use the word "ritualization" for certain
phylogenetically preformed ceremonial acts in the so-called
social animals.13 Erikson thus suggests that we should begin
by postulating that behavior to be called ritualization in
man must consist of an agreed-upon interplay between at
least two persons who repeat it at meaningful intervals and
in recurring contexts; and that this interplay should have

adaptive value for both participants.1u

According to him,
these conditions are already fully met by the way in which
a human mother and her baby greet each other in the morning.
He says that ritualization in man seems to be grounded in
the pre-verbal experience of infants and reaches its full
elaboration in grand public ceremonies.15 Erikson regards
"private rituals" as non-communicative and non-functional
ritualization of behavior characteristic of animals in
captivity.

So far I have discussed rituals principally from the

cultural viewpoint. Let me focus our attention now on the

 

13Erikson, op, cit., p. 337. In this regard, Lorenz
comments on Huxley s usage and states: "If Sir Julian Huxley,
when first describing ritualization, used the term without
inverted commas, he did so on purpose, to emphasize that it
denoted a purely functional concept equally applicable to a
phyletic and a cultural process." Lorenz, "Ritualization
in the Psycho-social Evolution of Human Culture," p. 278.

1"lerzuwon, op, cit., p. 337. Interestingly, v. w.
Turner in his "Anthropological Epilogue" to the Royal Society
of London symposium on ritual points out that "non-human
'ritualized' behaviour tends to occur most frequently in‘
dyadic or triadic social situations," while many forms of
human ritual or ceremonial behavior often involve large
groups of participants. Philosophical Transaction 23.332
Rozal Sociegz.p£_London, Ser. B, No. 772, Vol. 251, pp. 521-22.

15Erikson, op, cit.. p. 337.

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20
evolutionary viewpoint in order to illustrate the significance

of combining the cultural and ethological approaches for
better understanding of the subject. Clearly from the
evolutionary viewpoint, Huxley points out that:

Two divergent tendencies seem to be operating in
animal ritualization. One is for ritualized behaviour to
evolve in the direction of an ethological reflex, by pro-
ducing signals which release appropriate action with the
minimum of delay: the other is to produce long-continued
ceremonies with a sexual or social bonding function.

During vertebrate phylogeny, ritualization has tended
increasingly towards more efficient bonding, with more
elaborate ceremonies, in which individual learning plays
an increasing role, notably in the primates. Their
ritualized behaviour foreshadows various human factors,
especially in regard to rank organization, play, and, in
chimpanzees, primitive dances. Similarly, primate
characters used in threat and sexual ritualized behaviour
foreshadow aspects of human dress, adornment, scarifica-
tion which perform the same functions.15

Although when anthropologists talk about ritual they
are usually thinking, primarily, of behaviors of a non-
verbal kind, but speech itself is a form of ritual. As
Leach puts it, "non-verbal ritual is simply a signal system
of a different, less specialized, kind."17 Turner believes
a review of findings regarding ritual as communication
improvement will contribute to our understanding of the
evolution of behavior patterns.18 In other words studying
the relationships between verbal and non-verbal rituals may
provide the link between the ethological and cultural

approaches to ritualization. Accordingly, a number of social

 

16Huxley, op. cit.. Pp. 257-58.

17Leach, op: cit., p. #0“

18V. W. Turner, "Anthropological Epilogue," Philo-
sopgical Transactions p£_the Royal Sociepz p£,London, Ser. B,
No. 772, Vol. 251, p. 521.

 

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21

scientists are now developing kinesic and dramaturgic
approaches to human interactions.19 They seem to follow in
the general line of development of the ethologists.

With regard to the significance of this broader
approach, Birdwhistell states that the work of the etholo-
gists and comparative psychologists in the last few years
has forced us to re-evaluate our previous conceptions of
the relationship between human and animal behavior.20 That
is, with the work of Tinbergen, Hess, Lorenz, Blauvelt, and
others, it has become increasingly evident that social
living is an adaptational imperative for the membership of
many non-human species.21 And, if we are willing to concede
that the evolutionary ladder runs from the inorganic to the
organic to the social and, finally to the human, as Bird-
whistell suggests, we must also be willing to re-evaluate

our primary postulates as to the nature of man himself.22

Limitation of Ethological Approach
Ethologically Sir Julian Huxley defines ritualization

 

as:

. . . the adaptive formalization or canalization of
emotionally motivated behaviour, under the teleonomic
pressure of natural selection so as: (a) to promote
better and more unambiguous signal function, both

19Notab1y Goffman's Evepzdaz Rituals and other works,
and Ray L. Birdwhistell, Kinesics and Context (Philadelphia:
University of Pennsylvania Press, 1970). Cf., Birdwhistell,

P. 79.
2Osirdwhisten, op, cit., p. u.

21Loc, cit.

221e1a.. p. 5.

 

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22

intra- and inter-Specifically; (p) to serve as more

efficient stimulators or releasers of more efficient

patterns of action in other individuals; (p) to reduce

intra-specific damage; andzgd) to serve as sexual or

social bonding mechanisms.
Based on findings in the field of ethology he concludes
that animal behavior consists of a number of organized
entities or units, each with a distinct function or set of
functions, which may be called behavior-organs. And, more
importantly, that the great majority of animal behavior—
patterns have been subjected to a process of ritualization.

According to Huxley, ritualized behavior-patterns

can all be broadly characterized as displays. The simplest
ritualized displays being monovalent, and the more complex,
bivalent in nature.2u The latter is more frequent, notably
in threat activities between rivals of the same sex, where
it involves a combination of aggression and escape motives,
and the corresponding intention-movements for attack and
fleeing.25 As Lorenz, Tinbergen and others illustrate,
these may occur in alternation, often combined in a compromise

intention-attitude or threat.26

 

23Huxley, o cit., p. 250. His definition on ritual
in man, supra, p. 16.

2“Monovalent ritualized displays is the simplest, and

arises from singly-motivated intention-movements.

2
SHuxley, op. cit., p. 251.

. 26Cf.,K. Lorenz, "Ritualized Fighting," in J. D. Carthy
and r. J. Ebling (eds.). 223 Natural Histor of A ression
(London and New York: Academic Press, 1965). ‘See also
N. Tinbergen, "Behaviour and Natural Selection," in J. A.
Moore (ed.). Ideas ppDModern Biologz (Proceedings of the 16th
International Congress of Zoology, New York, 1963). vol. 6,

p. 521. See also his "Aggression and Fear in the Normal Sexual
Behaviour of Some Animals," in I. Rosen (ed.). 223 Pathology
‘ppg Treatment p£_Sexua1 Deviation (London: Oxford University
Press, 19 _ .

.‘ .
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23

There are some striking similarities between animal
and human ritualization and canalization of behavior. Tradi-
tionally, it was believed that animal behavior was solely
controlled by their instinct. Some, in fact, even believed
that, outside of the field of biology, we have nothing to
learn from studying animal behavior, particularly in the
laboratory situation. However, findings regarding animal
behavior have been most helpful in generating hypotheses
regarding human behavior.27 Not only studies dealing with
the social behavior of primates but ethological studies of
other animals in their natural havitat, e.g., the ways in
which they communicate with each other, and their bonding
processes are becoming more and more significant and note-
worthy. They are particularly significant in the light of
new evidence that not all animal ritualizations are geneticly
based, e.g., bullfinches learning their song only from their
father, or father-figure. J. Nicholai's case of a bullfinch
raised by canary father-figure is analogous to human compul-

sion to stick to habit and the fidelity to an acquired custom

 

27In this regard A. H. Maslow, H. Rand and s. Newman,
in "Some Parallels Between Sexual and Dominance Behavior of
Infra-human Primates and the Fantasies of Patients in Psycho-
therapy," states:
ese parallels have certainly enriched our perception,
giving another dimension to many human psychological
problems, enabling us to see much that we had not noticed
before . . . ." (In Bennis and others, o . cit., p. 105).
See also, Harlow and Harlow, "Social DeprivaEion in Monkeys,"
Scientific America, Vol. 207, No. 5 (1962), pp. 137-lh6; and.
Harry Harlow, "The Heterosexual Affectional System in Monkeys,"
American ngchologgst (January 1962) and also in Bennis and .
others, op. cit., pp. “3-60. For a systematic compilation of
findings on animal social behavior, see also Robert B. Zajonc,
Animal Social Psychologz (New York: John Wiley, 1969).

 

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handed down from one generation to the next.28 It has been
reported that, in certain primates, e.g., the Japanese
macaque (Macaca fuscata), what may be called proto-tradition
occurs, leading to each group having its own food tradition
with a particular range of acceptable foods. Now and again
new foods may be incorporated in the traditional menu, and
new rituals, special food washing ceremonies for example,
may develop in relation to them.29

The role played by genetic inheritance in the
evolution and maintenance of phylogenetically evolved
rituals is, of course, taken over by learning in cultural
ritualization. In the process of learning itself, however,
there are some instinctive, or phylogenetically programmed,
mechanisms at work, such as so-called creature habit -
compulsion. Deviation from it is said to cause anxiety,
in man as well as in animals.30

G. M. Carstairs, when discussing rituals as social

31

releasers, said that he was chary of analogies. Lorenz

too agrees and says that an erroneous assumption of homology

 

28In Nicolai's study, a male bullfinch which had been
reared by canary birds learned to sing canary song. His
canary-like song was handed down in its pure form, without
admixture, through four generations bred in aviaries in
which plenty of normally singing bullfinches were present.
(Lorgnzi "Ritualization in the Psycho-social Evolution,"
p.20.

290f. C. A. Southwick, ed., Primate Social Behaviour
(London and New York: Van Nostrand, 1963). See K. Imanishi
(p. 68) and J. Itani (p. 91) for their findings. Cited in
Huxley, op, cit., p. 258n.

30Lorenz, "Ritualization in the Psycho-social Evolu-
tion of Human Culture," p. 280.

31G. M. Carstairs, "Ritualization of Roles in Sickness

and Healing," Philosoppical Transactions pp the Rozal Sociepz
25 £23133. Ser. B, No. 772, Vol. 251, p. 306.

 

 

 

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33m :11 tn)
33$. . p z

25
or, worse, of physiological identity, can indeed be
dangerously misleading. However, he adds that he does not
see that the statement of obvious analogies can lead us
into a trap.32 "Provided," he says, "that an analogy
concerns plainly comparable details sufficiently numerous
to exclude the possibility of coincidence, we are fully
justified in assuming that the two analogous structures or
bchaviour-patterns do indeed have the same function."33
Thus, wo have to be cautious about not confusing being
functionally analogous with being phylogenetically homologous.
With that caution in mind more recent and relevant etho-

logical findings will be discussed first, and then the

discussion of ritualization in man will follow.

Ethological Studies
Much of the ritualization of animal behavior is in

conjunction with the fourth function that Huxley discusses,
3h

namely, to serve as sexual or social bonding mechanisms.

Among territorial animals, for example, ritualized adver-

35

tisement of territory dominance is important. 0. R.

 

32Lorenz, "Ritualization in the Psycho-social Evolu-
tion of Human Culture," p. 278.

331oid.. p. 279;

3“Supra, p. 20.

35Many important functions are expressed in territo-

riality, and new ones are constantly being discovered.
According to H. Hediger, animal psychologist, territoriality
insures the propagation of the species by regulating density.
It provides a frame in which things are done. Thus it co-
ordinates the activities of the group and holds the group
together. It also helps prepare ready responses against
danger. (Cf. Hall, op: cit., p. 8). See also Niko Tinbergen,
“The Curious Behavior of the Stickleback," Scientific American,
Vol. 187, No. 6 (Dec. 1952), pp. 22-26, for a well known

study of territoriality.

 

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26
Carpenter, a psychologist who pioneered in the observation
of monkeys in a native setting, came up with thirty-two
functions of territoriality including those relating to the
protection and evolution of the species.36 Although the
list may be neither complete nor representative of all
species, his findings indicate the crucial nature of terri-
toriality as a behavioral system, a system that evolved in
very much the same way as anatomical systems evolved.37
While territoriality offers protection from predators, it
exposes to them these unfit ones too weak to establish and
defend a territory, and. hence, territoriality reinforces
dominance in selective breeding. Territoriality is also
associated with status,38 inasmuch as that a dominant animal
is somehow able to acquire personal Space by displaying
threat signals, while the subdominant animal cannot.39 Also
territoriality has the function of pr0per spacing, which
protects against over-exploitation of that part of the

environment on which a species depends for its living.”o

 

360. R. Carpenter, "Territoriality: A Review of
Concepts and Problems," in.A. Roe and G. G. Simpson, eds.,
Behavior and Evolution.(New Haven: Yale University Press, 1958).

3711.113.. op. cit., p. 9.

38Cf.. A. D. Bain, "Dominance in the Great Tit, Parus
Major," Scottish Naturalist, Vol. 61 (19h9), pp. 369-h72.
Cited in Hall, opI cit., p. 9. For interesting discussion
on this general topic, see J. N. Bleibtreu, The Parable 2£.the
Beast, (New‘York: Hacmillan Company, 1968). Collier Books
edition, 1969, ch. 6.

39Bleibtreu, op. cit., p. 203.

uoHall, op, cit., p. 9.

 

 

m,“ I
0"“!-

'
'DeIHI
'.'.l

3235'

27
Among animals, especially so in non-human primates,
grooming is important as a social and sexual bonding ritual.“1
Various modified forms are also seen in man. In birds, as

”2 on Redthroated Falconet shows that grooming

Sparks' study
takes the form of allo-preening, which is derived from the
monovalent ritualized or at least highly formalized activity
of auto-preening.“3
It might be mentioned here that highly ritualized
inter-specific grooming has been observed to occur in some
fishes. For example, Wickler reported that Labrcides
dimidiatus, a Tropical Wrasse, removes ectoparasites from
the bodies of other fish, and thus benefiting them. These
fish often show special invitation postures, and the groomer
occasionally displays in a sort of dance. And Labroides is
never eaten even by large predators. Some groomers, such
as Labrcides, are mimicked both visually and behaviorally by
quite unrelated species, which take advantage of the

"appeasement" attitude induced in the groomed species to

bite pieces of flesh from them.uu Similar examples of

 

“ICf., K. R. L. Hall and I. Dchre , "Baboon Social
Behaviour," in Primate Behaviour, ed. by Irvin Dchre. (New
York: Holt, Reinhart a Winston, 1965). Also C. R. Carpenter,
"Soziologie und Verhalten freilebender nichtmenschlicher
Primaten," Handb. 2001. vol. 8 (18). 10 (11). pp. 1-32.
Cited in Huxley, op, cit., p. 257.

th. H. Sparks“ "Clumping and Allopreening in the
Redthroated Falconet, Ibis, Vol. 107, p. 2H7.

“BHuxley, o cit., p. 257. Here a distinction is
made between forma ze and ritualized behavior patterns.
The former is more generic and broader, and it may not have
necessary characteristics of adaptive quality, etc.. which
are expected of ritualized behaviors.

“nu. Vickler, "Mimicry in Tropical Fishes," Philoso-

ppical Transactions 2! the Rozal Society 23 London, Ser. B,
N0. 772. Vol. 551. PP. 73-7 .

l

::;zliud,1.0n ad
mun also in ins
rally being that C
ze- nd wasp-mimic}
tel: tee to gain
an they scavenge

Huxley point
iii-order") of g
12:236. in most bi
1:13.“ The stuc

‘1'. mm. In pa:

ecu
"4 b'haYio r I

 

28

ritualized, i.e., adaptively formalized, mimetic behavior
are seen also in insects, with the biological advantage
usually being that of immunity from predation, but the
bee- and wasp-mimicry of flies like Volucella appears to
enable them to gain unmolested entry into their hosts' nests,
where they scavenge for food.“5

Huxley points out that a hierarchical rank-order
("peck-order") of graded dominance superiority and inferiority
is found in most birds and mammals which live in small
groups.“6 The studies of pecking order among monkeys are
well known. In particular, Maslow and others studied the
symbolic bdhavior of establishing dominance and subordinate
positions among primates.u7 Here, interestingly, sexual
bonding rituals were used as symbolic gestures in such cases.
A similar point is also brought about in Harlow's study,
where the young monkey who recognizes the other's dominance
makes the gesture of mock-presentation.“8 To establish a
peck-order among them works to eliminate intra-group fighting
so that the group would have more time for feeding and other
basic functions as a result.“9 As a consequence of submission

or appeasing rituals which are adapted by weaker animals in

 

uij., A. D. Imus, Insect Natural Histopz, 2nd ed.
(London: Collins, 1956), Chapter 9. Cited in Huxley, op, cit.,
p. 257.

6
Huxley, op, cit., p. 252.

l”Maslow, Rand and Newman, op, cit., pp. 105-20.

1‘8Harlow, op. cit., pp. “3-60.

u9Cf., K. Lorenz, "Der Kumpan in der Umwelt des Vogels,‘

Journal far ornitholo 1e,.Vol 85, 137. And also his Qp
ression lNew‘York: Harcourt, Brace A World, 1966). Cited

in Huxley, op, cit., p. 252 as examples.

' ‘- I;
7

 

.

I

1 ‘
U

 

ne.‘

~d‘

 

eo.
we.

 

lib

13W

 

‘L

I.‘

29
has been almost totally prevented. Such appeasement gestures
are believed to release a built-in inhibitory mechanism in
the strong animal, who is automatically stopped from actually
attacking the other.50 In other words, among non-human
animals, the use of ritualized symbolic behavior, as seen
in the course of establishing pecking orders, reduces intra-
specific killing; and, therefore, this ritualized behavior
is rather crucial for the well being of the species.

With regard to reducing inter-specific dangers, an
interesting example among the ritualized behavior of animals
is that of Stoats. The extraordinary behavior, which appears
to be based on ritualized play activity, enable them to
first attract the attention and then cause the immobiliza-
tion of Rabbits. In turn, it is suggested, that the Rabbit's
non-adaptive induced immobility appears to be analogous to
the ritualized, i.e., adaptively formalized,"freezing" and
death-faigning of many animals, including the Opossum.51
Huxley suggests that the most autaesthetio rituals are

52

possibly those of play and sports. In young mammals with

long active juvenile periods, in particular, play-learning

 

5°In human situations. a similar function can be
observed with regard to appeasement gesture, such as in an
attempt to escape the consequences of traffic violations.

Huxley, op, °1§n p. 252.

5ICf.. I. Bourliere, The Natural Histopz of Mammals
(New‘York: Knopf, 195E). Also, D. Morris, The Mammals
(London: Hodder and Stoughton, 1965). Cited inH uIey,o _p.
.Elfioo PP. 255-57.

52Vocal mimicry, however, has an autaesthetio as well
as an allaesthetic function. Huxley, op, cit., p. 256.

 

 

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30

occurs and provides a valuable preparation for adult life,
e.g., young lions learning hunting methods, as Schenkel
reported, through repeated exercise of adaptive motor patterns
of behavior supervised by adult females.53 Play is also a
socializing activity in many species: in monkeys groups of
young participate together},4 whereas in lions several adults
and their cubs join together.55

It has been mentioned that repetitive pacing in
captivity may be an example of pathological rituals which
are resulted from restriction of activity, and are not func-
tional.56 In agile species, new and individually ritualized
acrobatic activities adapted to the cage environment may be
developed similarly. In addition to restriction of activity,
when crowding is added, "the resultant stress may result in
anti-adaptive deritualization and disorganization of behaviour.
Obvious analogies occur in man."57

In addition, at times, mal-adaptive and non-adaptive
survivals of originally adaptive ritualization may occur in
new environment. For example, the domestic dog's turning

round on a rug is a non-functional relic of a ritualization

which was useful in the wild.58

 

53R. Schenkel, "Play, Exploration and Territoriality
in Wild Lions." Szpposium: Zoological Societz, 1966.

5bCf., H. I. Harlow and M. K. Harlow, "The Effect of
Rearing Conditions on Behaviour." Menninger Clinic Bulletin,
Vol. 26. 213. . "" "" _—

550f., Schenkel, op, cit.

56Cf., H. Hediger, Vild Animals pp Captivigz (London:
Butterworths, 1965).

57Hux1ey, op. cit., p. 257.
L00: Cite

 

 

 

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31

These ethological studies suggests that ritualization
of behavior with regard to grooming, pecking order, and play
activities, are very important contributors to the well
being and survival of the species. There are some ritualiza-
tion of behavior which may not be functional, such as the
pacing of captured animals and even mal- or non-adaptive
survivals of originally adaptive ritualization. Similarly,
we see in man both adaptive ritualization and mal- or non-

adaptive survivals of ritualization.

Ritualization of Behavior in Man

In ritualization of animal behavior it has been
observed that there are two divergent trends operating,
simplification and complexification. Reviewing the evidence
from recent ethological, psychological, psychiatrical and
anthropological studies on ritualization of behavior in man,
Huxley points out that one would recognize these divergent
trends, (1) toward simplification of communication and
immediate almost automatic action on the one hand, as in the
mechanization of prayer into prayer-wheels or mere repetition
of paternosters; and (2) to complexification, delayed action,
long continuance, and bonding function on the other, as in
the Mass or the initiation rites of almost all cultures.59

As Huxley points out the "peculiarities of human
ritualization . . . care: caused by the much greater speed

of psychosocial than of biological evolution. This leads

 

59Ibid.,.p. 266.

VEIIfm'"'

 

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32
to a much higher frequency of non-adaptive or even mal-
adaptive survival of rituals originating in relation to an
earlier psycho-social environment."60 The case of the
Lisbon earthquake of 1755, as reported by Kendrick, provides
a striking example of this sort where rescue operations
were gravely hindered by religious insistence on ceremonies

61

of intercession. Prayers for rain and ceremonies to avert
divine wrath tend to be regarded as non-adaptive in this
scientific age.

At the same time, adaptive time-binding and socially
bonding traditional rituals in institutions are widespread.

The "Old School Tie" is a real bonding mechanism, as well as
a piece of neckwear acting as a personal recognition signal.
It is a common practice in Japan for members of a company

to wear a small company badge on their suit lapels or hats.
Students are distinguished by their school uniform and other
visible school traditions.

Thus, in addition to simplification and complexification
of rituals there also may be survivals of vestigial rituals,
e.g., the carrying of nosegays, originally to prevent
catching contagious diseases, by English judges, and the
pouring of water over a tombstone, a custom in Japan, whose
original function has been long forgotten.

As to the function of rituals in man. generally

speaking, "whether phylogenetically or culturally evolved.

 

6°Loo. cit.

611‘. n. Kendrick, The Lisbon Earthquake (London:
Methuon. 1956).

 

 

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33

(rituals: do in fact perform the same functions of communica-
tion, or canalizing aggression, and of effecting the cohesion
of pairs or groups."62 There are obvious analogies between
the processes of phylogenetic and cultural ritualization,
while their differences concern the mechanisms underlying
the two processes and the amounts of time required for
development by each.63

In man, ritualization and canalization of behavior
is, generally speaking, far more complex, elastic and varies
more than in other animals. Erikson attributes this to the
various distinctive properties of man's mental life and
capacities. his behavior and development. Namely, the com-
plexity of the language, man's great capacity to learn, and
also prolonged learning process, together with very slow
post-natal development of man reaching his maturity, con-
tribute toward the complexification of ritualization in man.
Erikson talks of these in term of affecting psycho-social
evolution with regard to ritualization of man.6u
Human ritual elements

Erikson discusses various basic elements in human

ritualization, each representing each particular stage of

life.65 First, he isolated two elements in human rituals

 

62Lorenz, "Ritualization in the Psycho-social Evolu-
tion of Human Culture." p. 279.

63Loo. cit.

“or. E. Erikson, "The Roots of Virtue," in J. Huxley,
ed., The Humanist Frame (London: Allen and Unwin, 1961), and
also.f§T Erikson, Insight 222 Responsibility, (New York:
Norton, 196“). ,

65 E. Erikson, "Ontogeny of Ritualization," Philoso-

M Transaction pf the Re a1 Societ: pf London, Ser. B,
N°- 772» Vol. 251. pp. 337-59. "_""

‘eruz eel—‘6”

time clearly 87°“
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3h
which seem clearly grounded in ontogenetic stages of
development: the "numinous" and "judicial" elements.

The first element, the numinous element in rituals,
is based on the apparent need that man is born with for
regular affirmation and certification of self by others.

He states that its absence can harm an infant radically, by
diminishing or extinguishing his search for impressions
which will verify his senses.66 So Erikson suggests, there-
fore. "that this first and dimmest affirmation, the sense of
a hallowed presence, contributes to man's ritual-making a
pervasive element which we will call the 'numinous'."67
Mutuality is based on the reciprocal needs of interacting
human organisms. This ritualized affirmation, once insti-
tuted, "becomes indispensable as a periodical experience and
must find new forms in the context of new developmental
actualities."68

Erikson calls the second basic element in human
ritualization, "judicial," and places its ontological source
in the second stage of life, i.e., early childhood. During
this stage of growth, we have a growing psychosocial autonomy

with rapid advances in level of psychosocial awareness, and

 

66Once aroused, Erikson states, "this need will reassert
itself in every stage of life as a hunger for over now, ever
more formalized and more widely shared ritualizations and
rituals which repeat such face-to-face "recognition' of the
hoped-for. Such ritualizations range from the regular exchange
of greetings affirming a strong emotional bond, to singular
encounters of mutual fusion in love or inspiration, or in a
leader's 'charisma'." (Ibid.. p. 338).

671bid.. p. 358439.

“gig. . p. 339.

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35
hence socializing pressures are developed to transmit the
methods by which the discrimination between right and wrong
are to be made.

This second element of ritualization is differentiated
from the numinous element primarily by an emphasis on the
presumed existence of the child's free will. Unlike ritual-
izations in the infancy stage, now the child is trained to
"watch himself." In this process, he learns of negative
role models which furnish explicit images of pseudo-species
which he must not resemble in order to maintain the accep-
tance of his teachers.

These numinous and judicial elements can dominate a
particular stage of life or a particular institution, but
cannot produce ritualization all by themselves, other
elements must combine with them. Erikson adds the elements

" of "competence of performance,"

of "dramatic elaboration,
and of "ideological commitment," each representing his next
three stages of human psychosocial development, play age,
school age, and adolescence, and leading to "generational
sanction" as the last of the basic elements in adult rituals.
The dramatic element (representing "play age") is

"grounded in the maturational advances of the play age which
permits the child to create with available objects (and then
in games with cooperative adults and peers) a coherent ElEE

Iiflfl,§£gpgpip turns and some form of climatic conclusion."69

 

 

691bid., p. 3th.

A

 

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in.
"He'a

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x522:

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36

Perfection of performance is the element added in
the school-age. The sense of detail, seriously attended to
within a meaningful context, characterizes this element
added in the school-age. In fact it is because the mental
and emotional capacity for such accuracy arises only with
school-age that children are sent to school.70 Rules of
performance become important and thus one may refer to this
element as the "formal" element in the ritualization process.

By adding all those above mentioned elements, Erikson
says, we feel closer to an understanding of the dimensions
of any true ritual. "But we also perceive the danger of
over-formalization, perfectionism, and empty ceremonialism,
not to speak of the neurotic 'ritual' marked by total
isolation . . . ."71 Hence the next two, "ideological" and
"generational" elements in ritualization are significant.

Tb be fully grown in the human sense means "the
readiness to join not only the technology but also certain
irreversible commitments to one's pseudo-species; which
also means to exclude (by moral repudiation, fanatic rebel-
lion, or warfare) inimical identities and outworn or foreign
ideologies."72 It is this ideological commitment with
associated ritualizations that Erikson identifies with the

adolescent stage of maturation.

L

70For a general discussion on rituals in education,
see B. Bernstein and others, "Ritual in Education," Philo-
ical Transactions of the Rozal Socie§x_ of London, Ser. B,
No. 772. Vol. 251. pP.-E29- 36. '

71

Erikson, "Ontogeny of Ritualization in Man," p. 3&6.
72 ' '

Loo. cit.

 

lit regard to ‘
elite of the adult,
4: earliest ritual
artisans time act I
tiecho and reaffi

'1‘.

zlzois. Hence. n
‘41:! outogehesis 01
with: the sancti

Tannin} lh

U

 

km" the core
arsenal incest:
“"7 Spirits or g.
them“: for ‘

 

37
With regard to the dominant function of ritual in

the life of the adult, Erikson emphasizes the fact parents
as the earliest ritualizors in their children's lives must
at the same time act as participants in instituted rituals
which echo and reaffirm the ritualizations of their own

childhoods. Hence, "the prime contribution of adult ritual

to the ontogenesis of ritualization . . . :13 that: ritual

reaffirms the sanction needed by adults to be convincing

ritualizers."73

Thus,

Whether the ceremonies of the adult years call on

personal ancestors in the beyond or on culture heroes,

on spirits or gods, on kings or leaders, they sanction

the adult; for his mature needs include the need to pp
periodicallz reinforced in his role of ritualizer, which
means ... to become a numinous model in his children's
minds, and to act as a judge and the transmitter of tradi-
tional ideals. This last element in the ontogenetic
series I would call the ggnerational which includes parental
and instruct ve, productive, creative ang:curative

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

endeavours.
Table 1. Ontogeny of Ritualization75
muhmflity
influmy 0f
recognition
early disgiiming-
on 0
childhood ‘, good & bad
play i dramatic
... J. “is:-
school- 1 l 1 rule? of
er or-
38° , f p mance
adoles— l 1 solggarity
_cence J, , J, conviction
alumnus
- GEMHmh
in adult NUMINOUS JUDIC DRAMA RMAL IDEO
rituals m TIC F0 LOGICAL sfigflhm
7322151. . p. 3&7 .
7uLoc cit.

75Ibid.. p. 38h.

 

532:3 iud human 3

In other word:
:syicsocial erolr
.iy;:genetic basis
simian, not by th
it's relatively ex
321:: instead of i
“3131.75 Also for
.téta a high degre
rL“nonhuman ri tu
iitetic or self-re

”mm Huxley e

53‘s .a1 latiox
'l‘umst be

38

Ethology and human ritualization

In other words, the process of human ritualization
in psychosocial evolution has a primarily ontogenetic, not
a phylogenetic basis; is directed mainly by psychosocial
selection, not by the genetic mechanism of natural selection;
and is relatively extremely rapid, operating in terms of
decades instead of in millennial periods, and shows accel-
oration.76 Also for the same reason ritualization in man
lead to a high degree of individuation.77 In addition,
many more human ritualized activities have a strong auto-
aesthetic or self-rewarding component than those in animals.
In summary, Huxley enumerates as follows:

In man, we find not only the adaptive canalization
and ritualization of overt behaviour, but also that of
thought or 'inner behaviour', resulting in motivated
idea-systems and in internal (psychological or mental)
organizations concerned with guilt and conscience,
anxiety and ’oceanic’ feelings. Secondly, every human
being has to construct his private ritualizations, his
own canalization systems, to guide the chaos and conflict
of infantile thought and feeling into individually adap-
tive as well as socially acceptable channels. Thirdly,
ritualization in the broad sense may spread from the
emotional into the intellectual sphere. there resulting
in adaptive canalizations of thought, like concepts and
formulas, ethical and legal principles, scientific laws
and theological doctrines. Such extended ritualization
is no longer directly comparable with ritualization in
animals and should perhaps be more strictly categorized
as formalization, but both have similar functions, and
both must be considered together in any gengral survey
of the adaptive canalization of behaviour.7

It is evident that ritualization and canalization of behavior

in man influence the organization of thought and behavior

760f., Huxley, op. cit., p. 257.

77ibid.; p. 259.

78Loc, cit.

5'; :‘9

. .p’ "‘

fin, and thus the
:i::ssologies as V
arssnies, architec
Enan rituals
bail functions: 5
:2, e.g., scapegoa
:siizss. Rituals
:Liziry rituals; ri
Ital rituals; p53:
lit; rituals; lega
finals; nouming ri
titimittee ritual
36! d. passage" I
5.39311er to man.
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9:131”. thus becc
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39
of man, and thus the formation of kinship systems, religious
and cosmologies as well as symbolic expression in rites and
ceremonies, architecture and art.

Human rituals can be categorized by principal psycho-
logical functions: some ritual involve psychological projec-
tion, e.g., scapegoat rituals, and others such as masochism
or sadism. Rituals may be grouped by social function:
military rituals; rituals of national prestige and bonding;
medical rituals; psychiatric rituals; greeting and hospi-
tality rituals; legal rituals; appeasement rituals; moral
rituals; mourning rituals; liturgical rituals; parliamentary
and committee rituals; oath-taking rituals; the universal
"rites de passage" rituals; seasonal rituals. Humor which
is peculiar to man, is also ritualized and canalized.79

However, human rituals evolve through psychosocial
evolution, thus becoming ecologically adapted to particular
habitats at particular times. For example, after the
neolithic revolution, hunting rituals had to be abandoned
or relegated to a secondary position, and new rituals
concerned with agriculture had to be evolved. And, not only
that, surviving hunting rituals underwent considerable
change in function. Thus, it is more confusing to classify
human rituals than rituals of other animals.

As has been mentioned before, there is a radical

difference between biological evolution in animals, which

79cr., A. R. Radcliffe-Brown, Structure and Function
in Primitive Socie (New York: Free Press, 1965f, particu-
larT—_—— y Chapter and 5_ on joking relationship.

 

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ho
is based on genetic transmission, and cultural evolution,
which is based on non-genetic cultural transmission and
tradition. This difference is explained largely in terms
of capacity for what may be called true (symbolic) language,80
which itself is properly called ritualized behavior.

From an ethologist's point of view, an example of
ritualized, i.e., adaptively formalized, adaptation in H222
sapiens is the development of speech. The psychosocial
evolutionary developments which resulted in the capacity
for speech took place a very long time ago, and the
findings of contemporary anthropology have absolutely no
bearing on the matter.81 Leach urges that in order to
understand rituals in man, it is essential to study the

relation between speech and non-verbal rituals.82 Bird-

whistell postulates that kinesic structure is parallel to

 

80The only well-formalized animal language is that
of bees. (K. von Frisch, 22: Dancing Bees. London: Methuen,
195E). Referred to in Huxley,pp.'ppp., p. 258. Man is
unique, however, in developing language that can be written
down and recorded. Margaret Mead wrote with regard to
language in its broad sense that,

. . . all natural languages that survive are sufficiently
redundant that they can be learned by the members of any
Homo sapiens group. (We: . . . would say that any
language developed by a human society can be learned by
the members of another human society, and that this
learning is possible both because of the redundancy,
which provides for a whole range of individual differ-
ences in sensory modalities, memory and intelligence,
and because language has been conceptualized the world
over as a part of culture that can be learned by members
of different cultures. (Margaret Mead, Continuities in
Cultural Evolution, Tbrry Lectures (New Haven: Yale
T—nivcr'—sity_‘rrc"ss'._196u). p. 1+5). Quoted in Birdwhistell,

op, cit., p. 108.
81Leach, op, cit., p. #0“.

82Loc, cit.

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language structure, and that the kinesic system has forms
which are astonishingly like words in language.83
Generally speaking, ritual is a communication system,
and we use ordinary speech and non-verbal ritual to commu-
nicate and interact with others. In fact, the verbal part
and the behavioral part are not separable. Both of these
are products of the given culture.8u Discussing rituali-

zation in man in relation to conceptual and social develop-

ment, Leach emphasizes the importance of the "language" or

 

ritual in man for the survival of society. The abilities

of non-literate societies to transmit extremely elaborate
amounts of information from generation to generation without
having to depend on written record Leach attributes to the
existence of verbal and non-verbal rituals.85 Thus,
studying primitive society would serve us in understanding
the function of language as ritual toward survival of
society, and Leach's analysis, therefore, would be appro-

priate to be reviewed here.

 

83Birdwhistell states:
”. . . at least as far as English, American and German
.kinesic systems are concerned. . . . it has become
clear that there are body behaviors which function like
significant sounds, that combine into simple or
relatively complex units like words, which are combined
into much longer stretches of structured behavior like
sengences or even paragraphs." (Birdwhistell, op, cit.,
p. O . .
He found no gesture or body motion which has the same social
meaning in all societies, That is, as he puts it, "Insofar
as we know, there is no body motion or gesture that can be
regarded as a universal symbol." (Ibid.. p. 81).

8“For an insightful discussion on the elements of
ritualization in various stages of life of man, see Erikson,

op, cit., and also supra, pp.33-36.
85Infra. p. 12h.

 

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Studies of some non-literate societies indicate
that they have adapted to the particular environmental
conditions in which they existed. For instances, the
Eskimos, the Australian Aborigines, and the Kalahari Bushman
all managed to survive in environments in which most out-
siders would find it impossible to stay alive for more than
a few days or hours. They could not have survived unless
these people were somehow capable of transmitting from
generation to generation an extremely elaborate body of
information about the local topography, its contents and
how it may best be utilized. "How is this achieved in the
absence of any written documents or of any kind of formal
schooling?" Leach asks. According to him, the performance
of ritual serves to perpetuate knowledge which is essential
for the survival of the performers.86

Perhaps so-called modern languages may be more
complex but not necessarily more advanced: they merely
take up more verbal space. In comparison to our own speech
habits of today, which contains a vast amount of redundancy.
in non-literate societies the whole of knowledge has to be
encapsulated into a memorizable set of formalized actions
and associated phrases. Quite analogous to our contemporary
manner in which we store information on punched cards or
computer tape, primitive people use the objects which they

employ in ritual in a similar way: the message is not

 

86Loach, op, cit., p. 1:05.

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conveyed by the objects as such but by the patterned
arrangement and segmental order.

Information which must be stored and transmitted
from generation to generation for the survival of society
might be categorized as (1) information about nature and
(2) information about society, that is, the relations of
men to other men. As it is evident in Australian totemism,
primitive peoples economized words by using and classifying
the categories of human society by means of the same words
which they use to classify the categories of nature so
that a group of human being and a class of natural objects
may all be thought of as representations of the same
entity.87 Also, in primitive societies, it is hardly
possible to make any clear cut distinction between infor-
mation which is expressed in verbal form and information
which is expressed in non-verbal action.88 Thus. the idea
of making a clear distinction between myth on the one hand
and ritual on the other, as did Jane Harrison, Malinowski
and others. may be also challenged. As one observes ritual
in primitive communities, it is a complex of words and
actions. It is not the case that the words are one thing
and the rite another. The uttering of the words is itself
a ritual. For ordinary non-literate people there are many

kinds of information which are never verbalized but only

expressed in action. In our ordinary conversation among

 

87Ibid., p. uo6.
881bid.. p. #07.

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intimates also, the totality of the behavior, namely words
plus action, in its proper context, conveys more complete
meaning, but the meaning is conveyed because of what we
know already about the context. This is particularly true
of ritual sequences. In Leach's words,
In any ritual performance some of the actors are likely
to be novices but the majority will have participated
in the 'same kind' of ritual many times before; indeed
the stability of‘the form of the ritual through time
is dependent on the fact that it is familiar to most
of the actors. But while the familiarity of the actors
makes it possible to reproduce past performances with
little variation this same familiarity allows the
combination of words and actions to be drastically
condensed without final loss of communication value ..8
precisely as happens in the conversation of intimates.
For this very reason that Leach warns against attempts to
interpret the meaning of ritual by anthropological intuition,
the kind of interpretation which has been quite common in
the past and still seen today. He states that "no inter-
pretation of ritual sequences in man is possible unless the
interpreter has a really detailed knowledge of the cultural
matrix which provides the context for the rite under
discussion."90 As many anthropological studies on body

motions in the recent years indicate, it would be reasonable

 

89Loc. cit. Moreover, unlike when we wish to convey
information at a distance by means of speech alone without
reference to context, where redundancy as in writable speech
is valuable for clarity, the more condensed message forms,
which are characteristic of ritual action, are generally
rappropriate to all forms of communication in which speaker
and listener are in face to face relations and share a
common body of knowledge about the context of the situation.
Thus, the condensed and multi-faced concepts as in primitive
society do not lead to ambiguity. "In any event in ritual
sequences the ambiguity latentin the symbolic condensation
tends to be eliminated again by the device of thematic repe-
tition and variation." (Leach, op. cit., p. #08).

9°Ibid., p. #07.”

 

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to say that gestures are culturally linked both in shape
and in meaning.91 Both are products of the given culture,
and that of what Erikson calls pseudo-species.

Edward Hall, in his Ihg.Hidden Dimension, says that
"no matter how hard man tries it is impossible for him to
divest himself of his own culture, for it has penetrated to
the roots of his nervous system and determines how he per-
ceives the world. Most of culture lies hidden and is outside
voluntary control, making up the warp and weft of human
existence."92 Moreover, "even when small fragments of
culture are elevated to awareness, they are difficult to
change, not only because they are so personally experienced
but because pe0ple cannot act or interact at all in any
:meaningful way except through the medium of culture."93

Thus, as Birdwhistell states, "not only can we dispense
with so-called 'natural' gestures as being single-culture
bound, but we can be prepared to discover that the methods
of organizing body motion into communicative behavior by
various societies may be as variable as the structures of
the languages of these societies."9u La Barre too questions
the universality of any gesture, even seemingly "natural"

auui universal smiles and laughter, and says that many of

 

91"Communication without Words," in lWAventure
Humaine,” Encyclopedic 51.2.3; Sciences 51_e_ l'Homme, Vol. 5 (Geneva;
Sister; Paris: De la Grange Bateliere, 1933’, pp. 157-66.
Cited in Birdwhistell, o cit., p. 79.

923. Hall, p. 188.

93Lbc,.git.

guBirdwhistell, 02. cit., pp. 81-82.

 

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these motor habits in one culture are open to grave mis-

understanding in another.95

'While gestures or canalized behaviors are culturally
bound and meanings are commonly shared as social behavior,
it is also possible for an individual to develop some rituals
of his own. That is, each individual member of the society
has varying special experiences, which make his performance
different from that of his fellows. In Ted Schwart's words,
the special idiolect or the idiomovement system of any
individual is a product of the special experiences of his
idioverse.96 Insofar as verbal and non-verbal expressions
are communicational one would normally stay within the
accepted ranges of behavior in a given culture in spite of
the individualism and idioverse. If a distinctively indi-
‘vidual particular performance is observed, it would most
likely be in a situation which is not communicational, i.e.,
when one is not interacting with others. These are what
Huxley talks of as individual canalization of behaviors.97

oAs Erikson commented, these individual rituals are not

 

95W. La Barre, "The Language of emotions and Gestures,"
in Bennis and others, op, cit., p. 203. In this regard, .
Birdwhistell writes that although we have been searching
for'15 years, we have found no gesture or body motion which
has the same social meaning in all societies. (Birdwhistell,

OE: Cites pe 81).
géBirdwhistell, 02, cit., pp, 81-82.

97For example, Huxley mentions of a boy at his prep
school who invented an extraordinary private rituals every
morning at breakfast he would conceal some porridge, take it
up to the urinal and deposit it in the second compartment
from the left." (Huxley, op. cit., p. 266n.) However, many
”human compulsive rituals are merely peculiar, like Dr.
Johnson's obligatory touching of posts when out for a walk,

e e e"(ppe 265-66) .

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functional in that it does not fulfill the functions of
social rituals: it is analogous to ritual behaviors of
animals in captivity.

Although people often assume that their expressive
behavior reveals their personality and deepest secrets to
others, particularly to the expert, Birdwhistell warns that
"the scientific study of expressional behavior as a reliable
test for determining underlying personality dynamics must
await extensive experimentation before we can test the
productive value and reliability of clinical judgments,"
because one cannot determine "how distinctively individual
any particular performance is before he knows the structure
of significant range of behavior for a particular behavioral
area."98

. Ritualization in animals is for the most part an
intra-specific phenomenon. But man has evolved into pseudo-
species (by whatever kind of evolution and for whatever
adaptive reasons). And each pseudo-species develops a
distinct sense of identity, "held to be 323 human identity
and.fortified against other pseudo-species by prejudices

'whieh mark them as extra-specific and, in fact, inimical to

"99

$119 only 'genuine' human endeavour. Paradoxically,

however, as Erikson points out that "newly born man can fit
iJltO any number of such pseudo-species and must, therefore,

become specialized during a prolonged childhood - certainly

 

gaBirdwhistell, op. cit., p. 82.
99Er1kson, "Ontogeny of Ritualization in Man," p. 3&0.

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#8

a basic fact in the ontogeny of familialization by ritualiza-

tion."1°°

While genetic inheritance is the basis for the
evolution and maintenance of phylogenetically evolved rituals,
cultural ritualization,on the other hand, is transmitted
through learning of tradition. This process of tradition
itself, as mentioned before, depends partly on phylogenetically
programmed mechanisms, called creature habit, i.e., compul-
sion to stick to habit. Also there is another mechanism
which ensures that fidelity to an acquired custom is handed
down from one generation to the next. Lorenz suggests that
the strong emotional value which human beings attribute to
handed-down custom, derives most of its motivational energy
from a very similar relationship between the young generation

and the elder. This depends on something very like the

psychoanalytical "situation of transference," namely, the

mechanism of passing on traditional norms and rites seem
unable to function if the recipient of tradition does not
feel, for at least one member of the older generation that
emotion of respect and love which a son feels for his father
under normal conditions.101 If this condition is met,
traditional values gain strength from‘generation to genera-
tiomh The farther the revered figure of the ancestor recedes

iJato the past, the better it fulfills its function as the

super-ego, the more inviolable become the standards of

 

100Loo, cit.

1OlLorenz, "Ritualization in the Psycho-social
Evolution of Human.Culture," p. 280.

 

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1+9
ritualized social behavior set by it. As the father figure,
even if it takes the form of a personal god, inspires both
fear and love, a new factor arises to motivate fidelity to
culturally evolved social norms and rites. We feel a
compulsory fear at their infraction, and, at the same time
we love them for their own sake, and for the sake of what
they symbolize.

These above mentioned, and other mechanisms which
ensure the permanence of culturally ritualized social norms
and rites, from generation to generation, perform an
analogous function in culturally ritualized social norms
and rites, to genetic inheritance in the evolution of phylo-
genetically ritualized forms of social behavior. Further-
:more, all these mechanisms have themselves, of course, been
phylogenetically evolved. When Arnold Gehlen said that man
is by nature a cultural creature, it was meant that all his
inherited norms of behavior have been selectively moulded
in phylogeny in such a way to need being complemented by

2
cultural tradition.10

Lorenz points out that rituals developing in cultural
Iristory attain their power of activity motivating human
behavior in a way that is very different from that in which
the instinctive motor patterns which evolved in phyletic
ritualization achieve the character of independent, active

drives. In spite of this difference in the origin of

motivation, their effect on social behavior is very similar.

 

1°21b1d., p. 281.

 

*1 a. w. sworn-'9

u.
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cu. I
tel-I4

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50

That is, in both cases the rituals become sufficiently
autonomous and stable to function as a sort of skeleton
supporting the structure of society. It is to be noted that
this is true not only of the great, highly ritualized
ceremonials, but even more so of inconspicuous everyday
behavior patterns. We notice the omnipresence of politeness,
the cultural polish, and so on, only when we observe excep-
tional human behavior in which it is entirely 1ack1ng.1°3
Thus, so much of everyday ritualizations is taken for
granted that most people go on accordingly without even
giving a second thought to minor indiscretions.

According to Lorenz, it is especially in the seemingly
unimportant everyday cultural rituals which we call manners,
that the triple function of all rituals, phyletic and
cultural, can be best demonstrated: communication, control
of aggression and bond-formation. For example, the function
of good manners in permanently producing mutual conciliation
between the members of a group can easily be demonstrated
by observing what happens in their absence. Any human group
which exceeds in size that which can be held together by the
‘bonds of personal love and friendship depends on these
three functions of cultural ritualization for its very
existence.1°u By definition "good" manners mean those

chaxacteristic of one's own group, and are thus approved.

‘nhus. we conform to them automatically and usually are not

 

1°3Ib1d., p. 282.

10“Lee, cit.

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51

aware that they do indeed inhibit aggression and form a
bond among interactants. And,it is also they that produce
group-cohesion.

In this regard, it is interesting to note that what
is considered abnormal is a type of behavior that is socially
deviant within a given society. Laing says that "socially
deviant behaviour is simply behaviour that the majority of
people regard as such." And, moreover, some abnormal
bohavior, i. e., socially deviant behavior, is regarded as
an expression of "mental illness."105

There is a common understanding that if one is not
mentally ill he would follow the standard of good manners
as prescribed in that given society. One's failure to
follow little everyday rituals, e.g., giving the polite
locks and gestures by which one takes cognizance of another's
presence in the room when entering it, would elicit anger

and hostility just as overt aggressive behavior does. That

is, such intentional suppression of the normal appeasing

106 0r,

rituals is equivalent to overtly aggressive behavior.
depending on the seriousness of such social deviation, the
offender might be considered to be mentally ill.

With regard to mentally ill patients, abnormal-sick
behawior in them is often behavior that does not fit into

the formal structure of certain social rituals. And, the

;pqychiatrist employs the "ceremonial" of the psychiatric

 

1053. n, Laing, "Ritualization and Abnormal Behaviour,"
Philoscgical Transactions 93 the 59.1%}. M 93 m, Ser.
B, No. 772, Vol. 251 (Dec. 1963’. p. 331.

106Lorenz, "Ritualization in the Psycho-social Evolu-
tion of Human Culture," p. 282.

 

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:1 person's behav
says as such, but
let instanc
tipsyc‘oiatrist t
i;$3chotic eithe
“Prescribed cor
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3‘5'P1aring tin
ottextmrein t:
“‘3 m PSYchi
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h m Para-r1 tu
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his take: an I

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52
107
consultation as his test situation. Hence, the mentally

ill person's behavior is abnormal, not in what he does or
says as such, but in his subversion of the context.

For instances, according to Laing, a person "may induct
the psychiatrist to induct him into the role of a patient"
as psychotic either by (15 playing the prescribed role in
the prescribed context, or, (2) by entering into the ritual-
ized context and refusing to play the prescribed role, or-
(3) by playing the role of patient outside the ritualized
context wherein that role is appropriate. Role reversal
within the psychiatric consultation, i.e., the patient
behaving as if he were the psychiatrist, would be a variation
of "the para-ritual gambit of . . . ritual of invalidation,"108
in Laing's words. Behavior that may be regarded as a double
double take, an elaborate hoax, or a charade, such as the
impeccably dressed young man in dark, double-breast suit,
perfect in all respects but he is wearing no socks and dirty
gym shoes with no laces, or the man who ends a dull interview
with a handshake in which he has tucked his thumb inside his
own palm, and so on, are examples of such para- or anti-
ritualization. And probable diagnosis in either case would
be schizophrenia, ipgg‘gggtg.109

In case of mental patient, there are many privately

invomted rituals in the light of deritualization of socially

 

1°7Laing, cg, cit., p. 331.
1°81b1d.. p. 332.

109Loc. cit.

 

 

 

 

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53

accepted rituals, the destructuring of the usual social
structure of communication. In such private rituals socially
shared signals are not used, or when used they carry private
connotations. The ritual seems to be directed toward
anxiety reducing.110 Behavior is usually seen as deviant
not just because the content as such is strange, but because
it is out of context, as mentioned before. And, much of
so-called psychotic behavior consists in the use of conven-
tionally non-communicative behavior in order to communicate.
Such "out of bounds" type of communication becomes more and
more "highly formalized, it is limited in temporal sequence;
' 111
it is resistant to change; it is cryptic."
Laing emphasizes the extraordinary complexity of the
rituals and pararituals known to psychiatrists, and the
fundamental simple fear of and longing for communication
that underlies them. As he concludes,
Ritualization is a formal patterning of the encounter,
the meeting of human beings. Behaviour as parody, a
pararitual or deritualization of normal ritual, is
first regarded as abnormal, next as ill, and finally may
be excommunicated. Thereafter, in clinical psychiatric
terminology, it 'deteriorates'. It becomes more and
more rigid, repetitious, telegrammatic, and cryptic.
But by then, we have not only an aberration of normal
ritual, but an aberration of an aberration.112
Now, let us turn back again to discussing ritualiza-
tion and canalization of behaviors in man in general. Here

we might be reminded again that man is by nature a cultural

creature, and we live in a society with others. The

 

11°Loc, cit.

1111bid.. p. 33%.
112Ibid.. pp. 33h-35.

 

 

 

 

..
I

.‘

. .

 

:3L:ganoticalll "0
no. faculty of
Saxon, if the hm
not, during his
Lugago nose vooa
rim vould not l:
2.2.1. comparable
in writes. "E'
W? dangerous ,
"Will. "Fail
“1131 behaviour \
"will "choc
Etliio cmdlos.‘

3%? 901

My“: lay be C

5h

phylogenetically evolved part of our brain which endows us
with the faculty of verbal speech would be quite unable to
function, if the human individual were not brought into
contact, during his ontogeny, with a culturally evolved
language whose vocabulary he can learn. "A man deprived of
culture would not be a happy savage . . . but a wretched
cripple comparable to someone with a damaged forebrain,"
Lorenz writes. "Even a partial loss of cultural tradition
is very dangerous," and, he warns us that it can occur all
too easily. "While the phylogenetically evolved bases of
social behaviour will persist . . . under any change,. . .
culturally evolved social norms and rites can be snuffed
out like candles."113

Huxley points out that much confusion and many social
problems may be caused by the failure of existing human
groups, including the human species as a whole, to ritualize
their behavior adequately or effectively in relation to the
radically new psycho-social situation of today. This applies
to all three aspects of successful ritualization - (1) its
communicatory, (2) its conflict-reducing, and (3) its
positive bonding functions. New ritualizations adapted to
newrsituations for today's changing world are critically
needed.11"

In the following pages in my discussion, the term

ritual and ritualization are used, except when it is obvious

 

113Lorenz, "Ritualization in the Psycho-social Evolu-
tion of Human Culture," p. 281.

lluHuxley, "A Discussion on Ritualization . . .." PP.
266-67o ' ‘ '

 

 

 

 

I.’ 52' O.

I I
.I ‘n
N 0-

cv '
'I: D

 

55

or so explicitly stated, in a broad sense, following that
of Sir Julian Huxley as he discusses rituals in man; for
it encompasses the ethological background and its applica-

tion to human'behavior.

 

 

 

 

I
f 515 e' WV“.

Bennis no
”"3355 is basic
litignship’ nth
W and measur
"3;. till behav
zoom 5, “mil
astiactual the“

it a“? rat

"I 31' I01“ Peepl

t; i{Bend on

CHAPTER II
RITUALIZATION OF SYMBOLIC BEHAVIOR

Dramatuggic Approach to the Study of Behavior
Bennis wrote that the expression of interpersonal
feelings is basic to the existence of the interpersonal
relationship, "that interpersonal feelings can be ascer-
tained and measured, that they are causal elements in how
people will behave, that they have real effects, and that
they can be studied without recourse to a physiological or

instinctual theory."1

At any rate, in the course of interaction between
two or more people, the quality and outcome of the relation-
ship depend on our perception of others as to their inter-
personal feelings and intents. We perceive this information
from other interactants through their overt behavior in
which verbal expression is but a part. In fact, Bird-
whistell states that literally hundreds of thousands of
bits of information such as change in the sound, light, and
odor stream as well as more obvious non-verbal expression

of various sorts, are sent and received by the interactants.2

 

1W. G. Bennis, "Emotional Expressions in InterperSonal
Relationship," in Bennis and others, eds., op, cit., p. in.

2"Let us . . . imagine that we decided to make up an
experimental universe 2 deux and put two human beings

56

 

15m mrydal in
“mod MOW °f

onon sent to “3

no cream a P”
oiuslon. but, 3‘
until. the 8'70“
ocma'olos a sect
no» one agree!
Jun mat "no '01
unassion once or
ins oust rocogni:

tesics because a

if: other:

is cor

 

5?

In our everyday interaction, however, we perceive only a
limited amount of the signs, verbal and nonverbal communi-
cation sent to us from others. This selective process in
turn creates a problem of misinterpretation and often
confusion, but, at the same time, in some cases it makes
possible the avoidance of otherwise embarrassing situation
and enables a smooth flow of interaction among interactants.
whether one agrees fully or not with the statement made by
Lowen that "no words are so clear as the language of body
expression once one has learned to read it,"3 We neverthe-
less must recognize the contribution of the study of
kinesics because a large portion of our everyday communication
with others is conducted through the use of means other

than verbal language itself." Gestures, tonal quality, the

 

in an elaborate box, and then decided to record all the
informational signal units that flowed into the box and
were potentially receivable by its occupants. Theoreti-
cally, the various machines would feed to a master tape
some 2,500-5,000 bits (and up to about 10,000) of
information per second. These recorded bits are nota-
tions of minimally discernible changes in the sound,
light, and odor stream." ‘

(Birdwhistell, Kinesics and Context, p. 3).

3Alexander Lowen, Physical Dynamics‘gg Character
Structure. Cited in Julius Fast, Body Language (New'York:
‘H. Evans, 1970), p. 81. Lowen talks about relating one's
body function to his emotion. A person with a sway back,
‘he believes, can't have the strong ego of a man with a
straight back. The straight back, on the other hand, is
less flexible. His interpretation seems considerably
different from Lambroso's body types, however. For Bird-
whistell's comment regarding this subject of one's expressive
behavior and his personality, supra. P.«h7.
l"Human communication is usually broken down into
thrme categories: language, paralanguage and kinesics. Cf.
Dean S. Ellis, "Speech and Social Status," in Social Forces,

XLV (1967). p. #31.

.3" Ad:

 

U

 

 

1543f eyes and

my a very in
fan-to-laco int
ncsrmalod ti.
intranet vorba
n11 b0 further -
mums us here
"3'" “Pressio:
Whaling tha:
“in tn arm
""Personal re
"‘3 this total
filling; in that
“"1531 and n

2" e '
M a; imPre

1~ 'u
no tun pmpe

:3 iii:

g! 13 “0‘

58
use of eyes and the use of other non-verbal expressions
occupy a very important part in our communication in
face-to-face interaction.5 Some clinical studies in kine-
sics revealed the fact that body language can actually
contradict verbal communication. As to this point, there
will be further discussion later. But, at any rate, what
concerns us here the most is not the question of whether
verbal expressions can more accurately reveal the actor‘s
true feeling than non-verbal expressions, or vice versa,
but in the effect of the combination of both in face-to-face
interpersonal relationship in a given context. After all,
it is this total picture that represents the person's
feelings in that particular social situation; the message
the verbal and non-verbal behaviors convey, as received by

others as 'impressions,"

are crucial points of concerns.
From this perspective, then, the actor's view of what he

is doing, is not relevant to the dramaturgic analyst: for
whatever the actor believes he is doing. so long as he is
engaged in interaction, the analyst finds and focusses on
the "impression" the actor is making on others, (and so are

the other interactants), while in other perspectives the

actor's beliefs are quite relevant.6 As discussed before.

 

5It is understandable that in a highly stylized per-
formance on stage, such as Kabuki plays in Japan, actors
pay close attention to some fine points in order to portray
a proper image and atmosphere on stage. For example, wigs
of traditional hair styles are made in such a way as to
instantly losen up in different degrees to show the mood,
anger, madness. exhaustion, etc. of a woman. (if. Toita and
u. Gunji, Kabuki (Tokyo: NHK, 1965). p. 92).

6Sheldon L. Messinger and others, "Life as Theatre,"
in M. Truzzi, ed., Sociology and Eve da .Life (Englewocd
011113, N. J.: Prentice-Hall, 1968), p. 15.

 

3:13p“? I: one
:3. given soci
nrznally th' 53“
hcrior to Mint
nu standa rdil 9d
:zprmnt its me
against each othe
situation does no
Initiation can
no: of group c:

Much of on:
We be found ix
3!! an regula to:
ntallied behavic
35mins.

Once a

in» ' .
"”1 Mailings I

c: that "1930 Ion:

59

in Chapter I, one's failure to follow what is expected
in the given society's norms of good manners represents
virtually the same thing as an overt aggression or a threat.
In order to maintain group cohesiveness, there has to be
some standardized social control mechanisms in any society
to prevent its members from engaging in open insults
against each other. In addition, if and when such a
situation does occur, there has to be some way in which
the situation can be mended so that at least the minimum
amount of group cohesiveness can be maintained.

Much of our verbal and non-verbal behaviors that
are to be found in a situation recurring often in everyday
life are regulatory mechanisms and, generally Speaking,
ritualized behaviors, namely adaptive formalization of
behaviors. Once a sequence of behavior is ritualized,
certain meanings are attached to them in that social context,
30 that there would be no ambiguity of meanings. Huxley
States that "Gestures are an obvious example of formalized
'xPressive behaviour that they become ritualized into
8ilgllals of threat or submission, greating or desire and
may form the basis of social convention and group bonding."7

"In any community," John Honigmann states, "there must
b0 some congruence between what different people do, believe,

and feel, otherwise social order would be impossible."8

¥

7J. Huxley, op, cit.. p. 253.

8
Her John Honigmann, 9.93.2!!! and Personality (New York:
In” 45-30". 1951+). p. 220. Quoted in Anthony F. c. Wallace,

0
m and Personality, 2nd edition (New York: Random House,
97° . p."'2"5. ,

L

 

 

 

ITE

MI

153.?! 57‘]
. ... .

a. _r

60

even among non-human animals, this is said to be true, as
discussed before. Ethologists' findings show that ritual-
ization and canalization of behaviors, in both monovalent
and bivalent categories, are an essential part of their
survival structure. That is, if the members of the
society are to understand each other adequately and thus
being able to work and live together, there is a need for
interpersonal regulatory mechanisms, more than having a
society merely "threaded like beads on strings of common
motions."9 While Durkheim's emphasis was on "common
sentiment" of societal members, more basic and perhaps as
important‘is the commonality of, and therefore ritualization,

0f symbolic behavior in a given society for its integration

and cohesion.

Ritualization of Everyday_Behavior

In the previous chapter the general concept of ritual
and ritualization at both phylogenetic and cultural levels
'38 discussed. Lorenz argued that "culturally developed
a(Haial nouns and rites are characters of human groups of
barious size much in the same manner as inherited proper-

1710s evolved in phylogeny are characters of subspecies,

‘

9F. C. Wallace states:

"one of the most hoary assumptions of the uniformitarian
vilfltpoint is the belief that a society will fall apart
and its members scatter if they are not threaded like
bOads on a string of common motives. Numerous sources
may be quoted that attest to the 'common thread' belief.
mus Aberle, Cohen, Davis, Levy, and Sutton in an essay
on the functional prerequisites of a human society, in-

(walflu‘h as prerequisites a 'shared. articulated set of goals' .
a°°o Sill-3.9.22 and Personality, pp. {ah-25).

‘

 

 

miss, genera. a
a: ”hair diveré
2310!: between '
Sargent ovoluti:
as cultural pro'

Iron this ‘.
zlzzeaess, and s
zation: of subm
ti: probably ha
Meter patter
f:r:':uost part

"317%. . . in

L‘Ch behave as '1

;,, n
“m 3P0cializ

me, n
'4 “Satin 1

61

species, genera, and higher taxonomic units."10 And also
that "their divergence during historical development erects
barriers between cultural units in the same sort of way as
divergent evolution does between species."11 Erikson called
this cultural process among men "pseudo-speciation."12

From this point of view many of the expressions for
Imliteness, and so forth, are culturally ritualized exag— . —

gerations of submissive gestures or appeasement gestures

which probably have their roots in phylogenetically ritual-

 

ized motor patterns.13 While ritualization in animals is L
for the most part an intra-specific phenomenon, "man has

evolved . . . in pseudo-Species, i.e., tribes, clans. etc”

"1’4

Vhich behave as if they were separate species. And each

newly born man, through various stages of development,
become "specialized" during a prolonged childhood,15 and

avoid "negative identity"16 by acquiring the ways of

k

10Lorenz, "Ritualization in the Psycho-social Evolu-
tion of Human Culture," p. 282.

11Loc, cit.

12Erikson, "Ontogeny of Ritualization in Man," pp.3hO-hl.
13Lorenz, op, cit., p. 282. .

1“Erikson, op, cit., p. 3&0.

15Loc, cit.

h 16Parents'and other elders compare a child with what

“"3181“: become if he and they did not watch out during his

HEY Childhood. Fear of "negative identity" is associated

to b the fact that "it embodies everything one is not supposed

can if or show - andwhat one yet potentially is." Thus,

apagid-Ored so essential for the maintenance of a.pseudo-

PBeudes e The negative identity furnishes explicit images of

a chao‘species which one must n_o_t_ resemble in order to have
“‘30 of acceptance in one's own." (Erikson, p. 3143).

A

 

 

1
"—

mo: approved
:tfisionalisn ar
rulaud to this 1
It follow:
who: in the 5.-
{Kid mat be ti
Fixation of a
“01.10! the st
firm of those
R’L'ist would be

a!

 

62
behavior approved in his pseudo-Species. The sense of
provisionalism and ethnocentrism seems to be closely
related to this fear of "negative identity."
It follows, then, that when we interact with one
another in the same society, ordinarily we take for

granted that both share the social norms. Moreover,

evaluation of a stranger is usually based on his ability

to follow the standard good manners of the particular
culture of those who are Judging. Hence an American

tourist would be judged and evaluated by the hosting socie-
ty's members applying their standard. Although at times
they may apply the standard that they may correctly or
incorrectly understand to be the tourist's society. Often,
therefore, in this type of cross cultural situation one may
b“ POrceived quite erroneously as to his personality,
sincerity, and his intention because, needless to say,
gestures and expressions of emotions are culturally bound.
w”ton La Barre reminds us that one has to be sensitive to
“Oanings which are culturally different from his own stereo-
tYpes. It is crucial on occasion for an anthropologist,
f0? it means his physical survival among some groups he

atudiem, and "he must at the very least be a student of

this area of symbolism if he would avoid embarrassment."17

\

, 17La Barre, op. cit., p. 197. He states:

In the language of gesture all over the world there
41‘. varying mixtures of the physiologically conditioned
r‘3Ponse and the purely cultural one, and it is
t‘1‘.Cluently difficult to analyze out and segregate the
“'0. (p. 205).

,Ir—
. V kw

 

1m 3" “mm
herican ethnogr
:tcfiold.18
It is and
ma md manna
:gin inter-3N
mimosa”.
one a bonding
m1; nlationsl
{ti-:1», or a grow
‘01 la; develop
tisciously sym'
itlar's salute
2dSpeeches of

:54"
"'4 ~10?! as to

Klong \n'

 

63

There are known cases which have ended in the death of
American ethnographers who misread the cultural signs while
in the field.18

It is understandable that the peculiarities of
speech and manner of a given group may cause misunderstand-
ing in inter-group relationships, i.e., relationships between F:
pseudo-species. But, at the same time, such peculiarities .
serve .a bonding function within a group, i.e., in its intra-

group relationships. In other words, a nation, a religious

 

group, or a group of people with one political ideology. can i-
and may develop highly elaborate, consciously performed and
consciously symbolized social norms and rites. As seen in
Hitler's salute to unite the Nazi, or the peculiar rituals
and speeches of a fraternity, these symbolic social rites
fundtion as to make the members stick together.

Along with the emergence of the other-directed person-
ality. even more easily observable phenomena today in the
U0 8. are the effects of living in a temporary system, i.e.,
3'“ increase in the degree of conformity with regard to one's
Overt behavior, particularly one's appearance and clothing.
“113 conformity is said to facilitate a speedy acceptance by
others.19 It may be necessary for a Madison Avenue executive
to dress like the rest of others while conducting business

1" order to gain trust of new business acquaintances.20 It

g

___ _ A_._

18La Barre, op, cit., 1). 197a.

3001 190f.. V. G. Bennis and P. E. Slater, ‘Ih__e_ Tem ora
-—-£LE§: (New'York: Harper a Row, 1968).

Lead. 20Cf., W. L. Warner and J. Abegglen, Big Business
7371-17? in A_m______erica (New York: Harper, 1955); sham L.

an: “d" T" M was Ms Lat—er e.-Sca1o
WEN New Haven: Yale University Press, 1967), Ch. 7.

k

   

 

 

Ligand business
tony enjoy it
:ziner occasio
ans. [not 1
15110 ccmon mi
1‘3: those who 1
5939. a certain

“”5531? to be a

”MONT-War:

Linitat' n on
\L
Vith Nga:

FEM of 5°Cia1

funicular Perso,
2m”. Inst 50

Laurbalancsd 1

‘ t I
5! “a

01‘ ml“

masking, is

he;
“on:

n organism

nationship. as

:25
5! 910nm be

21
(233“. Cf.' G.
ijfiyfiisint,
'1' '1“ I40.

220.
t. 13

SCUsse
23

61+

is good business to be in conformity with others, although
they may enjoy wearing something extremely individualistic
in other occasions, while playing golf or sailing. for
example. What is underlying beneath this sort of conformity

is the common misconception about the unity of personality

‘nmt those who look strange or different cannot be trusted.21 F“
Hence, a certain degree of conformity in appearance is s
necessary to be accepted by others particularly in a society
where interpersonal relationships tend to be less permanent

asih a temporary society. L

 

 

Limitation on Individual Variation of Everyday Rituals‘f‘"2

With regard to the proper form of a ritually organized
System of social activity we can expect some variations among
Particular persons, or groups in a society. These variation,
however, must be "held within certain bounds and nicely
counterbalanced by corresponding modifications in some of
the other rules and understandings," if an encounter, or
undertaking, is to be sustained as a viable system of inter-
action organized on ritual principles.23 In the instrumental
"lationship, especially, the balance of maintenance and

““21... should be kept in the ratio that allows the task to

‘

210f., G. Ichheiser, "Analysis and Typology of Per-

80na11ty Misinterpretation ".in Bennis and others op, cit.
Pp. 731-7%. '~ ' .

22Discussion here does not include the type of private

rituals discussed in Chapter I. Supra. 1&6n.

0 233,711.13 Goffinan. "On race-work," in Bennis and others,
cit., p. 2&9. ‘ '

2"The term "instrumental relationship" is used here

r
collowing the usage by F. I. Steele in Bennis and others,
W.. Introductory essay to Part IV, pp. 505—23.

k

   

 

2: carried 0”: 'f
m: the ”Mn“
infirm" 01
73:1:th in an
entity,” one 1
mile such as {
:iers effective
eating more t
in feelings of
anneal impa
relies upon the
2! int interpez
fun naller ir
hour.”

If we are
tint of View 01
1’ in: much com

“5| Society 4

65
be carried out efficiently. Whether or not one agrees
with the functionalist approach of Goffman in emphasizing
the importance of the individual being a usable and useful
participant in any ritually organized system of social
activity,25 one must recognize the importance of social
skills such as face-work. Such ability to interact with

others effectively without negative consequences, involves

 

something more than the functionalist views it involves
the feelings of each and all interactants. These feelings

have a real impact upon the individual's well being26 as ..

 

well as upon the quality of and also social consequences
01‘ that interpersonal relationship, such as a greater output

for a smaller input - or reward and cost that Homans talks

about.27

If we are to look at behavioral patterns from the
mint of view of societal survival, the crucial question
18 how much conformity to the behavior patterns ritualized
1n the society is necessary for the continuance and smooth
Vorking of society rather than what kind of impression one

"altos in the eyes of others. Obviously the individual

‘

S 2561‘" Alvin W. Gouldner. _’I_‘h_g Comin Crisis 2!; Western
M (New York: Basic Books, 1970 , pp. 373-90.

Oulner states that Goffman's approach, however, is "unlike
Nationalism, it has no metaphysics of hierarchy." (p. 379) .

It 11 26Particularly as to one'e psychiatric well being.

or as been said that the type of personal experiences which
“”208 one to re-evaluate his self-worth as a person is the
IailuOf mental stress that may lead to his mental breakdown.

q“. 1". to interact with others provide such an occasion to
81:10“ one's self-worth.

27Cf., George C. Homans, "Social Behavior as Exchange,"

Ame
msgoumal p_f_ Sociology, Vol. 63, No. 6 (May 1958),

 

L

 

r. -l e
v and !

:teractant is t':
mm: to the I
song in email
:scrucial. Ihe

LS hence related

1...
slug.

re , .
.:.tural D;

le have d
regulatory mocha
tzzrxete express
“:1; shared no
hiring differs
1“» rile there
F.343 0! gesture
Meanings.”
Elite different
fiiiign traveu.
eye

“mliarity

h.
salad
93, me 1

66
interactant is the one who causes a disruption or con-
tributes to the maintenance of cohesion in the society by
acting in certain ways. In that regard, individual behavior
is crucial. The need for social skill and statesmanship

is hence related to the survival of society, and its well

being. r]

Cultural Differences in Standardized Expressions

He have discussed the function of rituals as social

 

regulatory mechanisms in the previous pages. However, in e,
concrete expressions, such as gestures, they are not neces- U
larily shared nor universal among different societies.
Studying different societies' non-verbal expressions reveals
that while there seems to be some categorically universal
tYpes of gestures, they are not identical as to the forms
alulmeaningsfi8 In fact, a very similar gesture may mean
Quite different things in different societies, as many
fbreign travellers have personally witnessed. The frequency
and familiarity of such situations are very evident, for
m°8t anyone has either experienced or heard about such
°Pisodes. The ritualization and canalization of behavioral
Inttexhs, such as gestures and other expressions, had
d°Veloped through a long period of cultural tradition of

th‘ given society, and differentiated from other societies

through the process that Erikson calls "pseudo-speciation."

‘

28
8.1 La Barre states that there is not a single univer-
3‘3ture throughout his studies of various cultures of

the Vorld. SuEra. p.116.

k

 

 

 

no.
He

r':
(1

i“
‘v.

..
‘e

'l:

67
And, the members of society who constantly use such expres-
sions are not even fully aware of the culturally acquired
origins of their patterns of non-verbal expressions much
of the time, for they have learned them in a natural
enculturation process. They become almost automatic res-

ponses to Specific situations. PeOple often expect all

_m: I":p
no

other interactants to receive messages accurately, and,

furthermore, expect people to behave in ways that show

 

concern for pr0per behavior. And, these tacit understandings J
are taken for granted.29 In other words, just as verbal '-
expressions are, non verbal expressions are also a form of
communication and hence meanings are shared. Deliberate
disregard of ritual behaviors, therefore, would cause confu-
sion among interactants and may also create anxiety among
them.

In the study of culture and personality, as we
recognize the existence of national character and cultural
differences among peoples of different societies as seen
1‘hroug-h modal personalities, we also recognize the impact of
c‘flture with regard to differences in the forms of expres-
Si0118 and their conceptualization. Weston La Barre, for

example, discusses the cultural basis of emotions and
\—

beh 29Garfinkel challenges this "tacit agreement" of
notavior and suggests that the social world is held.together
001113)? a morality tinged with the sacred, "but by a dense
and eOtive structure of tacit understandings (what men know
'tivfii‘: others know) concerning the most mundane and
“Idem matters.understandings to normally attributed if,
0f H. they are noticed at all." (Gouldner, o . cit., p. 390).
" arOId Garfinkel, Studies in Ethnomethodology (Englewood

01 "—‘"""
irrs. n, J.: Prentice-:Hall. 1537).

 

A _ _

'5!

 

0

genres.3 "31°

efferent societ:
mlier. 1 H1151
cireral diff ere
atragi situati
may cause a i
said crisis.

fit: by using

insecnduct by
tested until me
55M to disc
"Arief

ense. i

r
itintenreted

|
" e

"MO Risen c

‘i. die
. ‘el -
“‘3‘ 813
I’d :.-

t
311

68

gestures.30 The modes of expressing various feelings in
different societies are culturally based, as discussed
earlier. A misinterpretation of a gesture due to the
cultural differences may not always necessarily lead one to
a tragic situation, as in the Massey murder case in Hawaii,31
it may cause a humorous or embarrassing situation, i.e., _
social crisis. In M Langpage, J. Fast illustrates this ‘1
point by using the case of a schoolgirl who was accused of
a misconduct by her principal. The situation was not cor-
rected until members of the Puerto Rican community came J
forward to discuss the matter with the school principal in
her defense. The principal came to realize that he had
misinterpreted the girl's manner, namely, not directly
looking into his. eyes, as the proof of her guilt. In the
Puerto Rican community, if a young girl looked into the
eyes of an adult it would be interpreted as being defiant,
and, therefore, a nice girl would not behave in such a
manner.32

A very similar experience was told by an American
conductor who took a leading American symphony orchestra to

Japan to perform, and then also founded Nichi-Bei Orchestra

30Su ra, pp. h5-k6. See also, Birdwhistell, op, cit.,
particularly Chapter 12.

3lithe Massey murder in Hawaii arose from the fact that
a native beach boy perhaps understandably mistook the Occidental
"flirting" of a white woman for a b_o___na fide sexual invitation.
On the other hand, there are also known_ cases which have
ended in the death of American ethnographers who misread the
cal {:11 ral signs while in the field. La Barre, op, cit.,
D. 19711. Supra, p. 63.

32(New York: M. Evans, 1970), pp. lh6-h7.

 

L
|
.
I. {u a rifle '5 "J

tile in Japan:
mains» to
infer 'Y‘ cor
1: very first t
one of 311 t}
tens that h' l
useleck 0f 1
their straiS
tie ‘nt 8 1a
.‘el: referent.
events but ‘
inductor look
inered his ey
tit and the
net end thy t

u! oefore t‘n

69

while in Japan.33 He found it very difficult, while
conducting, to have his Japanese orchestra members look at
him for eye contact, which he considered very important.
At very first he thought it was their rejection of him in
spite of all the politeness, courtesies and welcome expres-
sions that he had received. He feared that possibly there
was a lack of rapport somehow. He found out, however, that
to look straight into his eyes was regarded in Japan as rude,3u
and meant a lack of respect for the conductor to whom they
felt deferent. Thus. they were following the conductor's
movements but without directly looking his eyes: when the
conductor looked at any particular member, that person
lowered his eyes. Even after discussing this matter at
length and thereby the Japanese members understood as to
what and why the conductor wanted, it took them quite some
time before they could do so. After all, it meant their
departing from their accustomed manners.

An intriguingly and somewhat contrasting episode to
‘flflm story is the case of a Japanese conductor now inter-

nationally known. Possibly due to his study abroad, par-

ticularly having become a protege under a famous American

—'

33Based on conversation with the conductor, Mr. John
zazsxnsett, Summer, 1964.
3“In a social occasion it is more common today for
Parsons interacting to look at each others' eyes particularly
smilingly. In Inoue's Yushu Heiya, a novel, Aki says to her
husband that she does not like Misako, the younger woman,
(because she does not look at Aki while talking to her.

Yasushi Inoue Yfishfi Heixa Tok o: Shincho-Sha l 1
pp- 65f.) ’ o ( Y O 97 ’9

 

 

dam. 5 arias-a: .-.._

cszductor, when
sine lost big:
seceuld not ho]
Ems forced tc
it nter Japar
“ism not acr
Eliza‘s; he was
ml that one 01

mm 13351111

A

70
conductor, when he returned to Japan and became the conductor
of the most highly regarded Japanese symphonic orchestra,
he could not hold the members' affection, esteem and respect.
He was forced to leave the post. For a Japanese to interact
with other Japanese and to disregard traditional Japanese
ways was not acceptable in the eyes of orchestra members
although he was supposedly an excellent conductor. It was
said that one of the specific objections, among many others,
was his inability to separate private life from that of non-
private life, namely the distinction between EE and 3&3 (or
éXEES and watakushi, public and private) phases of life.35
Tb bring his wife to practice sessions may have been accep-
table in America but that would be a mixing of private
world and the work world in the Japanese way of thinking.
It would be improper because the work is a serious matter that
every moment is to be spent on work rather than bringing
private matter in, and that it would be considered as a sign
of his taking his work, and people at work, not seriously:36
hence, being disrespectful to the others. Apparently his

ovnrt behavior in general was interpreted as improper and

 

35For a fuller discussion on this subject, see the
section on Oyake and Watakushi in Chapter 14.

36A Japanese executive who was sent by his company to
sin-1d? abroad, after visiting American executives in their
offi ces, commented that it struck him very peculiar, and in
fact was dismayed, when he saw a wife's picture on the ‘
mtdi<=lltive's desk. Tb the Japanese, he said, it would be very
1mpr°per to bring non-working matter into the work situation.
0'19 Should concentrate on working while at the office and
Should. not be so 'soft' and non-serious about his work as
to mix a family matter at office. Among the Japanese, tradi-

Horz.£aL:l.ly, there is a sort of sacredness as well as seriousness

18 a t tachod to the place of work.

 

 

nirence not 1
:eurchestra r
rustle for a
he ethers fo
irrelone res;

Konrad
were in dif

E315-95 are I

at
Her

ent reg:
”file would 1
1:"We poll
:53“ ”on Vi
3m time to g
filtering 385i
Elitelarly 2‘

list;
fling Con:

71
and hence not worthy of commanding affection or respect of
the orchestra members. In other words, his behavior was not
suitable for a man of his position in Japanese society, and
thus others found it very difficult to interact with him
let alone respecting him as a leader.

Konrad Lorenz talks of his experience as to good !

 

manners in different subcultures. Different amounts of *1

emphasis are placed upon varying expression-movements in

different regions of a nation. Even something Which many

 

people would think as a rather universalistic expression of I
listening politely differ from a place to another. "When
I came from Vienna to Koenigsberg," he wrote, "it took me
some time to get over my misinterpretation of the polite
listening gesture of East Prussian 1adies."37 In Austria,
particularly in well-bred ladies,'%he gesture of polite
listening consists in stretching the head forward and simul-
taneously tilting the head sideways, 'lending an ear' to the
Inrson who is speaking. This motor pattern conveys readiness
1m listen attentively and even to obey. Whereas in northern
Germany, the expression of polite listening is to hold the
liead.high and look the speaker straight in the face, Just as
a soldier is supposed to do when listening to the orders."38
With reference to sub-cultural differences of body.

movement, we can see the differences clearly demonstrated

 

37K. Lorenz, "Ritualization in the Psycho-social Evo-
111 1:1 on of Human Culture," p. 283.

38Loc, cit.

   

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72

in how people walk. There seems to be a culturally distin-
guishable manner of walk. That is, we even walk in an unique
manner, as seen in the movie "Cotton Comes to Harlem," an

old man identifies a man running from his as white. When

the detective asked how could he tell if he did not see the
man's face, the old man impatiently answered, "He ran White!" :
Similarly, among the Japanese, young members of street gang ;E
groups walk as if "to cut the wind with a shoulder."39

Interestingly, their walk is somewhat similar to that of

 

young urban Black males. Fast says that in a culture, such a
as that of many Spanish Speaking countries, where girls are

chaperoned and there are strict codes of social behavior, a

young girl can safely flaunt her sexuality without fear of

inviting trouble, whereas American women most often have rigid

posture which under no circumstance be interpreted as "come-

I!

on sign."0 The episode of an Caucasian born in America but

abandoned by his parents and reared in China by a Chinese
family for nineteen years after they moved to China when he
was three,” is often used to illustrate the cultural impact
on one's behavior pattern and personality. Similarly, Western
educated Asian who is so acculturated to Western gestures

can easily offend his fellow country men by his failure to

———v— ‘—

,, 39‘ JaPanese expression for it is "kata de kaze o kiru"
or kata de kaze o kitte aruku.n . .

horast, op, cit., p. 12.

u
1Cited in Marshall Clinard,

Sociolo of Deviant
59118» Vior, 3rd ed., (New York: Holt, HIneharé and Winston,
81933) . p. 12, from William F. Ogburn and Meyer F. Nimkoff,
w (Boston: Houghton, Mifflin, 191:6), p. 8.

L

     

 

team to the 0
patterns. His
‘m; off" 1
aspect for his
Zapatese, thou
n: foreigner:
:m: shrug shc
Perhaps
iiitese’s ”af]
5355x359 to 1
interprets,
fir. and in pa.
f-‘l-‘Li‘a
W'Md: as
5BMW in
litarally' ua

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"1’ trial

 

73

return to the original, i.e., native Asian, behavior
patterns. His behavior patterns might be interpreted as
"showing off" for having been abroad as well as a lack of
respect for his own culture. As Mishima puts it, the real
Japanese, those who can make a living without associating
with foreigners, hardly ever speak English, and they would
never shrug shoulders.“2
Perhaps from a little different dimension, the
Balinese's "afraid-sleep" is a very unique motor pattern as
a response to fear, and a case that a Westerner can easily
misinterprete. The Balinese readily go to sleep during the
day, and in particular they go to sleep when they are
frightened, as Bateson and Mead reported. This behavior is

summarized in the common Balinese phrase, takoet peoles

 

(literally, "afraid-sleep"). For example, there are some
pictures showing two thieves who were falling asleep during

their trial. These two men had stolen a considerable sum,

143

and their fear at the trial must have been considerable.
Although such a behavior pattern seems so strange to us who
do not share their culture, their takeot peoles obviously is
a. mechanism to cope with one's fear. The same behavior in

tuio West and its cultural context would be differently
in torpreted.

_—

thukio Mishima, "Party of One," Holiday, October
1951 . p. 10. Many of those well educated may read English,
Gemini, or French quite well, however.

l”Cited from Gregory Bateson and Margaret Mead, Bali-
é’g’;._2 Character (New York: Academy of Science, 191%) , Plate
' F18. 3- . Reproduced in Charles Darwin's The Exmession

fix? th e Emotions in Man and Animals (London: Murray,l955 ),
la 1; 0 III. _ .

L

 

 

 

In: iii: .15.}: I.

 

7“

As it has been mentioned before, examination of
gestures in various cultures illustrates the varieties and
differences of gestures and other expressions of emotions.
These adaptively formalized behavior patterns carry special
meanings attached to them in a given culture, and are

understood by its members without any ambiguity however

-2“

puzzling to others. Unless one is aware of such differences 5 E-
and willing to learn to appreciate the expressions of

different sub-cultures, or other cultures, correctly, some

 

insignificant little misunderstanding can contribute consid- g’
erably to inter-group dislike and hate. For it is easy for

the man who has misinterpreted the social signals of a

member of another pseudo-species to feel, and possibly

indignant, that he has been insulted when in actuality he

on

was being treated courteously. The more ethnocentric a
person is the less likely is he to examine the source of
misunderstanding. The inability to understand the expression-
movements and rituals of a strange culture creates distrust,
suspicion and fear in a way which can easily lead to overt

aggression.u5

Presentation of Self
We interact with many people in a variety of relation-
ships in our everyday life. We interact with some people

more or less on a continuing relationship while with others

 

'uYukio Mishima discusses the Japanese smile which
".tOn seems to puzzle westerners in his "Party of One."

8 “5K. Lorenz, "Ritualization in the Psycho-social
701. u tion of. Human Culture," p. 233.

A

 

'.‘

 

aim only a
San intoracti
{mo situatic
simple, or
5:" occasion:
Lt Lotinate,
“$1515 hinsei
tiheham a.

I“ 0rd;
:35?" Homans
- taracter;
13:15. "V5.8:

75

we have only a fleeting kind of interpersonal relationship.
Some interactions are with a person or persons in a small

group situation and other occasions are with a large group
of people, or even a general public in the form of a crowd.
Some occasions are more formal, and some are more informal

and intimate. At any rate, in each social situation, one F

 

adjusts himself to other interactants and to the situation

and behaves accordingly.

In ordinary, everyday social behavior, as George 3'

 

Casper Homans discusses, the behavior of men has the followa ll
ing characteristics: First, the behavior must be social.
That is, "when a person acts in a certain way he is at
least rewarded or punished by the behavior of another person,
though he may also be rewarded or punished by the non-human
environment,“+6 Second, "when a person acts in a certain
way toward another person, he must at least be rewarded or
punished by that person and not Just by some third party,
whether an individual or an organization."l‘7 Thirdly, the
behavior "must be actual behavior and not a norm of behavior,"
That is, '.'men have evolved a long list of expectations,
.roles, customs, norms, rules, and laws, all of which are
1nerba1 instructions addressed to a relatively large number
¢’1'.Persons placed in similar circumstances and telling them

how they ougt to behave, and what rewards or punishments

 

uGGeorge C. Homans, Social Behavior: Its Elementary
Eta—1:123 (New York: ‘Harcourt, Brace to World, l9m, p. 2.

““7

L06: Cite

   

 

 

l':v
fil‘.

.-l

1.,

... e

 

76

they ought to expect if they do or do not behave in that
way . nil-8

I In very personal kinds of interaction the interactants'
behavior has a significant influence upon each other.‘ For

example, Scheflen talks about the quasi-courtship behavior

1‘9

in psychotherapy; or, on a broader societal level, Slater

discusses the effects of living in the contemporary society
which he calls temporary system with a high degree of geo-
graphic mobility;50 and Hall discusses another ecological

element influencing interpersonal relationship, namely that

of space.51

With regard to the effect of one's manners upon
the quality of interaction, Scheflen talks about the use of
quasi-courtship behavior in psychotherapy. He states:

We discovered that certain interchanges were performed

in a startlingly similar fashion or form, whether the
therapist was an active interventionist or an orthodox
psychoanalytic listener. For instance, the structure

we clinically know as rapport shows the same basic
elements of posture, voice, and movement, regardless of
who the participants are. In other words, we came to
recognize that human behavior is patterned and systematic.
It is made up of regular, standard gestalten gr units
which are arranged in lawful configurations.5

and that, "Behavior this universal could not be written off

 

usHomans, op, cit.. p. 3.

ugAlbert Scheflen, "Quasi-courtship Behavior in Psycho-
therapy,” in Bennis and others, op, cit., p. 182.

5°Slater, op, cit. ."Some Social Consequences of . . ."

51Edward Hall, The Silent Langgage (Garden Ci :
Don b1 eday, 1959); and Fr; 'h'Proxemics - a Study of Manqs Spatial
301a tionship" in Man's Image it; Medicine .114. Anthropology (ed.
by I - Galdston) (New York: International University Press, 1963),
309 also :12; Hidden Dimension.

5ZScheflen, op, cit., p. 182.

 

‘IT

 

.

-.' I‘f'f“ '

 

 

(H.

‘h v
14:

. .
...
ed.

'\

...

f}

f

77

as untoward or incidental."53 Here, he is not talking
about the universality of a function of a class of gestures
similar to courtship behaviors which exist in any society
although in different forms. These are perhaps a type of
appeasing rituals. At any rate, what he does not discuss are
other types of behaviors which could also enhance the
rapport in this relationship. Carl Rogers discusses his
experience in the helping relationship, which is far more
than merely the use of quasi-courtship behavior patterns.
Carl Rogers emphasizes the need for building a trusting
relationship rather than sheer mannerism in order to ensure

so

the effectiveness in interpersonal relationship. One
ought to be aware that there is a danger in employing quasi-
courtship behavior in such psychotherapist-patient relation-
ship, for it is so easy for the patient to get confused of
their relationship, as in the story of a "Visionary Maid" by
Vheelis.55 The patient may interprete the therapist's .
behavior indicating their relationship is to be a romantic
rather than a helping relationship, in which case, because

of the patient's definition, their relationship could come

 

53Ibid., p. 183.

5an., Carl Rogers, "The Characteristics of a Helping
Relationship," in Bennis and others. eds., op: cit., pp.
287-303. See.also, Carl Rogers, ed., The Therapeutic

Relationshi and Its Im ct (Madison: .University of—Wisconsin
.Press, I937s, particular;y its Part V. "Therapists at Work."
55Allen B. Wheelie, "The Illusionless Man and the

'Visionary Maid," in Bennis.and others, eds., op, cit.,.
pp. 163-181. ,

 

 

 

 

A. him. -:-r ping-h—

ncentor upon
nrsuit of thi
an outside th-
sm psychiatr
Iith patients
(191! therapy,
(11631 and no
32551:: at m
ittlm 0f the
(finiteness,

7° make
“3° inpross
Ed, 30“ P60;
Emilie Plaq
"can exMot:
mt. Pomp:
Pilitionship .

(a;
I

78

to center upon an unanticipated concern. However, the
pursuit of this possibility leads to ethical questions which
are outside the realm of this discussion here. There are
some psychiatrists who advocate intimate sex relationship
with patients in order to achieve fuller effectiveness of
their therapy. Again, such argument with regard to its
ethical and moral issues would bring a controversy. It may
suffice at this point to mention that the overt behavior
pattern of the therapist has a strong influence as to his
effectiveness.

To make matter even more complicated we are cognizant
of the impressions that we make when we interact with others.
And, some people are particularly conscious of their behavior

in public places, as Goffman observes.56

In other words,

we can expect people to develop skills in impression manage-
ment. Perhaps in the contemporary world where interpersonal
relationship tends to be more temporary in nature, the need
for such skills are possibly increasing. Given these
"consciousness" for each individual concerned, how one would
behave in a given situation is shaped within the context of
that culture. Namely, the expected behavior is regulated

by one's desire to present himself in a certain manner so

as to be perceived by others in the desired image of himself,

 

56Messinger and others disagree with the position

taken by Martindale that Goffman's work is merely a represen-
tation of the growing amorality of urban individuals.
IHowever, they agree that the growing amorality of urban
individuals may help account for the emergence of the drama-
turgic perspective. Messinger, op, cit., p. 1h. See also,

Slater, op, cit.

 

1 .' ‘
i-J
L.

 

 

 

[it

"1
'I:

n
u

79
which involves both his role playing as well as how he
prefers to be seen by others, i.e., a person with poise as
defined by their cu1ture.57 Still another question is what
kind of impression the person wishes other interactants to
receive with regard to his feeling toward them, i.e., positive
or negative feeling toward them,or indifferent about them,
or so on. In short, the person is concerned with managing
an intergrated overt and covert impression.

Generally speaking, as has been discussed before, one's
behavior is judged by the standards of the society in which
he lives. That is, the standards of judgement used to judge
him are based on the normative system of the culture of which
he is a part.58 When one is able to behave in such a way
as to suggest that his inner being is in harmony with socially
valued and expected manners, then others would judge him as
quite acceptable, whereas, on the other hand, if one behaves
contrary with the norms of a group, then other group members
will most likely see him with less regard, or as being even
mentally ill or "possessed" in the more extreme cases. In
other words, how would one like to be seen by others, that
is, desired image of self, is culturally bound in that what

he desires to be reflects the value system of his society.

 

57Erving Goffman, Presentation 2; Self in Eve da
Life (Garden City, N. Y.: IHchor Books, 1959’,-Ihtroiuct¥on.
‘aszman illustrates this point with a character in William
Sansom's novel,;§ Contest{2§ Ladies, named Preedy.

58 ,

The example discussed in Fast's Body Lan ua e is

:most illustrative. Even the concept of space wouéd warrent
differentiated treatment, as discussed by Hall in his The
Hidden Dimension, among different cultures. See also,+R3bert
Sommer,.Personal Space (Englewood Cliffs: Prentice Hall, 1969).

 

.n ‘
L
-
an
t

 

’ v-
’ ..wsvusziah—
m

5:: only cero
:osoanse to a
moot less :
ten bohavio:
finder to ma
tzerpersonal
'3: often not
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”:51 ”PeCt ;

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on aristo

80

Not only certain appropriate patterns of behavior in
response to a recurring situation become norms that are
more or less formalized, i.e., ritualized, but once ritualized
these behavior patterns can be utilized as a symbol system
in order to maximize self image management effectiveness in
interpersonal relationship. This may be done consciously,
but often not consciously as well. Or, in other words, the
individual acts so that he intentionally and unintentionally
expresses himself, and others will in turn be consciously
and unconsciously impressed by his behavior.59

With one's overtly manifested behaviors, we tend to
draw his personality and respond accordingly. That is, we
often expect a confirming consistency between appearance and
manner.60 For example, when we meet a well dressed and
distinguished looking senior gentleman we expect that person
to have a good manner of speech and gentlemanly behavior.
And, we do not expect a young man who looks like a construc-
tion worker on his way home to talk like a lawyer from

Boston aristocratic family. In addition, we also expect

 

591chheiser, op, cite. PP. 732-33.

6°Goffman defines "personal front" as "insignia of
office or rank; clothing,.sex, age. and racial characteris-
tics; size and looks; posture; speech patterns; facial
expressions; bodily gestures; and the like." (His Presenta-
tion pf'Self $2.Ever da Life. P. 2h). The.stimuli which
make up a personal front may be devided into "appearance"
and "manner." He states: . .
?'appearance' may be taken to refer to those stimuli
which function at the time to tell us of the performer's
social statuses. These stimuli also tell us of the
individual's temporary ritual state, that is, whether
he is engaging in formal social activity, work, or
informal recreation, whether or not he is celebrating
a new phase in the season cycle or in his life-cycle.

(Loo, cit.)

 

 

.u' ‘7 703"?

 

.; I,‘ I}

81
some coherence among setting, appearance and manner,61 for
such coherence represents an ideal type that provides us
with a means for stimulating our attention to and interest
in exceptions.62

People in some professions do seem to make special
use of impressions for judging others. In the situation
where an instrumental relationship is also a fleeting one,
e.g., cab-drivers and waiters with their customers in most
cases, their successfulness in terms of income and career
may depend heavily upon their ability to assess their
customers and their concerns with self image. And, that
evaluation, which is not much more than an impression based
on appearance of the customers, and a little else, may deter-
mine whether or not to accept as the potential customer,
e.g., as a passenger in case of the cab driver,63 and also
determine what kind of service one would render to the
customer in case of the waiter, and enables the person to
get most earning from minimal work.

Goffman quotes the argument of Tom Burns of University
of Edinburgh that in all interaction a basic underlying theme
is the desire of each participant to guide and control the
responses made by the others present.6u And, this control

is achieved mainly by influencing the definition of the

*

62Goffman, Presentation pg’Self pp Evepyday Life, p. 25.

63Cf., James M. Henslin, "Trust and the Cab Driver,"
in Truzzi, ed., opa cit.,pp. 138-158. Also see Fred Davis,
'1 N
The Cabdriver and His Fare in Bennis and others, eds.,

22,443.. pp. 556-67.

GhGoffman, Pgesentation pg : , , . p. 3n.

 

‘37:?
‘

 

 

motion mic
'zmlx‘ in we
52:: hit til]
it hi: on 1
Eindual can
t‘ “hassio:
fittinty, ins
“tasted '
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mmtion f
513:: that "t
25111;. his
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‘rtic'u‘lar '11

82
situation which the others try to formulate by expressing
himself in such a way as to give others the kind of impres-
sion that will lead them to act voluntarily in accordance
with his own plan.65 And, this expressiveness of the
individual can be done through the expression he gives and
the expression that he gives off, both of which are sign
activity, involving in symbols and rituals.66 In some cases,
as suggested before, this expression-giving can be deceitful
or feigning when intentionally the individual conveys mis-
information for whatever purpose it might be. Goffman sug-
gests that "there will usually be some reason for him to
mobilize his activity so that it will convey an impression

3:67 In

to others which it is in his interests to convey.
some cases, a person may be too busy trying to present a
particular impression of self that he may not be doing
actually what that impression conveys. Sartre's comment
"The attentive pupil who wdshes to'pp attentive, his eyes
riveted on the teacher, his ears open wide, so exhausts him-

self in playing the attentive role that he ends up by no

longer hearing anything,"68 suggests the possibility of this

 

55Ibid., p. u

66Loc, cit.

67Loc, cit.

68Jean Paul Sartre, Being ppg,Nothingness, trans. by
Hazel E. Barnes (New York: Philosophical Library, 1956). p.60.
Gofflman adds a comment that, "It may be said that some organi-
zations resolve this dilemma by officially delegating the
dramatic function to a specialist who will spend his time
expressing the meaning of the task and spend no time actually
doing it. (Goffman, Presentation 22.8e1f pp Everydaz Life,
p. 33.) The weepers for a traditional Chinese funeral may be
considered to be of this sort.

". I

 

 

 

 

 

than of or
here
influence oaci
in given si
sailor Ianno
anon My ma
1M0" or 1
mind to at
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him. Be

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83
dilemma of expression versus action.

There are various social psychological factors that
influence each person as to how he behaves in front of others
in a given situation. Thus the same person behaves in a
similar manner in similar situations. Presence of a certain
person may make a difference for some. However, some people
are more or less able to be themselves and are able to
respond to others spontaneously, whereas others may be always
preoccupied with and very conscious of how others will per-
ceive of them. and may even be obsessed with the impressions
that he makes upon others. One's self-esteem, defined as
his ability to evaluate himself accurately and work toward
maturity, is a strong factor in his ability to be at ease
with others and to be able to respond spontaneously with
others. In the case of a narcissist, on the other hand, the
person goes to the other extreme in hiding part of himself,
presenting only the part of him that he thinks everyone ought
to adore. Hence, in such a case, one can expect, that he
would be more likely to be "playing his role" or "profiling"
whenever he is with others.' A ’ I

Thus, it follows that the intensity and focal points
of concern about presenting oneself in a proper manner differ
greatly from one individual to another. And, one's desire
to do so and his awareness would vary also depending on his
psychological needs and social pressures. It has been
implied that there may also be some general social class

differences with regard to this point.

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Goffman states that the members of a group or class

of people "tend to invest their egos primarily in certain
routines, giving less stress to the other ones which they
perform."69 He points out that a professional person. while
quite willing to take a modest role in the street or in his
home, displays professional competency and is particularly
concerned with making an effective showing when interacting
with peeple from whom his occupational reputation derives.
And, he also comments on aristocratic habits in contrast to
those of middle-class character by quoting a passage from
Adam Smith's:

. . . as all his words, as all his motions are attended

to, he learns a habitual regard to every circumstance of

ordinary behavior, and studies to perform all those small

duties with the most exact propriety. As he is conscious

of how much he is observed, and how much mankind are

disposed to favor all his inclinations, he acts, upon

the most indifferent occasions, with that freedom and

elevation which the thought of this naturally inspires.

His air, his manner, his department, all mark that

elegant, and graceful sense of his own superiority,

which those who are born to inferior stations can hardly

ever arrive at. These are the arts by which he proposes

to make mankind more easily submit to his authority,

and to govern their inclinations according to his own

pleasure: and in this he is seldom disappointed.7°

In an ordinary situation, however, those who do not

have any previous knowledge of the other interactant usually
accept the latter as he presents himself. Most often, even
when there are some obvious inconsistencies and a good

reason to believe the information that he offers is to be

 

69Goffman, Presentation 2£,Self, p. 33.

7°Adam Smith, The Theory of Moral Sentiments (London:
Henry Bohn,1853). P. 75.. Cited in Goffman, Presentation of
Self, p. 31.}.

85

questioned other interactants would ignore it rather than
making the situation awkward or cause an embarrassment.
The validity of the information presented in an encounter
can be evaluated later and adjustments can be made when
additional information is attained to invalidate the person's
claim. What is normally done, therefore, in any social
encounter is to start in the manner so standardized as to be
acceptable for a broad category of people, ritual behavior
patterns of a very general type. This is the way to play
safe. Although one might very well be influenced by the
personal front of the other interactant, assuming that it
indicates reasonably well the line he is taking, one does
not usually start off interacting with him by the very first
impression alone. The more socially experienced a person
is, the more cautious he might be in responding to the
impression made at the first instant, thus unnecessary social
"boners" can be avoided. A commonly dealt with theme of a
comedy describes such situations as the social boners,
gaffes, or £22§_22g, whichever one might call it, which many
people get into: e.g., greeting a person who is dressed
humbly with no deference, in fact in an arrogant manner,
only to find out that he made a grave error of misjudging
the other's social position - say, his son's boss, and so on.

We may call this phase of interaction "generalized
orientation." As we get to know the other interactant

better, what Shibutani calls "personification,"71 develops.

71Shibutani. Society and Personality. p. 111

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86
Namely, one begins to interact with that person in a more
specific manner, which is most appropriate for that relation-
ship with that particular person. Thus we move from behaving
toward anyone in a category72 and in terms of general manners,
and then later we develop our interaction pattern for the
specific person. A student may respond to a new teacher in
the standard student-teacher behavior patterns first, for
example, but gradually change his reaction toward "personifi-
cation." '

The fact that strangers are usually perceived as
instances of some category and our tendency to overestimate
the unity of personality73 have a combined effect upon the
quality of interaction. We are quite aware of the impact
of labeling and stereotyping a group of people, which result

in a discriminatory treatment with a set expectation of the

 

72Shibutani writes:
Q . . strangers are usually perceived as instances of
some category. Human beings may be classified in many
ways, but the most commonly used categories are the
various stereotypes found in all communities. A stereo-
jng is a popular concept, designating a rough grouping
of people in terms of some easily noted mark. supported
by widespread beliefs concerning their attributes . . . .
Even when such beliefs are completely unjustified, they
may serve as the basis for invidious distinctions, for
they provide definite hypothesis with which to approach
people about whom nothing else is known. . . .cMoreover,n
the category into which a person is placed is a matter of
considerable importance, . . . If those in a given category
are assumed to have certain characteristics, they are
expected to act in a particular way, and others become
sensitized to cues indicative of such conduct." (Ibid.,
pp. 112-13). .
‘nhis is closely related to Howard Becker's argument on becoming
«ieviant. :Cf. Outsiders(New York: The Free Press, 1963). And,
also Goffman's Sti a. ,Cf.,Sti a: Notes 22,323 Management of
52211“: Identig—TE-Englewood if 8, Ft". "J".': Prentice-Hall, 1935).

73Cf., Ichheiser, op, cit.

 

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87
all members of the group, which, in turn, influence each's
behavior in such a way as to fulfill "prophecy." On an
individual level, we talk about labeling or stigmatization
of a person, and this is also the same psychological process
as above. When an individual is labeled as a consequence of
an incident in his past, others' treatments of him, i.e.,
social responces toward him, and their expectation of his
future behavior tend to force him to actually become a person
befitting to that label even if he was not at the beginning.

73

Becker's theory on labeling as a cause for deviancy or

75

Goffman's work on stigma as the factor in mental patients
speak eloquently on this point. The practice of changing
one's name in the United States is closely related to this.
Why would one want to change his name?76 Some Jewish people
change their surname to those of gentile names in order to
be more readily accepted as equals in this society and to
avoid the discrimination accorded against them as a member
of the Jewish ethnic group. Also some people who wish to
start life anew may change their name and attempt to leave
their past by assuming a new identity. Black Muslims drop

their "slavenames" for an X. Thus one's name is a significant

label with stigmatic possibilities.

 

7“Cf” Becker, op: cit.

7501'. , Goffman, Stifla.

76There are some cases where it is most reasonable
for a person to change his first name, for parents gave an
absurd name to him, which would include an extremely long
name. as it might be a case in Japan, or a boy being named
wdih.a girl's name, etc. However, my discussion here is not
concerned with those cases.

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88

Accordingly. when one presents his line, and is
accepted by others, there will be pressure to maintain the
line. And it is very difficult to change one's line without
having to lose face when the shift is socially downward. To
elevate one's line too is also difficult, for others may
refuse to shift their attitudes toward him, or may fail to
take him seriously. However, there are some changes of
identity which are normal and socially expected, or even
taken for granted. In these instances, there are usually
some institutionally provided occasions to facilitate a
transition. The "rituals of affliction," as Victor Turner
calls them,77 such as initiation rites, and social mobility
as an age group, for example, are such occasions in most
preliterate societies. In modern societies such occasions
as becoming a student, graduating from a college, reaching
a legal age, and most significantly the obvious change of
status from a maiden to a married woman, would provide such
occasions. Individuals are expected to move out of the
former identity and to accept the new identity with all its
expected behavior patterns. By taking a new role, one is
expected to assume the standardized behavior patterns that
are befitting to that role.78 As a novice, in the earlier

stage, one's behavior may be more "performing" and often

 

Ndembu Ritual (Ithaca: Cornell Univers ty ress, 19 7)T'b.9

78Japanese people have traditionally placed a great
deal of emphasis upon the concept of mibun 22g (behaving
befittingly to one s role and position}. For a fuller dis-
cussion on the subject, see the section under Mibun agg'in
Chapter IV.

77Victor Turner The F
, crest 2f S¥mbolsz As ects of

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appears to b.

experienced, an
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89

appears to be "trying too hard." When he becomes more
experienced, and the behavior patterns become well integrated
to his behavioral system, he would no longer feel that he is
on stage or performing. Hence, he can be more natural. In
fact, he would feel foolish to behave otherwise than at ease.

Some authors attach particular importance to distin-
guishing behavior that is "being on" as a unique quality
relating to presenting oneself with a specific desire to
control the situation and his image for others. Some say
that we are in a sort of "theatre" everyday, by pointing out
that we some times experience in our everyday life situation
the usual stage frights with its biological discomforts, such
as shaking of legs or hands, rapid heart beat, change in
voice pitch, brushing, and so forth. Even some preening
patterns and elements of courting behavior are observed to
occur frequently in situations with varying degree of
anxiety.

However, it would be more reasonable to relate the
degree of awareness, awkwardness, and anxiety of "playing
a role" or "to be on" with the degree to which the actor
'is familiar with and the degree to which he has incorporated
the behavior patterns into his integral part, and how
comfortable he is in it.

For ordinary people, when having to stand up before
:1 large audience to talk, or to be in a new situation, would
normally produce his awareness of having to "perform" or

"to be on," and thus perhaps suffers from stage frights.

 

. V:- -.
.
.

90

On the other hand, for those who are so accustomed to such
situations, people in show business and entertainers, for
example, it may be a different matter. Sammy Davis, Jr.,
was quoted to have said that he felt much more comfortable
and "natural" when he was on stage. 0n the other hand,
unless he is among those who are intimate and he is sure of r]
their acceptance of him, he feels somewhat awkward in small

social gatherings.79 e

 

 

In Sammy Davis' case, the matter of acting and per- {a
forming has become an integral part of his behavior because IJ
he does it all the time and he knows how others would reSpond
to him when he is performing. For the spy or espionage
agent, to "perform" and conceal one's identity is a matter
of life and death.' They do make a point of "performing"
successfully, yet not quite the same as the stage people.80
This difference may be due to the very limited and specified
pattern of behavior of the former. i.e., to entertain and to
make people laugh, etc.. to live up to their public image,
and the uniqueness of situations for the latter, to which
the actor himself has not become comfortable. But it can
lee explained in terms of how one become comfortable in a
given role. mat is. in order to conceal one's identity as

an: undercover agent, for example, he would not play the same

role too long. In addition, however, the degree of anxiety,

 

79Reported interview of Sammy Davis. Jr., Life. XLV
(December 1958), p. 116. .

80
Cf., Erving Goffman, Strategic Interaction (Philadel-
phia: University of Pennsylvania Press, 1939’, Chapter on
Expression Games."

 

 

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91

a natural product of "being someone else," coupled with
possible danger when one fails, would prevent him from ever
being comfortable about "being on." A tight rope walker
can be but so relaxed. 0 i

As far as everyday behavior is concerned, "to be on"
or "performing" a role to which one is not accustomed, and,
thus being awkward as a novice, normally would not be
regarded negatively. After all, each one learns to behave
properly by following the pattern of behavior of those who
have mastered the appropriate behavior patterns.81 A man
who has Just become a company president will soon become
more "natural" in that position. A nervous young man at his
first teaching job will gradually acquire the air of an old
timer and teach with ease, and so on. What is seen negatively,
however, is for a person "to be on" for the purpose of
creating impression in such a way as to suggest a line much
higher than he actually is, or, in other words, to present
a false image of self and mislead other interactants for his
own benefit.

since all people attempt to present self in such a
‘way as to impress others, when the image held by others is

higher than he himself holds,82 then, he is bound to feel

 

81In any ritual, there are always some novice, and
they are not expected to be flowless by any means. It would
rust be bad, and understandable, if a novice makes an error,
tuit it is most embarrassing when an old timer, who supposed
to know better, makes a careless mistake; or a manifested
disregard or dis interest in following the ritual well would
be another matter.

82In accordance to his own standard and image.

 

 

 

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92

good, and in "good face" in Goffman's usage of the term.
But,nct when the gap is too much.83

It would seem that to be psychologically most
comfortable, the "line" that one presents to others must be
close to his self evaluation of what he is. As the gap
between one's self image and the image of himself held by
others increases, one begins to feel uncomfortable. When
the image of himself held by others is too high, one is
most likely to feel the pressure of having to live up to it
and perhaps become fearful of losing face by failing to do
so. Whereas when the image others have is too low, he does
not have to be afraid about failing to live up to the expec-
tations that goes with his presented "line." One of the
negative consequences, however, in the latter case would be
that there is a gap between his self esteem and esteem of
others so that he receives feedback which does not confirm
his own self evaluation. And, most likely, he would not
feel good because others do not treat him in the way he
thinks he deserves: he would feel that he is not appreciated
or not treated well. Psychological reward for interaction
in such a case may be less than he desires.

In conclusion, an individual's behavior may be either
'based on (1) his awareness of others (as audience) and how
lie sees these others expect him to be. or (2) his spontaneous

.3911; whether with or without awareness of others as

 

ti 830t" B°nn13 and others, eds., 22‘_g;§. , Introduc-
on. _ _

 

 

 

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93
810

"performing a role"

audience. In the former case, he is
with a certain audience in mind, or in hessinger's term,

"to be on."85 There are certain periods and situations in

one's life when the latter case is very difficult, for

there is no role in which one can be really at ease, as

discussed earlier. The crucial point is that, generally r]
speaking, we behave in accordance with our self-image. Our

self-control comes from our desire to maintain our self-

respect and the belief that our self-image can be maintained

 

through planned actions. This is where one's past actions LJ
link with his present self-image, and the line he is
presenting to others. If his behavior becomes inconsistent

with the line he is maintaining, then loss of face threatens.

Concept of Space in Interaction Rituals

Aside from verbal and non-verbal behavior as expres-
sion of interpersonal feelings, there is another dimension
which is important in interaction dynamics. The concept
of territoriality and the matter of space between inter-
actants are important factors influencing the quality and
outcome of interactions, as Hall discusses in 22: Silent

Lenggage and The Hidden Dimension.86 In other words, it is

8"""Unwitting move" and "naive move" which Goffman
egiscusses.in expression management would be the latter and
control move" would be the former. Cf., his Strategic
Interaction, pp. 11-12.

85Messinger, "Life as Theater," p. 8. Perhaps the
best description of the variety of these situations, between
being "natural" and being "on" is found in Goffman, "Aliena-
tion from Interaction," Human.Re1ations, X (1957), pp. h7-60.

86See also, Sommer, Personal S ace. eFor a discussion
on Japanese conceptfion proper spacial” behavior, see Chapter
V. pp. 231—le9.

 

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not enough to rely upon one's culturally subjective under-
standings of emotional expressions in his interaction with
persons of another cultural background, one must also be

aware of the concept of space and territoriality and their
cultural differences with regard to the concept.87

For instance, the general concept of territoriality
among Americans differs considerably from that of French,
or Arabs. Hall illustrates this point with the episode of
an Arab man standing very close to a comfortable sofa in a
hotel lobby which is occupied ay another person. The person
sitting in the sofa, if he were American, would most likely
become very uncomfortable and annoyingly leave the sofa.

Also, people normally do not sit right next to another person,
a stranger, in public places unless there is no other seat
available, e.g., in a library reading room. One just does
not feel too comfortable if someone comes to sit next to him
when there are many other open places. The chances are that
the first person would move himself away so to maintain a
distance from others.

People waiting in a line, again, seem to keep somewhat
uniform distance from each other in a given culture. Ameri-
cans tend to keep a fairly good distance between each other,
as in waiting for a bus, except when a line becomes excessively
llong, such as in case of a long theatre ticket line. Where-

eas. people seem to stand closer in France while waiting for

 

87For some cultural comparison, see, Hall, The Hidden
W, Chapter XI and XII.

 

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Hall
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95

a bu3e88

Hall talks also of the Japanese concept of space
whimh again is quite different from that of the Westerners.
"In old Japan," Hall reports, "space and social organization
were interrelated."89 And that the Japanese pattern of
emphasising centers is manifestation of a paradigm that
functions in virtually all areas of Japanese life "not only
in a.variety of other spatial arrangements but . .i. even in
their conversations."90 But, more crucial differences in

iflie perceptual world may be found in the Japanese concept
of as; (interval). He states:

Differences between the West and Japan are not limited

to moving around the point‘zg. coming to the point, or
the stressing of lines as contrasted with intersections.
The entire experience of space in the most essential
respects is different from that of Western culture.

When Westerners think and talk about space, they mean

the distance between objects. In the West, we are taught
to perceive and to react to the arrangements of objects
and to think of space as "empty." The meaning of this
becomes clear only when it is contrasted with the
Japanese, who are trained to give meaning to spaces -

to perceive the shape and arrangement of spaces; for

this they have a word, 23. The mg. or interval, is a
basic building block in all Japanese spatial experience.91

88Hall, The Hidden Dimension, p. lnh.

891bid., p. 1&9. The case of Tokugawa's policy of
‘11stinguishing fudai (a daimza in hereditary vassalage to

‘fine Tokugawas) and tozama an "outside" daim B, the feudal
:lords who have just joined Ieyasu Tokugawa, and placing
‘flamm accordingly, however, was believed to be more for
eCzeonomic and strategic reasons. As each daimy'c'e' (feudal
:lord) was required to spend alternating year in Edo under
.Sankin KUtai system, their procession was great financial
‘lra n for those outer feudal lords.

9°Ha11, The Hidden Dimension, p. 150.

9llbid..'pp.'152-53;

 

 

 

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96

These basic variations of the concept of space in a
given culture does influence the distance that interactants
maintain and the type of relationship that is "natural" at
certain distance among the interactants. For American.
culture, Hall identifies four general distances, and two
distances within each of the four, making a total of eight
categories, which he and his colleagues could identify with
observable shifts in the voice associated with changes in
distance: (1) intimate distance, (2) personal distance,
(3) social distance, and (to) public distance.92

In addition to an overall cultural differences, there

are some individual differences among the members of a
Society. Although there seems to be a general tendency and
07er-all common perception of space among those who share 3.

8alone culture, the existence of individual differences has a

Significant impact on interpersonal dynamics. Kinsel found

out that this individual variation within a group with regard
to their sense of territoriality, which is usually not on a
J~evel of awareness of interactants, may lead to a social
Qrisis. When a person considers another person as "invading"
his territory and therefore threatening him depends-on his
Bense of territoriality. It is alarming to find that among
nIany men in prison convicted of assault with violence
complained that their victims had "messed around" with them.
Yet, a careful check disclosed that wnat the victim did do

to
was not more than having come too close to the assaultant,

k

921bid., Chapter at (pp. 113-129).

 

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97
i.e., "invaded" his territory, without such awareness.93
Clearly, in thsse cases, they interpreted, though not
necessarily rationally, the other's behavior as a real
threat.

A related problem here is the situation where people
are crowded, e.g., in a crowded subway or a bus or in an
elevator, where, without any doubt, people have to be
‘physically closer than minimal territorial distances by
anyone's standard. If one's coming too close to another
were to be regarded as a threat, then, it would be neces-
sary to have some sort of "neutralizing" ritual behavior for
such a situation if we were to keep them from responding
aggressively against each other. This "neutralizing" ges-
ture, or ritualized behavior pattern, would convey the mes-
8age that a threat is not intended by coming close. Goffman's
‘Ocncept of becoming a "non-person" may suffice or may be at
lleast helpful in such a situation.9" The incredible Japanese
commuter trains in rush hours are helped by the humor of
tflare situation by station staff pushing people in so the

‘loors can be closed, which is accompanied by the standardized

‘

93A study by Augustus r. Kinzel, cited in Fast, 22.
\citeo P. 57e

9"'J. Fast also talks of the case of a crowded subway
‘dbere people become non-person. He states: "the personal
'territory of the people in a crowd is destroyed by the very
*ict of crowding. . . , and more compact, it may also get
‘ngier." Ibid., p. 52. The Japanese case of extremely
crowded.train and bus during rush hours does not necessarily
‘Support the very last statement of Fast above, however. It
Inay be that there is a satulation point of becoming uglier
as crowdedness increases, and it may become somthing beyond
- humorous of a sort. Or it may be that the sense of mutual

suffering leads to sympathy and less aggression toward each
other.

 

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98
apology and request for tolerance, which act as the
neutralizing rituals. It goes something like, "We apologize
you for such crowdedness. We beg you, though we know that
this is an imposition on you, to 'pack' toward the center
where there may be a little more Space . . . please, for
the sake of others :so that a few more people can get onto
this train too.:" It may be added here that, possibly, when
it becomes so crowded to the extent that each one's body
gets pushed against others', it takes more than just becoming
a "non-person." The mutual recognition of each other as a
Victim seems to be quite recognizable. Such a recognition
may, as in any crisis situation, bring out a sense of empathy
among those who suffer together toward each other instead
or becoming aggressive or hostile. We do not have much
knowledge in this regard, however.

The neutralizing ritual may or may not be at the
conscious level. As any other social rituals, often it is
an automatic response to a given situation. One very
uaturally responds to coming too close to another person
by saying "Excuse me," or its equivalent. Hence, when one
touches anobject which he perceives as a person, he would

lIlcre likely automatically say, "Oh, excuse me," even if that

Object is not a person. Similarly, becoming a "non-person"
nlay be a simple response involving hardly any thinking. For
instance, instead of actually following a neutralizing

ritual verbally, many people very quickly become a "non-

Person" as they enter into a crowded elevator by looking

 

 

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99
down or looking up the ceiling or whatever to avoid looking
at anyone else, as if to say "As far as I am concerned, you
are not here," or "As far as you are concerned, I am not
here." We see a similar pattern of behavior on the street:
some people behave in such a way to suggest that he is a
non-person by avoiding eye contact with others, as if when
one does not see the other, the other cannot see him. At
any rate, these various neutralizing behavioral patterns do
express the idea that no threat is intended. Thus neutraliz-
ing behavior patterns are quite basic in any society and they
are canalized and standardized as social rituals, with
meanings that are evident and accepted by the members of that
society accordingly.

John N. Bleibtreu makes an interesting analogy between
the behavior of rats in a crowded situation and that of slum
dwellers, and introduces John B. Calhoun's study.95 In
Calhoun's experiment four burrows were constructed in each
1"00m, designed like a one-story apartment house. To go
from enclosure 1 to enclosure ’4, a rat would have to pass
t‘hl‘ough enclosures 2 and 3. Over the course of two years
and three generations enclosures 2 and 3 became overcrowded
8‘8 they became the focus of social activity. And, enclosure
1 and 1e became almost abandoned, leaving aggressive dominant
““10 rats waiting to fight with anyone. By the time the
third generation had come of age and the population had

ruched its peak of eighty rats in each room, "complete
\ .

p 95Reported in 1960. See John N. Bleibtreu, The
23;&b1. 22 £133 _B__e_gs_t (New York: Collier Books, 1969) , pp.
-1 . -

'“VWA-L

 

ans came
the earlier:
lsebeen I
lecithe
frnation .

ci e socia

lOO
chaos came to pass - a horrid reminder of what conduct in
the medieval and early industrial age slums of Europe must
have been like, and what much human slum life is like today."96
One of the factors causing chaos in this experiment was the '
formation of a biological community without the evolution
of a social community due to the fact that dominant terri-
torial males failed to emerge before the group diSpersed."97
And, as overcrowding became apparent, there developed that

Calhoun called "behavioral sink,"98

and the normal "pursuit
phase" in the rat courtship became disrupted, some males
were subjected to homosexual advances, and other elements
of disruption of normal sexual behavior develoPed. Also,
slathing attacksgg and tail biting also were other forms

of aberration developed in the crowded situation. As might
be well expected, difficulties in reproduction too, a known
result from overcrowding, occurred. Normal mother instinct
also failed and such activities as nest-making was not
carried out as a mother in a normal situation, or moving of
litter and abandoning of the young in the midst of moving
caused the latter's death.100

In spite of some existing variations in spacial

concept among the peoples of different societies, it may be

_—

96Bleibtreu, op, cit., p. 208.
97lbid., p. 209,
981bid., p. 210.

99Ibid.. p. 211.

1°°Ibid.. pp. 211—1u.

 

 

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reasonable to assume that, theoretically speaking, in a
society where its ecological pattern is such that population
is so dense and thus overcrowding and very close physical
proximity with each other are not avoidable, the need for
such above mentioned "neutralizing" social rituals would be
keener than in the places where population is thinly

101

settled. And the fact that such a densely populated

society has managed to survive102

may be interpreted as
meaning that such rituals had successfully developed so that
intra-group conflict had been kept at a safe level far more
effectively than some of less densely settled societies. A
close examination of Japanese everyday interaction patterns,
therefore, should reveal more on this subject.

In the following chapters the basic components of
Japanese social rituals will be reviewed. It is hoped that,
by so doing, it will become evident that basic social rituals
are a basic requirement for human society as well as in
other animal societies, and that the existence of traditional
highly ritualized social behavior patterns and supporting
philosophies, or attitudes, in Japanese everyday interaction

renders the functions of rituals well. The discussion of

101The seriousness of overcrowding cannot be treated
lightly, as Bleibtreu writes:

e animal evidence demonstrates quite convincingly that
the population "crash," when it occurs. is not due
primarily either to starvation or disease as was heretofore
believed. but to the psychic stresses of overcrowding
which, among animals, have immediate and usually lethal
physiological consequences." (Ibid., p. 205).

102And showing a less degree of confusion and, more-
;ver, the degree of contentment noticeably higher than, say,
0 S. A.

 

 

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102
the concept of Space, the problem of overcrowding in par-
ticular, concerns us gravely today. Phylogenetically based
rituals in animals and instinct behaviors seem to fail when
such condition as "behavior sink" develops as Calhoun's
study revealed. It is reasonable to assume that a similar
condition will be a natural outcome of overcrowding in human
slum conditions unless socially evolved social rituals as
mechanisms of regulating interpersonal relationship are
developed to the extent that they can effectively work
toward maintaining aggressions and aberrant behaviors at a
safe level for the society. That means, if each person
disregards what is perceived as good manners in the society
and starts to behave in whatever whimsical manner as he feels
like it toward others, the society will not have much of a
chance to survive as a society. When an American tourist
comments about the Japanese courteous mannerisms, often it
carries a tone of self-righteousness and a sign of impatience:
"Why are they so formal and courteous? Why don't they come
in the point immediately?" "It is all nice and polite, but
it is unnecessary and a waste of time. Why can't they be
straight forward like us Americans?"103 But what he fails

to keep in his mind is that the way of behavior of a people

__

103Edward Hall says that the Japanese modus operandi
Which is characterized by the word "indirection," can "drive
a man crazy faster than anything I know," as an American
banker said to him. 132.: Hidden Dimension, p. 151. But this
indirection is often one's Specific effort to avoid embarrass-
3'n3: he may be actually "feeling out" the other's, and he
wOnld avoid bringing up the subject when the answer is likely
to be embarrassing or a refusal or uncertain. See further
discussion on "face", infra, Chapter VI.

:1
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103
is the product of the seishin-teki §§g2_("menta1" climate),
to borrow the phrase of Prof. K631 Iizuka,10h and culture
is a harmoneous whole. It is the land, history, atmOSphere,
all environmental elements together that shape its people's
psychological personality. What may be taken by other
peeples as un-reserved, or over friendly manners of Americans,
or what Kurt Lewin calls "U-type" personality,105 for example,
is a product of the psychological climate of America, in-
cluding its characteristics of living in a society whose
history is relatively short and where peoples of varying
ethnic origins live together. Thus, it might be reasonable
to say that the Japanese society will turn into a "behavioral
sink" if everyone in Japan over night abandons the Japanese
way and adopts the American social behavior pattern- in its
totality. Or, if a current trend of American society of
the glorification of "individualism" and its element of

selfishnes8106 is allowed to continue further, then the

 

1°“Cf., Koji Iizuka, Nihon 22 Seishin-teki Ffido
(Tbkyo: Iwanami Shoten, 1952). "”"

1050f., Kurt Lewin, Resolvin Social Conflicts (New
York: Harper a Row, l9h8), pp. I3-25. In comparison to
German modal type, the American is more willing to be open
to other individuals and to share certain situations with
other individuals than the German, he stated. On the other
hand, it means that a distinction of one's behavior pattern
between when interacting with a friend and when interacting
Iith an acquaintance may not be very clear, and, hence, a
oznfusion may be resulted regarding one's closeness with
0 hers.

1061h Yesterday's People, Jack E. Weller distinguishes
the spirit of independence and individualism. Although he
is discussing about the people in Appalachia what he says
smems to be quite applicable to American people in general.
"A fierce independence was part of the heritage
which the settlers brought with them to the region . . .
(but: through the generation, a subtle but significant

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intra-group cohesiveness of American society will inevitably
be seriously undermined. Maybe in this arena of social
rituals, as in the general social movement, the model of
Sorokin applies: that a very formal period is followed by
a lax, and more informal period, which will lead to a cha-
otic confusion, and then followed by an upsurge of more
rigid and highly formal period, and repeating a cyclical
history.107 At any rate, it seems that the existence of
Japanese traditional customs, particularly expressed as
social rituals, serves Japanese society's intra-group
cohesiveness and sustains the orderliness of interaction

among its members.

Good Manners as Social Rituals

Underneath their differences in manners and style

of expressions, as well as language and para-language

 

change took place. Independence has become individualism,
which includes independence but has a different direc-
tion . . . . A man with independence may well work in
his own way for a cooperative and common good . . . .
Individualism, on the other hand, has a self-directed
quality in it: a man works, perhaps in independent ways,
with his own gain or well-being in mind. It is this
quality of individualism that the mountaineer's inde-
pendence has come. All that he does has the self and
its concerns at heart. . . . On the one hand, inde-
pendence means simply a certain autonomy of person in
the way one lives and thinks and acts." (Lexington:
University of Kentucky Press, 1966), pp. 29-31.

107301:" people, however, seem to consider the situa-
tion in America today in a more pessimistic view. Prof. Y8-
nosuke Nagai of Tbkyo Institute of Technology, an acute
observer of American society, warns Japan not to make the
:mdstake of cepying too closely a society which is already
in deep crisis, as he sees American contemporary scene as a
long-term trend, rather than a temporary scene in the cy-
clical changes, as suffering from a terminal illness. "The
United States is Disintegrating," Psychology Today (May
1972). pp. zit-27. .93-9“. ' -

 

 

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105

differences, as discussed in the preceding pages, people
everywhere seem to have a common human nature. Goffman
explains it from his observation of the fact that any society,
if it is to remain society, must mobilize its members as
self-regulating participants in social encounters. And, that
one way of mobilizing the individual for this purpose is
through social rituals. As a social interactant, each indi-
vidual is taught to be perceptive, to have feelings attached
to self, to have pride, honor, and dignity, and to have
consideration for others. He is to act in such a way to show
tact and poise in his interaction with others. And, these
are elements of what we might consider universal human
nature.108

As we observe various societies and their culture,
some are more intra-group conflict prone than others.’ As it
has been mentioned before, some societies have so high a
density that intra-group conflicts are seemingly unavoidable,
or at least has a high potentiality, unless somehow such a
self-regulating mechanism is kept effective. Also, we can
observe that some societies have a conflict producing
atmosphere with high tension that goes with high competition
and unfulfilled high motivation for success. Needless to
Say that these societies require highly developed neutral-
izing mechanisms, i.e., social rituals, to prevent frequent

disruptions in their interpersonal relationship. Social

¥

108Goffman, Interaction Ritual, pp. hh-hs.

 

 

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106

rituals which are perceived as good manners may appear to
be wasteful or "too time consuming" or "unnecessary niceties,"
or "bothers" are in fact not a mere luxury but most func-
tional in that they are very practical social control
mechanisms for maintaining group cohesiveness and keeping
intra-group conflicts to a minimum, as discussed earlier.
Accordingly, we see the important tension reducing
function of everyday interaction rituals, i.e., good manners,
considerations and other feelings expressed in acceptable
standardized behavior patterns. They also serve the func-
tion of lessening the pressure for conflict among intra-
group, intra-pseudo-species, societies.1o9
Whether in intra- or inter-group relationships, causes
of a conflict are closely related to the effectiveness of
the type of rituals which may be called submission or
appeasement rituals. In other words, we find in our everyday
life there are many standardized gestures for expressing
emotions representing one's feeling of respect, approval,
awesomeness, defeat, affinity, and so on. These rituals
enhance the interactants' social relationship to continue
and thus avoid possible conflicts. There are, for example,
gestures to "excuse" oneself and clarify good intention,

or to show at least a lack of mal-intention, when one has

to engage in a type of behavior which may be mistaken as an

‘

109The existence of social rituals provides the sense
0f security and serves to reduce anxiety for the people who
Otherwise may feel very much ill at ease in social encounters.
Thm nwminous element of ritualization and man's need for
ritualized affirmation were discussed in Chapter I. Su ra,

ppe 35f.

 

 

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a“.

107
overt aggressive behavior, e.g., such as when violating the
other's territory.
Any social crisis has a potentiality for disrupting
the line of communication as well as interaction itself,

and ultimately to cause an intra-group conflict. Thus, it

 

would be utopian to keep social crises from happening. But, r3

as long as they must happen, then it is important to keep : -

them to a minimum level of disruption. I
One of the most common social crises occurs in

relation to the concept of "face," and, thus, in any culture, N

there are ample amount of social rituals dealing with "face-

110

work." When someone, even inadvertently, causes one of

the other interactants to lose face, then, it would be
certain to result in a socially awkward and embarrassing
situation. It has to be corrected if further damaging and
hostile behaviors are to be avoided. With regard to the
nature of the ritual order, Goffman states:

The ritual order seems to be organized basically on
accommodative line, so that the imagery used in thinking
about other types of social order is not quite suitable
for it. For the other types of social order a kind of
schoolboy model seems to be employed: if a person wishes
to sustain a particular image of himself and trust his
feelings to it, he must work hard for the credits that
will buy this self-enhancement for him; should he try

to obtain ends by imprOper means, by cheating or theft,
he will be punished, disqualified from the race, or at
least made to start all over again from the beginning.
This is the imagery of a hard, dull game. In fact,
society and the individual join in one that is easier

on both of them. yet one that has dangers of its own.111

11°Cf., Goffman, "On Face-work." in Interaction Ritual,
Ink 5-h5; Stratggic Interaction: and other works.

111Goffman, "On Face-Work," pp. h2-h3.

 

 

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108

In this light, the study of rituals concerning face
saving, or what Goffman calls "face-work" would be quite
significant especially in one's attempt to understand any
given culture. Categorically speaking rituals on face-work
may not be unique in their general function, yet, they seem
to be uniquely woven into the core of tradition. In case of
Japan, Mishima and others pointed out that "the Japanese

'112 Whatever

people are, by common concensus, polite people.'
the reasons may be, proper behavior and politeness are
essential part of Japanese social relations, and are so
valued accordingly. It follows, then, one can expect a

great deal of social rituals to be found in Japanese everyday
interaction regarding both neutralizing, as discussed above,
and corrective, i.e., those related to face-work after a
threat of social crisis becomes eminent. A general dis-

cussion on face-work will be treated with the topic on

Japanese face-work in the Chapter VI.

112Yukio Mishima, "Party of One. Japan: the Cherished
Myth." Holiday, October 1961, p. 10.

 

 

PART II

 

WL-“

LA

3333M I

CHAPTER III

CULTURAL SOURCES FOR JAPANESE
INTERPERSONAL RELATIONS:
GENERAL DISCUSSION ON JAPANESE MENTAL CHARACTERISTICS

General Observations

Paralleling the increasing interest in Far Eastern
affairs, especially since World War II, many Western as well
as Japanese scholars have focused their interest on studies
dealing with the Japanese national conscience. However, it
is extremely difficult to understand or grasp the real
Japanese psychology. Even today, many studies and many
articles after, the feeling that is expressed in such a
phrase as "inscrutable Orientals" is far from having disap-
peared. In the mind of many Westerners the behavioral and
thinking patterns of Asians seem to have a mystique at best
or seen so strange they are not worthy of any effort to
understand. One of the foremost authorities of Japanese
cultural history, Sir George Sansom wrote in the beginning
of the foreword to Reischauer's Japag’gggg'ggg Present that

"Few countries have been more copiously described than

' 1
Japan, and perhaps few have been less thoroughly understood."

Indeed so much has been written on Japan and yet so little

is understood about her by the West.

k

1Edwin O. Reischauer, Japan Past and Present (New
York: Alfred A. Knopf, 196%).

109

 

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110

It has been pointed out in the writings of some
specialists on the subject, such as Lafcadio Hearn2 and Basil
Hall Chamberlain3 earlier that this difficulty arises
principally because of the many-sided characteristics of the
Japanese. The noted novelist Yoshio Nagayo emphasizes the
many-sidedness of the national character in the fifth volume
of the Shép_§ip£i_§§pg_(New Series on Ethics)," which was
published in the height of the Japanese search for self,
own culture and personality several years after the end of
World War 11.5 This work consists of essays by some of the
most prominent writers of the time on the theme, "What is a
Japanese?" .

Nagayo maintains that while the Japanese are not a
passionate people they are at the same time extremely sensi-

tive and emotional.6 He contends that they are prone to

 

2Lafcadio Hearn, Japan: Ap.Attem t pp Interpretation
(New'York: Grosset and Dunlap, 1910’.

3Basil Hall Chamberlain, Things Japanese (London:

John Murray, 1905).

"Yoshio Nagayo and others, Shin Rinri Kfiza (Tokyo:
Sflgensha, 1953).

5The period immediately after the end of Allied Occupa-
tion of post WWII provided the Japanese, particularly its
intellectual leaders, an occasion for reflection and self re-
evaluation in most humble manners. Most of writings therefore
retrospectively tended to be extremely critical of Japan itself.
And also some leading Western scholars, who were long time
residents of Japan, were solicited to actively participate in
such discussions. Such distinguished schblars of Japan as Prof.
Reggendorf, S. J., of Sephia University and others were noted
for their excellent contributions. Cf., Furukawa and others,

Nihon- in Epinatoku-teki Shinsei (Tokyo: Kawaide Sheba, 1955),
P0 593.

6A Chinese journalist and a social critic compares this
Quality with a contrary trait of the Chinese where one is
tumined from his childhood to conceal his emotions from others,
for such is a noble virtue. Ibid., p. 280.

 

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111

Jump to conclusions and make judgements on the essence of
things from the mere contemplation of a fragment, such as is
done with the suggestive seventeen-syllable poem, the hpikp.
On the other hand, he argues, they are given to sudden fits
of despondency, and these do not result from an inherent
easy-going superficiality. While the Japanese may talk of
the principles of a world-renouncing religion or express
indignation at moral and social evils, they do it in phases
borrowed from abroad rather than from an expression of native
sentiments. They grumble a great deal, but they generally
take things as they come in the long run. They may appear
to be realistic and practical, like the English, or artistic
and perceptive, like the French, but they actually are
profoundly different from the Europeans. While many Japanese
seem to be interested in German idealist philosophy, most of
them prefer a more pragmatic and optimistic way of thinking.
Yet these same Japanese cannot readily accept the American
doctrine of pragmatism because it seems too shallow for them.
.By and large they do not seek clear-cut, simple solutions to
problems. They prefer to compromise or do something which
may be later perceived as cheating, and for this reason they
are prone, in industry for example, to manufacture trash as
they did in the pre World War II days and as a result lose
customers. In other word, they prefer to compromise rather
than stand for a principle.

Professor Michio Takeyama, in the style of post WWII

writers reduces the problem of the nation's character to

 

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situral

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112
cultural terms and concludes as follows:

The modern Japanese have long since left the
cultural sphere of what is usually considered the East -
with China and India at its center. They are walking
the road that Europe has been walking since the Industrial
Revolution. What is usually thought of as the contrast
between West and East - the idea of conquest with man in
the center on the one hand, the parting and meeting (rigfi)
of man and cosmos on the other hand - can no longer be
accepted as expressing the difference between Japan and
the West. The Japanese must have appeared to the
Chinese during the recent war as not much different than
the Westerners. Europeans themselves have become aware
of something within their own civilization that corres-
ponds to the conventional idea of a contrast between
West and East, namely the contrast of a modern civiliza-
tion produced by the Industrial Revolution and the older,
purer culture based on the idealism of Greece and
Christianity. What we confront in modern Japan is of
the same nature: a rigidly uniform technical civiliza-
tion and a regional, traditional, organic culture. Terms
such as "East and 'West" no longer fit into this
reality.7 . .

In addition to above mentioned reasons based on the
inherent qualities of the Japanese mind, it must also be
pointed out that there are some other factors preventing many
Westerners from understanding the Japanese, or Asians in
general. Possibly the most prevalent among them is ethno-
centrism, which inevitably leads its possessors to apply
their own standard to others and judge everything which is
different from their own as inferior, invalid or not acceptable.

What Ichheiser discusses as a common confusion of the words
8

same and "equal" is a case in point. That is, if two

peoples are not seen as the same, then, one group has to be

inferior.

k

7Yoshio Nagayo and others, op, cit., v.5, Conclusion.

80f., Gustav Ichheiser, "Analysis and Typology of
Personality Misinterpretation,".in Warren G. Bennis and others,

06.8.. Interpersonal Dynamics (Homewood, Ill.: The Dorsey Press,
1968)! Ppe 737‘ 2e

 

 

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113

There is also the commonly shared fear of anything
strange or unknown, and this fear works against understanding
others when the others do not look like oneself. If a person
looks peculiar or strange, he cannot be trusted - and cannot
be predicted. One does not expect another person who does
not look like himself to behave like himself or to have
similar ideas let alone being able to meaningfully communicate
with him.9

Another factor may be even more serious. There seems
to be a widely shared inability in the West to see beyond
the simple material world, particularly among Americans.
But most importantly, the difficulty of understanding may be
due to the great emphasis placed in the West upon rationality
and the heavy dependency upon written documents whether it
may be dealing with philosophy or on ideologies or on other
matters. That is, unless theorized into a neat theses with
sound and proper Aristotelian logical support. the existence
of any ideOlogy or philosophy is not recognized. If the
Japanese people were more theoretically oriented and thus

produced written systematic works on the ways in which the

 

9Supra, p. 5uu See also the effects of pseudo-
speciation discussed in Chapter I. pp. 36f.

1°Professor Huston Smith of MIT is quoted that "Our
Western culture has stressed measurement and control of
objects, whereas China has historically emphasized the rules
of the social encounter, and Indian philosophy the develop-
ment and expansion of human consciousness." In T. Leary,
"Howrto Change Behavior,"(Lecture delivered at the Inter-
national Congress of Applied Psychology, 1#th Session,
Copenhagen: Afigust 18, 1961). In Bennis and others, eds.,

OE: Cite. pe

 

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I.
...‘z,

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11h
Japanese mind worked, and so forth, especially if it were
presented in a neat treatise of epistemology or in a similar
form, Westerners would have no problem understanding.
However, as Nyozekan Hasegawa points out the Japanese way
of thinking, generally speaking, does not find its expression
in grand theories. Rather, it tends to be deeply rooted in
the world of reality and the practical life. The Japanese
way of thinking, therefore, contains in it the potentiality
of regulating and shaping one's life to be lived right. At
the same time, a great emphasis on theorizing or rationalizing
one's behaviors, as well as rhetorical expressions thereof,
which is so prevelent in the West, is lacking in the
characteristics of Japanese mentality.11 Nyozekan Hasegawa
suggests, therefore, when studying Japanese mentality, or the
nature of Japanese way of thinking, one should pay special
attentions to the fact that, in Japanese culture, some minute
and seemingly unimportant details of expressions and styles
of everyday life most accurately and explicitly portray the
more significant characteristics of Japanese psychology.
jNamely, the Japanese mental personality can be studied most
effectively by studying the concrete expressions of their
mental life, i.e., how their ideas and attitudes are

expressed in concrete objects of everyday life as well as in

fine arts.

 

11Nyozekan Hasegawa, "Nihon-teki Shinsei ni Tsuite,"
in 13 Furukawa and others, eds., Nihon- in pp DBtoku-teki
Shinsei (Tokyo: Kawaide Sheba, 1955;, pp. 208. See also,

his Nihon—teki Seikaku: The Ja anese-Character - 5,0ultural
Profile, tr. by John Bester (Tokyo: Kodansha International,

1933’, Chapter V.

Fa

 

115

This approach to the study of Japanese psychological
personality may be contrary to what is commonly perceived
as the correct approach to the study of any national
character.12 But, because of the very Japanese characteris-
tics of being practical but not to verbalizing or putting
in writing, studying such things as how the Japanese live,
i.e., clothing, food and shelter, is most essential in
understanding their psychology.13 This means the careful
examination of various ordinary items and everyday manner-
isms is a most appropriate and necessary step. These
objects to be examined would include (1) the instruments and
utensils of everyday life in both public and private spheres;
(2) everyday behavior and social rituals in interpersonal
relationship, because these expressions and forms are
concrete and overt manifestations of their inner interpersonal
feelings and also their attitudes toward things and peeple
around them as well as the social structure; (3) expressions
in arts, and the nature of literature, because not only do
they reflect the mood of the society but they are highly
refined presentation of everyday life and thoughts of the
people; and (h) the language itself in the literary works,

particularly with regard to its style and manners of

 

12One is reminded of Radcliffe-Brown's comment. He
said that in terms of social development, "there is a tendency
to treat belief as primary: rites are considered as the
result of beliefs. . . . Tb my mind this is the product of
false psychology." And he suggests that "in attempting to
understand a religion it is on the rites rather than on the
‘beliefs that we should first concentrate our attention,"
instead. A. R. Radcliffqurown, Structure and Function.ip
Primitive Sociepy (New York: Free_Press, 19337, p. 155.

13Nyozekan Hasegawa, "Nihon-teki Shinsei ni tsuite,"
pe 30 ' '

 

 

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116
expression, but not necessarily the content itself of the

literature (for the reasons discussed in the following

pages).1"

Nyozekan Hasegawa further explains the importance of
this approach to the study of Japanese psychology and lists
the following reasons. Let's take the case of an individual.
It would be far more simple than discussing the Japanese
people collectively. Yet it would be most difficult even
for a person to have a perfect consistency between his inner
thoughts and his overt behavior, and verbalized statements
he makes of himself. Furthermore, it would be almost
impossible for a person to be able to talk about the nature
of his menta1 characteristics accurately.ksRather, generally
speaking, his unconscious behaviors disclose his basic
personality and attitudes more accurately. His behavior
in a group situation or when he is interacting with others,
when compared with his behavior patterns when he is by
himself in his private world, would speak even more clearly
about his true mental personality.

The menta1 characteristics of a nation, likewise, are
most truthfully expressed in the spontaneous behavior of the
people or their unconsciously used words rather than in the
language deliberately employed to discuss their feelings and

thoughts. Hasegawa contends that this would be especially

 

11‘Loc. cit.

151btd.a‘»-p. 3.

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117

true of the Japanese.16

As for the theories dealing with abstract ideologies,
when one makes an error in his process of developing a theory,
he can correct it later by adding more logical arguments.
And he does not have to suffer from real damage as a result.
When dealing with our real life, on the other hand, a flaw
in a thought process or a hypothesis would bring about a
far more serious consequence. For example, when a farmer
makes a mistake or when he does not work hard enough, his
behavior which is based on an erroneous thought will have a
real consequence. there will be no rice crop for him in the
field. It is the shrewd reality of this world. It makes
no difference how logically he can argue later. The damage
is done and it cannot be reversed. In other words, it would
not do any good for him to argue that "Theoretically this
should be this and that, and should work." An argument can
be made to sound better by mastering skillful rhetoric, but

it has no place in the practical world.17 It is the farmer

 

16Most certainly this is not limited to the Japanese
and is also applicable to any social group. Discrepancy
between thoughts and expressed attitudes can often result in
a misinterpreted consensus of opinions in a given group.
Even if some able few could discuss the subject of abstract
inner thought process, philosophy, religion and so on
adequately, it may be seriously questioned as to their
opinions being representative of the general national charac-
teristic. For example, the attitudes and thinking of the
Japanese populace about religion are impossible to analyze
or categorize as to finding out what elements represent more
genuine Japanese thoughts than others, or how commonly those
are shared. Ibid., p. 6.

17In this regard, we are reminded of the young boy from
a woalthy_family in Mishima's novel Shiosai (The Sound of
‘Wave), who was very skillful in verbalization_and discussion,
thus headed a local village youth organization. However,

 

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118
himself who has to suffer or enjoy the consequence of his
earlier thinking and actions. Hence, he is more likely to
focus his thinking on practical reality rather than moving
toward building a theory. Similarly, not only the farmers
and fishermen, the Japanese populace in general are very

practical-life oriented in their thinking.18

Instead of
verbalizing, they tend to express their inner emotions and
thoughts in the practical or applied phases of their lives.
Thus, as Hasegawa emphasizes, the Japanese way of
thinking is directly based on everyday life itself, and
their focal concerns are the tangible and practical side of
life. One hears the expression "What you say sounds good as
far as a theory goes, and you win the argument. But, in the
reality, it simply does not work that way." We are also
aware that this "practical direction" toward which the
Japanese people's way of thinking is oriented, in turn may
limit the development of some other phases of Japanese life,

such as religious and philoSOphical theories.19

 

he was proven useless in a storm on a boat whereas the quiet
Shinji, a poor youth, saved them during a crisis at the sea,
and hence gained the approval of the stubborn and powerful
Terukichi whose daughter both young men admired.

18Hence, jikkogyoku (ability to execute) is a highly
appreciated value in Japanese society. The opposite quality
is a person who talks a lot but ends in kara-nenbutsu (lit.,
"empty prayer" meaning fair but empty phrase), i. e., no action
and just rhetoric. Or, kuchi-hatchB (eloquent), etc.

19Arts are not considered outside of practical life
in Japanese culture. Cf., Alan W. Watts, "Invitation to the

Dance," in his Ps chothera East and.Wbst. (New'York: New'
American Library, 1933), p. 135 .

It:

 

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119

At any rate, as it has been mentioned before, the
Japanese way of thinking may not be inclined toward the
development of grand theories about life and society, but it
does work superbly well toward improving the quality of
and the development of the practical side of life. It also
makes things about life to be perceived more positively and
helpful. Furthermore, it has been observed that the Japanese
do not separate arts from everyday_life. They tend to make
things of everyday life to be deve10ped into artistic
objects.20 Similarly, it is true with social rituals.
Everyday 'bghayi‘or;13' developed into very highly artistic
social rituals, such as seen in the tea ceremony or the
Ogasawara School of etiquette for men. And, the proper use
of rituals in various situations becomes a highly valued
attainment among the well brought up men and women, if not all
Japanese people. This is the quality similar to what French
call bigg.§lgzé, which is the mark of a person raised with a

proper sense of right conduct.21 As the Japanese word thin

20Hasegawa, "Nihonteki Shinsei ni tsuite," pp. 22-23.
The fate of mathematics in Japan, which reached a fantastic
level of sophistication in the feudal period in Japan, was
explained by some scholars in the same manner: instead of
further developing mathematics to higher and more advanced
theories, the mathematicians of that time tempered it toward
art. Thus higher mathematics in Japan never reached its
potential level: instead, it just faded away as luxurious art.
See also,Alan W. Watts, op, cit., pp. 135f. regarding this
tendency among the Japanese people to make everything into
artistic forms.

21Daniel Lerner, "An American Researcher in Paris:
Interviewing Frenchmen,".in Bert Kaplan, ed., Studying
Personality Cross-Culturally,(Newaork: Harper & Row, 1961),
PP. 2 -290 . .

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120

' meaning, cultured, refined,

(literally means "uppter quality,’
elegant, gracious or having classi to describe such a person
indicates, not only knowing proper social rituals but the
ability to execute them graciously without a trait of
affectation also is expected of such a person. Suzuki states
that "We cannot all be expected to be scientists, but we are
so constituted by nature that we can all be artist - not . . .
artists of special kinds, . . . but artists of life." And,
"not knowing it, most of us fail to be so and the result is

that we make mess of our lives."22

The Tangible or Down-to-Earth Orientation
of Japanese Language

TraditiOnally, Japanese language lacked the vocabulary
referring to the mind and thoughts of man in abstraction.
Whereas among other civilized societies we find a considerable
amount of vocabulary with regard to highly complex and
advanced abstract ideologies. Even today, as in the past, when
the Japanese talk about such abstract concepts, they do not
seem to mind at all using words borrowed from other civili-

zations. Historically Speaking, the Japanese people did not

 

22Daisetz Suzuki, "Lectures on Zen Buddhism," in D. T.
Suzuki, Erich Fromm and R. De Martino, Zen Buddhism.ggg
Psychoanalysis (New York: Grove Press, T5365, p. l . Suzuki
further comments by saying that, for an artist of life, "all
the material, all the implements, all the technical skill that
are ordinarily required are with him from the time of his
birth . . . . And everything that is attached to the body,
such as the hands, the feet . . . the nerves, the cells, thoughts.
feelings, sense - everything indeed, that goes to make up the
whole personality - is both material on which and the instruments
'with.which the person molds his creative genius into conduct,
into behavior, into all forms of action, indeed into life

itself . . . ." Ibid., p. 16.

 

 

121

particularly care to talk about what was in one's own mind,
or about the mental characteristics and thoughts of others
in general. Hence, the vocabulary with regard to such
subject matter is very poor in the traditional Japanese
language.

Nyozekan Hasegawa attributes this avoidance tendency
among the Japanese to intellectual activities in the past
and relates it to the thinking process of the Japanese. As
far back as the earliest periods in their history the
Japanese people seem to have been unable to think of meta-
physical matter from its form. For example, even in thinking
of 522; (god, or highest existence), they thought of their
ancestors as kgggn or gods, because they could not conceive
of anything entirely above the concreteness of a human being.
The origin of the universe and man, also, they considered in
such a way that there should be some concrete "thing" (2222)
as the cause, just as with the origin of any other being.
As far as their thinking goes, everything comes from some-
thing, i.e., everything is born from a thing. Therefore they
thought that their ancestors were born of something like a
reed or a rush. In other words, the Japanese people cannot
accept the metaphysical idea that some "thing" originates,
nor can they think of "being" turning into "non-being."
Even a god, or 522;, cannot create any thing by more will
or merely uttering words, but in the Japanese mythology the

five cereals (gokoku) are born of his body upon his death.23

 

23Hasegawa, "Nihon-teki Shinsei ni tsuite," p. 3.

“A.“ ___-‘m‘ _

 

 

 

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122

Hence, the mind of the Japanese people is always
hinged to concrete things. For that reason their mentality
is concrete and realistic and nothing more than actuality
in an extremely simple sense. For that reason, as mentioned
before, a philosophy concerning the national mind never
arose among the Japanese people.

Reviewing the historical development in Japan, we
also find that the people as a whole did not mind adopting
philosophies and religious thoughts from others. Even
cultures that are not very complex have some peculiarity
expressed in terms of philosophy or religion. And, for
that reason a nation, whatever its level of civilization,
does not,usua11x readily adopt a foreign philosophy or
religion. Religious thoughts as well as philosophy are
bound up with the national way of life and give it its
peculiar characteristics. The uniqueness of the Japanese
lies in the fact that they imported all kinds of philosophy
and religion from the Asiatic continent in antiquity and
the middle ages and from the Western world in modern times.
In fact, the Japanese kept pace with the rise and decline
of the various countries from which their systems of thought
originated. When Buddhism first came to Japan, controversy
naturally arose among the intellectual leaders of the period,
for a native religion already existed. But, as a whole
Buddhism was absorbed without any struggle of the kind that
can be noted in other countries in similar situations, and

it prospered together with the original native religion.

-“

 

123
The Nirvana of Buddhism, Confucian teachings, Taoism, German
Idealism, English Empiricism, Egg_and ggggfl all of these
were adopted, and sometimes by the same people at the same
time.23 In short, the coming of a new alien religion or a
philosophy was not perceived as a threat: the only time any
war was fought which may appear to be a religious war was
not primarily over religious issues but basically for

2" In other words, only when a religious

political reasons.
group became a political group was such a group suppressed
in Japanese history. It may be noted also that with all

the numerous foreign religious and philosophies that were
adopted, a characteristic feature of this Japanese psycho-
logical attitude is that, no alien system is accepted in its

entirety.

 

23Certainly this is not limited to the Japanese,
however. Very often peoples in South America, after embracing
Christianity, still exercise and participate in the indige-
nous religious ceremonies and rituals. The case of Japan,
however, is somewhat unique in that simultaneously people
practice and accept various teachings of different religious
groups without feeling any conflict. Almost a total
religious tolerance is achieved at least among the secular
segment in Japan. Possibly one may attribute this to Japan's
tradition of polytheism or pantheism.

2"The Shimabara Rising,fbr example. Regarding the
action taken by Japan against Christianity, Sir George Sansom
writes:

"It will be seen that here was no consistent antago-
nism to a foreign creed, but a variable attitude based
upon political grounds. If Nestorian Christianity sur-
vived for so long in Asia it was because it had no
strong political power behind it; . . .

The action taken by Japan against Christianity cannot
be considered separately from the exclusion policy to
which it was a prelude. . . . (The: anti-Christian edict
of 1616 was inspired in part at least by fear of Spanish
intervention in the domestic affairs of Japan. The edict
was re-enacted in 162% because Shogun had further grounds
for suspecting Spain, or at any rate the Spanish in the
Philippines, of aggressive designs." G. B. Sansom, 223
Western World and Japan (New York: Knopf, 1950), p. 177.

 

“ .A‘l-“JA- “
1:
Jun.

121:
such subjects. No amount of importation of theories presented
any threat to the Japanese, and this can be understood only
when one is fully aware of the way the Japanese people
traditionally thought. They could not be too concerned with
which theory appealed better: a theory is a theory, they
would say, and the world of reality is the reality.

Hasegawa also contends, as discussed earlier, that the
lack of Japanese vocabulary on abstract concepts, particularly
on philosophy and religion, may have been perpetuated, if not
caused, by the extraordinary development of ritualized
behavior patterns.25 That is, ritualized behavior patterns
and precedents were developed so elaborately to the extent
that it substituted the verbalization. Ritualized behavior
conveyed ideas and philosophy about life and society effec-
tively from one generation to another as symbolized expres-
sions.

That is, once behavior is ritualized, the economization
of words occurs, as Leach so clearly demonstrates.26 Thus,
there would be less misinterpretation or misunderstanding,

a ritual can convey far more than having to express ideas
and meanings through words. Then, it follows that, a
linguistic study may mislead a student of Japanese culture
and psychological personality into making false conclusions

if he depends too much on expressed words and written

25Ci‘., supra, pp.h0-h3.

26E. R. Leach, "Ritualization in Man in Relation to
Conceptual and Social Development," Philosophical Transaction
a; the Royal Society gfILondon, Ser. B, No. 772, Vol. ZSTT
Pa 508.

 

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125

records,27 although this criticism should be less applicable
regarding use of fiction, for literature, "though it may
also be many other things, is social evidence and testimony.
It is a continuous commentary on manners and morals."28
In short, at any rate, one finds it rather difficult to
locate what the crystalized traits of Japanese culture are
by examination of language alone or from written records on
the subject.

But, when one observes the forms, i.e., concrete

manifestation in shape and style, of things of everyday life

 

27A distinguished Japanese scholar, Dr. TetsurB
Watsuji comments on Ruth Benedict's over dependency on books
dealing with Japanese militaristic ideologies published
during the two decades prior to her study. The case of James
Clark Moloney's Understanding the Japanese Mind (TOkyo: C. E.
Thttle, 195“) in spite of the authorrs good intention, also
suffers a similar shortcoming. He commits the same error,
and thus the outcome is very questionable with regard to its
validity and accuracy of the analysis. Comment, Hideo Abe,
in Furukawa and others. eds., op. cit., pp. 289-90.

In addition, studying Japanese culture from verbalization
and written records presents difficulties which are not too
problematic in dealing with other languages. Even a veteran
translator may mistranslate a very common basic expression
in Japanese. For example, the phrase "Itsudemo iindesu"
(meanin , any time will be find, i.e.,.I am in no hurry, or
you don t have to rush (about this mattera), which is usually
employed to soften a request by removing the pressure of
time element, and could be considered a social ritual, was
translated as "It is always good." The passage was in the
scene where a woman was telling her lover who is turning cold
that she would like to have a child by him. Hence, the
translation was very awkward to say the least. (Fumiko Hayashi,
Ukigumo: Floating Clouds cTokyo: Hara Shobfi, 19653 translated
by Y. Koitabashi and M. C. Collcut.) Japanese language is
an extremely difficult language to master for those who were
not born and raised in Japan.

28Lewis A. Coser, ed., Sociology Throu h Literature
(Englewood Cliffs, N. J.: Prentice-Hall, 1933;, p. 2.

 

‘shm

 

 

126

in Japan, he will find something which is expressive of
the Japanese mental personality and the richness of their
emotional life.

For example, let us take a look at a dining table of
any ordinary Japanese family. The rice bowls and chopsticks
all differ in size and design depending on to whom they
belong. Each piece is befitting to the personality and
role of the person who uses that item. His sex, age, and
taste, for example, reflect upon the designs of such items.
A wife would not eat with a pair of bold squarish chopsticks
designed for men folks; and a husband would not eat with a
pair of woman's round and delicately designed chopsticks.
Children's chopsticks are shorter, durable and possibly with
a brighter design or in a pastel color. And, each one's
chopstick box will also differ accordingly. While one does
not think anything of using the same knives and folks as
anyone else in the West, these differentiations to the
Japanese are a very natural way of doing things. This sort
of practice indicates the prime importance attached to each
person behaving properly and in the manner most befitting
to that person.29 The emphasis on proper behavior includes

not only one's speech pattern, various possession, manners,

 

29The Japanese expression is -rashiku furumau (behave
most befittingly to the role. status, etc.), t.g., toshiyori-
rashiku (means like an older person"), akusei-rashiku
(properly as a student), onna-rashiku (like a lady, womanly),
and so on. Deviation is strongly rejected as -rashiku 22;,
not befitting to the person in that role, thus silly or
improper, except the exceptions provided institutionally.
For a fuller discussion on this subject, see Chapter IV,
Mibun me

 

127

clothing, and so forth, but the over-all life style as
well. And, such a practice shows their preference toward
using a particular utensil which is not only appealing to
his or her eyes but also becoming to him or her, and also
reflects the delicateness of the Japanese psychological
orientation and the richness of their mental life.

Likewise, although the language from the point of
view of vocabulary analysis may not do much to portray
the way Japanese people think, the tone, tempo, and control
of voice in using the language are actually concrete mani-
festation of their mental personality. While the accent
of Eur0pean languages, generally speaking, is of loudness
and softness of voice, the Japanese accent is, as in music,
high and low. Namely, the Japanese accent is a musical
accent. The speaker's feeling can be conveyed not by the
content of words in verbal form itself but by "color" of
the tone (onshoku in Japanese) and control of voice.30
Hence, a study of the Japanese speaking language, as to the
manner in which it is Spoken, too is extremely important

in understanding the Japanese menta1 personality.31

 

30There are numerous words regarding these various

"colors" of voice, and accent in the Japanese vocabulary.
For example, 523_ o otosu (to drop a voice, usually referring
to a sudden shift- to lower one' 8 voice), koe o shiboru

(" squeeze" one' s voice), koe o ageru (raising _one's voice),
koe o korosu (to "kill' one 3 —voice, originally from a
theatrica usage, meaning low and controlled but clear voice),
koe o shinobaseru (to let one' 8 voice Hconcealed. i. e.,
whiSperT: and so on. It may be interesting to mention that
the quality of voice such as in Occidental soprano, a high
note, is called kiiroi Egg ("yellow voice").

31Hasegawa, "Nihon-teki Shinsei ni tsuite," p. 6.

w4_‘-

 

 

 

128

Conditionality, Multi-dimensionality,
and Tendency Away from Exaggeration

Hasegawa considers that the most basic characteristics
of the Japanese way of thinking is its seiyaku-sei (condi-
tionality, restrainment, or controlled-ness). Thus, zettai-
23$ (absoluteness) or extremism are quite alien to the
Japanese basic way of thinking.32 The concept of absoluteness
is absent from Confucian teachings also. And. for that
reason Confucianism appealed so strongly to the Japanese
people. But in Japan, unlike in China, there is not even
any absoluteness in action itself. This lack of absolute-
ness manifests itself more in terms of behavior and actions
than on the philosophical level. In other words, the lack
of absoluteness in their actions reflects directly on their
psychology, and. hence, they see no incongruity even in
embracing contradictory ideologies and customs simultaneously.
There had been many Japanese Confucian scholars, for example,
who embraced both Confucianism and Taoistic philosophy.
which is quite different from the orthodox Confucian philo-
sophy. And, this may be an indication of the flexibility of

the Japanese psychology.33 And, this leads to another

 

32The rise of ultra-nationalism in the decades prior
to the WWII is considered to be the first time in Japan's
history that absolutism gained the control. and such behavior.
very much against the traditional Japanese way of thinking,
inevitably led to the catastrophe. For both a society or
for an individual, to behave in a way which is not natural,
Hasegawa comments, would undoubtedly invite a downfall.
Hasegawa, "Nihon-teki Shinsei ni tsuite," pp. 13-1».
We see a similarity between this basic attitude of rejecting
extremism with the strong preference for moderation of the
classic Greek arts and literature.

330ne may say that to a certain extent this is a
characteristic of East in contrast to West, not Just Japan,
however.

 

rgm..ob --
h

A.

 

129
important characteristic of the Japanese menta1 personality,

taxi-sei (multi-dimensionality).

The talc-sci, or multi-dimensionality, is perhaps
the next basic quality of the Japanese psychology. When a
certain mental quality or tendency is developed among the

Japanese, it seems inevitably to lead to a development of an

opposit quality, and then both continue further development.3"

For example, the imperial residence remained always for a

long time very modest, following its historical model with

the traditional quality of restraint; and. in fact, as
recorded in an official history compiled by the imperial
court, the people openly and strongly criticised the court
when it attempted to mobilize a large labor force to construct
its stone walls and meats. Yet, at the same time, a huge
structure such as TBdaiji Tbmple was constructed without

any opposition from the populace. This illustrates the
multi-dimensionality of the Japanese mental personality.

Hasegawa writes:

One of the most conspicuous features of the Japanese
seen in the light of social psychology is their capacity
to incorporate conflicting psychological trends within
the same age, the same region, or the same group. Unless
this fact is recognized, there is a danger of misinter-
preting both the Japanese psychology and Japanese history.
This capacity is probably due to the large number of
races with different characteristics that went into the
making of the Japanese. Similarly. the middle-of-the-
road course taken by Japanese history, its avoidance of
extremes, is without doubt another outcome of this
synthesis of varied elements. All partial characteristics
are synthesized or cancel each other out, until they form
a homogeneous whole.35

 

31‘Very much like Hegel's dialectics, but no synthesis
of his concept. _

35Hasegawa, ‘Nihon-teki SeikakuxThe Japanese Character.
PP. 87-88e - . .

 

130

This multi-dimensionality was fostered in Japanese
culture partly due to the fact that there were no ideologies
of their own which they had to feel compelled to defend.
The Japanese, therefore, accepted various ideologies,
practices and things from alien cultures freely without
being defensive about it throughout its history. Thus, we
see the heterogeneity of many aspects of Japanese culture
in artifacts and other expressions of life styles of the
people past and present. In a big city in Japan today, we
find a variety of restaurants representing foreign cuisines,
such as French, Italian, German, Russian, Indonesian, Korean,
Scandinavian, Hungarian, as well as the most popular type,
Chinese restaurants of various sorts. In fact, some observed
that there are far fewer Japanese restaurants than others
in big cities. In other words, a variety of things from a
variety of societies are adapted to Japanese life without
causing serious conflicts. At the same time, the things of
foreign origin became adjusted and adapted to the liking
of the Japanese.36

Hasegawa postulates that if the multi-dimensionality
is lost from Japanese culture, it will most likely become
stifled as the history of cultures in South Pacific suggests.37

 

36Interesting example may be the well known case of
Knorr Soup which sought the Japanese market in the recent
years. It did not sell well at first in spite of the most
powerful advertisement and vigorous sales promotions. Later
its taste was altered to suit Japanese liking, it started to
sell well. Hence, Knorr soup in Japan has a uniquely Japanese
taste in contrast to its product sold in Europe and in America.

37Hasegawa, "Nihon-teki Shinsei ni tsuite," p. 16.

131
Thus, multi-dimensionality is considered a mechanism of,
and also a manifestation of the flexibility of Japanese
culture with regard to receiving alien culture elements
and the "Japanizing" of them.

Because of this multi-dimensionality of Japanese
mental character, there have been some interesting phenomena
in Japanese cultural history which Mishima calls "historical
heterogeneity."38 It is especially evident in the field
of literature and arts. Whatever literature or arts, such
as music, dancing theatre, or drama, it may be, that which
started or was created in a remote past continues to be
performed and appreciated in the subsequent periods simul-
taneously with the arts and literature which are the
products of a later period or of that time. Take theatre,
for example, Gagaku of the ancient period, N5 drama of
medieval time, and Kabuki of the next period, are all
developed following each other. Each could have been
expected to replace the form which immediately preceded:
yet, all of them continued to be performed in all the suc-
ceeding periods. deay, the ancient Gagaku is still played
in the imperial court and ShintB shrines, and also at some
Buddhist temples. The N3 drama still maintains its classic
form and is highly appreciated and patronized by many Japanese,

particularly among the upper strata today.39 And, so is

 

38Infra, p. 153.

39Not so much as a commercial theatre but as a partici-
pant art where the expense is paid by the sponsoring performer
who presents the particular program (either alone or Jointly
with others). Accompanists are usually paid by him, and
guests are invited. Moreover, a hikidemono, a small gift, is
a usual custom from the sponsoring artist to his guests.

 

 

Kabuki

all a
alongs
gen-en

t-f Ja;

but al

"953 .

" the

"mi;

132
Kabuki. which is still most popular among various age groups
and college students in particular as well as older tradi-
tional art lovers. In short, the Japanese mental personality
allows a variety of things of various cultural origins as
well as those of varying historical periods to exist
alongside with each other. Thus, this "historical hetero-
geneity" of the Japanese is a rather unique characteristic
of Japanese culture.

The diversity of Japanese psychology is portrayed not
only through visible things such as literature and the arts
but also through other forms of manifestation as well, e.g.,
the simultaneous presence of contradictory psychological
traits. The Japanese people are at one and the same time
easy-going, prone to changing their:interests from one thing
to another, tenacious and conservative at the same time.
These contradictory traits co-exist not only in general but
also in individuals. It is extremely difficult to analyze
these opposite traits to determine the true characteristic
of the Japanese mentality. It is commonly said that a
peculiarity of the Japanese is their facility to resign
themselves to a situation and say "Shikata-ga nai." Yet,
at the same time, although to a lesser degree, they also
possess a certain vindictiveness, or shunen-bukai (not
forgetting or forgiving easily). One reason for the
successful unification of the nation by the Tokugawa clan
after the Sengoku giggi’(0entury of Civil wars, ca. 1&60-
1585) and.Momozama period (1586-1615) is frequently alleged

 

I:

.. 1 a.“ mi“ ’5 Ah. I

. I I All a: ‘U A”! 5 e I. V ~.‘ , x d
'.n .Q.‘ T C E ‘ . t .O '1“ HI. chi: ,‘ h .
.a E w ,- a

 

1nlaan§r4

132
Kabuki, which is still most popular among various age groups
and college students in particular as well as older tradi-
tional art lovers. In short, the Japanese mental personality
allows a variety of things of various cultural origins as
well as those of varying historical periods to exist
alongside with each other. Thus, this "historical hetero-
geneity" of the Japanese is a rather unique characteristic
of Japanese culture.

The diversity of Japanese psychology is portrayed not
only through visible things such as literature and the arts
but also through other forms of manifestation as well, e.g.,
the simultaneous presence of contradictory psychological
traits. The Japanese people are at one and the same time
easy-going, prone to changing their interests from one thing
to another, tenacious and conservative at the same time.
These contradictory traits co-exist not only in general but
also in individuals. It is extremely difficult to analyze
these opposite traits to determine the true characteristic
of the Japanese mentality. It is commonly said that a
peculiarity of the Japanese is their facility to resign
themselves to a situation and say "Shikata-ga nai." Yet,
at the same time, although to a lesser degree, they also
possess a certain vindictiveness, or shunen-bukai (not
forgetting or forgiving easily). One reason for the
successful unification of the nation by the Tokugawa clan
after the Sengokulgiggi (Century of Civil wars, ca. 1&60-
1585) and.Momozama period (1586-1615) is frequently alleged

133

to be the unexpected attitude of compromise on the part of
the western daimzo (feudal warlords) who actually had
sufficient power to control the power of the Tokugawa if
they had stood up against it. Had they done so the history
of that period would have taken a different direction. The
attitude of the western daimyfi is often cited as a good
example of the psychology of resignation. However, the
daisz who rose up to bring about the downfall of the
Tokugawa clan in the mid-nineteenth century were the descen-
dants of these same western daimzo who had readily accepted
the hegemony of the Tokugawa clan two and a half centuries
earlier. In effect, the western clans had been ready for
compromise at that early period but they had also fostered
a vindictiveness which they patiently nurtured for two and
a half centuries."o

Of course, to say that the multi-dimensionality, or
diversity, of the Japanese is a characteristic of their
mental personality does not mean that all possible human
qualities are contained therein. As multi-dimensional as
their psychology may be. there are certain qualities which
are absent from them, generally speaking. For example. the
quality that goes with so-called "continental personality"
(i.e., the personality type and attitudes characterised by
slow and self-composed indolence), is indeed a very rare
quality among the Japanese. Hence, such qualities as ken-28

(magnanimity, tolerance, forgiveness), or ottori-shita

 

"Onasegawa, "Nihon-teki Shinsei ni tsuite," p. 18.

13h
(being sedate, gentle, composed, reposed) personality is
very much admired. A man is respected when positive

" such as mentioned

qualities of the "continental personality,
above. are evident."1 Perhaps it is understandable that,
among the Japanese, there is a tendency to be too meticulous
and figety, showing a strong insularism."2 Actually, the
above mentioned qualities which are so appreciated, represent,
in fact, the cultivated qualities which are opposite of the
common yet not approved qualities, i.e. small mindedness
of insularism. And, to possess those positive qualities
means having a great deal of self-control."3
Another quality which is not common is the tendency
to exaggerate, or hyperbole, grandiloquence, which is

considered rather common among continental peoples,

 

"10ertainly the negative qualities of such "continental
personality" are usually rejected. Such qualities include
slowness to respond, unindustriousness, or insensitivity.

It may be also added here that many qualities which are res-
pected or admired are the result of their awareness of own
natural tendency. To control one's emotion in public. for
instance. is a virtue,for it requires a great degree of self
discipline - for the Japanese it is more natural to be
emotional. and this fact is readily recognized. Hence, to
control one's emotion in public is considered to be an evidence
of his concern for others, i.e., avoidance of others' embarrass-
ment.

1”For a very interesting discussion on shimaguni konJB
(insularism) of the Japanese, see Toru Sagara, Shimaguni
KonJB." in Fukutake and others. eds., op, cit., pp. 26-“0.

"BAida illustrates this type of quality with the case
of Field Marshall Oyama. His greatness lies in the fact that
these added positive qualities, which require a deliberate
effort at the beginning, became so incorporated into his
natural self to the extent that he could no longer distinguish
that portion,as requiring extra effort, from the rest of
his natural self. Otherwise it would remain artificial, and
any artificiality in behavior can be detected easily and can
not be admired. Yfiji Aida, Nihon-Jin 23 Ishiki K328 (Tokyo:
laden Sha, 19b7), pp. 81-82.

135
particularly of the East. The controlled quality is added
to otherwise rather continental N6 drama, for example.
Even the aregoto (rough scene acting) in Kabuki, which is
an adaptation of continental acts of exaggeration, we see
an added subdued quality, or restrained style of acting.
In traditional Japanese music, particularly for voice, there
has been a strong tendency to maintain the neutrality and
avoidance of exaggeration. Terms such as "nusumu" (to steal)
and "korosu" (to kill) as applied in music mean "to subdue
the quality of voice" and "to control or underplay"
respectively, suggest that preference for controlled
presentation.

This could be explained from the fact that, in the
actual social world of the Japanese, there would be no one
using the kind of voice as a Western bass or soprano except
those who are mentally ill. Thus, according to the Japanese
way of thinking, which tends to be so practical and down to
earth, it is strange, if not unthinkable, to expect to hear
extreme types of voice coming from a healthy normal person.
Thus, singing in Japanese traditional music also follows
this basic rule of being natural and to avoid exaggeration.

From the same reasoning and inclination, particularly
with their tendency "not to separate arts and music from
everyday life," traditional Japanese music contains only
what may be called "problem music." There is no pure music
as an art form, as in the West. In short, it may be

reasonable to conclude that all the art forms that exist

136

in Japan today, which are not directly relating to life
itself, are "things borrowed from foreign countries," (x252
Essa gg_karimono),uu which is examplified by the abstract
art. These "borrowed" art forms do not become completely
adopted as part of Japanese culture: they always remain
somewhat alien. In other words, there are certain standards
by which things from the West or from other cultures become
accepted into Japanese culture. Perhaps one can say that
the Japanese apply their seiyaku-sei, or restraint, over
multi-dimensionality itself.

So far. very basic cultural elements in Japanese
psychology have been discussed from a broad perspective.
In the following pages two of the most popularly perceived
aspects of the characteristics of Japanese way of thinking
will be discussed in particular. Without understanding
such deeply rooted aspects of Japanese way of thinking, it
would be most difficult, if not impossible, to understand
Japanese social behavior, for it is these and other basic
concepts that shape Japanese everyday social rituals and
they are, in fact, the standard for traditional as well as

contemporary interpersonal relationship.

 

""In contrast to those elements which are adopted
and adjusted into the Japanese culture, these oso kara 22
karimono, items borrowed from elsewhere, tend 0 remain
only as a fad; and the chances are that they may soon be
forgotten except among those who are curious about them
for novelty sake. That is to say, there are foreign
cultural elements which become a part of Japanese culture
and there are those which never become a part of Japanese
culture (even if they may enjoy some popularity at the
time .

_ — ‘lw "

137

Resignation

One of the distinctive characteristics of the
Japanese psychology is said to be "resignation" (akirame)."5
It is largely the result of historical factors and
especially the Buddhist influence.

Considering the importance of Buddhism from the time
of its coming to Japan in 552 to the beginning of the Edo
period, when its influence had decreased, it is understand-
able that the Japanese had become unable to think of a
metaphysical problem except in Buddhist terms. The Buddhist
term, $282.§2§n (a reward in accordance with a deed), was
one of the most commonly used expressions in the daily life
of the peeple: it was the fundamental idea that led to
akirame, resignation."6

The meaning of iggg_§h§, or "cause-effect reward-
retribution." is that a good deed will be rewarded and a
bad deed punished: cause and effect always work in accor-
dance. This idea is again based on the Buddhist concept of

rokud6 rinne ("six-worlds transmigration") or metempsychosis,

i.e.. the perpetual rebirth of men in successive stages of

 

"SSome people attribute the success of Morita method of
therapy as depending on this Japanese psychology of akirame,
and suggest that the therapy may very well become less
effective as the process of today's Americanization continues.
(Time. Oct. 2. 1972. p. 50).

However, it is questionable that Americanization (and its
materialistic orientation) can affect the Japanese to the
extent that the basic orientation be altered. It is more
likely that akirame will continue for some time as one of the
distinctive characteristics of the Japanese psychology unless
basic structures undergo a drastic change.

u6Cf., Nobumaro Hatano, "Inga OhB," in Furukawa and
others, eds., Nihon-jin 22 DBtoku-teki Shinsei, pp. 90-103.

138

existence. Now, the retribution of $282 QEE was effected
in two ways: one during one's lifetime, and the other after
one's death. The former still remains in the mind of the
contemporary Japanese who no longer believe in rokudfi

53mg; or gokuraku (Sukkavati in Sanscrit, or paradise of
Buddhism) and jigoku (Naraka, or hell), beliefs which are
fading away from the minds of the people.

These two different types of retribution are distin-
guished by two different words: gggpgl(retribution given
during one's lifetime) and mz§h2’(retribution given after
death). Nevertheless, this distinction is not clear even
in the Nipponkoku Eggpg'Zen-Aku‘ggijiigi, a learned treatise
on Buddhist doctrine written in the early Heian period,
where retribution after death is occasionally dealt with
under the heading of gggpfi. according to Hatano."7

The Japanese at first received the idea of iggg_§h§
as a teaching of Buddhism, but this does not necessarily
signify that the concept is peculiar only to Buddhism. The
idea originated in India as the doctrine of samsara (metem-
psychosis), that is. rebirth bore a better or worse life,

a higher or lower grade of being. Nor was India the only
nation to possess the idea of transmigration. At any rate,
in India it was a common belief even before the rise of
Buddhism. .According to the idea of transmigration in

Buddhism, there are six worlds: the highest world is the

g

"7Hatano, OE. Cite. PP. 93-9“.

 

139

"celestial world" and the lowest is "hell.""8 Of course,
to be born a man is a happier and nobler existence than to
be born a brute animal even though both occupy a common
condition of existence, namely in this world. If one per-
forms bad deeds during his lifetime, then he will be reborn
in a bitter and difficult world; on the other hand, if one
performs good acts during his lifetime as a human being,
then he will be reborn in a much happier world, either as
a happier and more fortunate human being or in the celestial
world. In analysis, the above mentioned idea contains three
fundamental concepts: (1) immortality of the soul, (2)
animistic worship of the soul, and (3) an expected retribu-
tion not only in this life but in the life after death as
well."9

The law of the iggg'éhi is definitely a product of
the idea that justice demands proper retribution for a good
deed. The thought that man is entitled to be recompensed
in an amount equal to the damage done to him is the idea of
justice common to many ancient peoples of various races.5o
when this belief enters into the thought and customs of a
society without modification and challenge, then it is

liable to "exteriorise" morality, that is to say, the

 

"BThe six worlds are: jigoku (hell). gaki (the World
or Pretas, the Buddhist hell of starvation). chikushfi (brute
creation), shura (Asura in Sanscrit), ningen (human being)
and tenjB-do (celestial world).

"9Hatano, op, cit., p. 95.

508ee Matthew 5:38 for a description of the old
Jewish concept of justice by retribution.

 

11m
sanction of moral behavior is sought in external factors,
the reward and punishment attached. and not in the intrinsic
value of the moral act.

Buddhism originally disapproved of such a view of
morality. Gautama considered the transmigration of an
immortal soul an illusion, or Eélic of the common mortal.
But in the form which Buddhism reached Japan, namely the
all-embracing Mahayana, it had, with other contradictory
beliefs, also come to accept the idea of a future life, of
demons and interceding deities, in order to foster popular
morality. That is the form in which Buddhism penetrated
into Japanese culture.51

It is possible to trace the influence of l262.§2§
views in Japan throughout its various phases of historical
development. Already in the mythological chronicles, the
Kojiki and the Nihgg'Shgki, the scenery of Takamagahara
(the Japanese Olympus) is as vividly described as the human
world. It is a place to which man can come and go from this
world, and so is the Yomi-no-Kuni (hades), the world after
death. In other words, to the people of those days the
world of the gods as well as the world after death were
conceived as being directly connected with the real world on
earth. The people of those days could very vividly imagine
the worlds of jigoku, 525i. chikushfi, ningen and £221_,
when Mahayana brought these new terms and gave them a

significance in the moral system. These worlds were as

—2_

510f., Hatano, op, cit., pp. 91-93.

 

 

 

4 f
(«.38

been
Tam

could

écmin
fista'g
568::
in m

"?la

lhl
real to the people as was this visible world. The primitive
attitude toward nature also fitted well into the Buddhist
scheme. Man by calling and talking to nature can move and
be moved by it, as in the myths of the Kojiki and the N_i_1r_1_9_r_1_
Shoki. This is clearly seen in the myth of the white rabbit
of Inaba or the myth concerning Toyotamahime no Mikoto, the
daughter of the sea god. There is little consciousness of
differentiation between man and nature, and there must have
been an imagined feeling of intimacy between man and nature.
Therefore, it can be imagined that the idea of Egg §h§_
could easily fit into existing patterns of thinking.

In the Heian period the idea of rokud'é' 2229!. became
dominant. An unshakable order of social classes had been
established, and men considered their fortune such as to have
been born as a noble man in Buddhist terms. It was due to
shukuse (one's previous existence) , a reward for good deeds
in his previous life. Sometimes they even went as far as to
explain the former life of a noble man as that of a Buddha
assuming the shape of a man because to have been a mere
ordinary man was not enough to explain the present high

social prestige of nobility.

It became a common conviction that the class to which
a person belonged by birth was determined by fate, so deeply
had the idea of 9.1.6.3. §h_8_ penetrated into society. The member
of the lower class had to resign himself to his predetermined
fate. He might hope to be born into a higher class in his

next life by performing good deeds during his life in this

 

 

 

1&2
world. Besides, he should be happy with what he is now,
because, after all, he could consider himself fortunate to
have been born a human being and not a savage beast.

Man's social prestige was already confused with his
moral worth in the Heian period. This illusion did not
disappear even in the considerably advanced society of later
times. Toju Nakae52 in Kagamigusa attempts to explain the
goodness or badness of deeds and men's happiness or un-
happiness by the behavior of his ancestors. From this he
concludes that man is responsible for the happiness of his
descendants. He thus emphasizes the family rather than the
individual, in contrast to the prevailing thought in the
Heian period.

With the Ede period the social order became estab-
lished so distinctively and the authority of the dominating
class became so strong that they could control the people
of the lower classes by means of coercive power. In this
atmosphere of suppression the people of the lower classes
found their only relief in resignation, or akirame. They
learned to be satisfied with what they were and to find
happiness wherever they could. For instance. the merchant
class. considered to be the lowest in social prestige among
the four classes. found consolation in money. The proverb
"Naku-ko to jitB ni wa katenu" (You are helpless with a
crying child or a tax official) adequately represents the

idea of the resignation of the people in the lower classes.

 

52A scholar of the Wang Yang-ming school, lived
1608-h8.

1h3
There was no point in a man of the lower class seeking to
meet a man of a higher class on an equal footing. To begin
with. it was impossible, and instead of accomplishing any-
thing beneficial it only served to make the situation worse.
It was also hopeless even for the member of the lower class
to complain. Hence. it was best for him to forget about
his dissatisfaction, if he had any, and to resign himself
to his fate.

The psychology of akirame in the peasant was somewhat
similar to that of the merchant class in the Edo period.
However, it appears occasionally in a slightly different
form as n§gin_kggj§ (farm folk mentality)?3 Their inferiority
complex vis-é-vis the urban people seems to be at its source.
The type of their work and their low living standards
certainly caused an inferiority complex among the peasants
who contrasted their lot with that of the people in the
urban districts who had much easier and more pleasant lives.
The envy of the farmers for urban culture again called for
the acceptance of the spirit of akirame.

On the other hand, the farmers had the feeling of
assurance that their livelihood was guaranteed, or at least
that they would be able to eat, if they restricted their
appetite for cultural things. It was this feeling of
assurance that fashioned the conservative nature of the

farmer's psychology. It was the combination of their

 

saror an excellent discussion on namin kon 3, see
"Namin KonjB" (in Furukawa and others, eds., op, cit, pp.
hl-55) by a distinguished sociologist Prof. Tadashi Fukutake
of Tokyo University.

‘=-.

E. Nah-a

lhh
akirame and conservativeness that caused them to easily
mistake governmental officials for 3321.hi£g (great men, or
men with power). The term gag; hi£2.did not mean a person
of great thought or great moral character but simply one of
high social prestige in a worldly sense and the possessor
of great power. It was a characteristic peculiar to the
farmers which caused them to pledge allegiance to the
authority of the 222$.Ei22 in a flunkey spirit. Even in
contemporary Japan the farmers engage in no criticism against
authority, just as was the case with the commoners of the
Ede period. This is because the 2E2$.El£2.d° not belong to
the same class of human beings as they do. The farmers may
be disappointed in the aggi’hitg as governing elements, but
they will almost never criticise them.5" The farmers have
been deceived and bullied for so long that they have no
alternative but akirame, as reflected in the common saying,
"Shikata ga nai" (Nothing can be done about it). So. they
say, "If o-kami (the government or authorities)55 is not so
kind as to give us this or that, nothing can be done about
it."56 Thus the psychology of the farmers is such that
they are vindictive only in matters that closely concern
them (i.e., farmers) alone. For example, if a family gives

a simple small wedding, contrary to the traditional ways.

 

sulukutake, op, cit., p. 53.

SSO-kami (from g_being honorific, kami meaning "above")
means the Emperor, the Lord, the government or authorities.

56Fukutake, op, cit., p. 53.

1&5
others would criticize the family severely for being
"tight."57 Or, any deviation from traditionally expected
behaviors would be called "giri-shirazu" (not knowing gigi),
or "on-Shirazu" (forgetting one's an, obligation for a past
favor or by a special relationship), and so on. While
concern only for the good fortune of one's family, or the
village, is quite prevalent,58 they compete with each other,
and their behaviors are often determined by what outsiders
(i.e., other villagers and neighbors) do or say.59 There
seems to be a constant undercurrent of hostility beneath
their cordial surface association. They constantly engage
in gossiping, backbiting and finding some reason to look
down upon others.60 In all other matters they resign them-
selves more thoroughly and completely than any other element

in Japan.61

 

57Fukutake points out that because the custom itself
is not reasonable, this kind of criticism contains in it a
sense of jealousy for the family which was able to skip the
unnecessary expenditures. (Fukutake, op, cit., p. #7)
They too may prefer to do so except for seken-tei (having
to make a plausible appearance), or to avoid popular
criticism.

salt is an extended egoism: so long as one's own family
(or the village) comes out all right, there is no concern
over whatever negative consequences that action brings to
other families (or other villages).

59Fukutake, op, cit., p. #9.

6oFukutake states that this malicious gossip and
backbiting provide those who engage in such activities some
substitution outlets for their unfulfilled desires. Ibid.,
pp. 57-38.

610f.. ibid.. pp. 52-53.

 

1H6
Emotionalism - Giri and Ninja

As mentioned before, the Japanese people are consid-
ered to be very emotional. Their strong emotional feeling
is often a result of the conflict experienced through the
dilemma between gig; (justice, sense of duty), i.e., social-
conventional feeling, and piplé (humanness, the heart and
sympathy), i.e., emotional sentiment.62 This pair of words,
gig; and pépjfi, has been used frequently and for a long
time in the history of Japan. Yet the real meaning of the
words is not grasped precisely even by the Japanese.63 The
reason for this seems to be that people mistakenly hold
that gig; and plpjélbelong only to Japan's feudal way of
thinking. .QEEl and plpj§ make up the magic plot of many
J3ruri (classical puppet plays). There will be the case of
a young couple falling in love in opposition to the desires
of their parents and committing double suicide for having
failed to harmonize gig; (obedience to the desires of their
parents in this case) with ppplg (their own love);6" or the
case of the extreme sacrifice of the retainer who substitutes
the life of his own son in order to save the life of his

master's son.65 Hence it is commonly believed that the

 

62For a very inSightful analysis of giri and ninja,
see Kizaemon Ariga, "Giri to NinjB,‘ in Furukawa and others,
eds., o cit., pp. lOu-Bl. See also, ShBtarB Sakurai, Qp_
£2 Giri (Tokyo: Asahi Sha, 1971).

63Ariga, op, cit., p. 1033 Supra, pp. 159-7“.
6""Sonezaki Shinjfi," for example.
6SIchinotani Futaba Gunki. Of course, this sort of

thinking is based on the traditional idea that children
belong to their parents, i.e., parents own their children.

 

1U?

idea of gig; and pipjfi circumscribed the relationship of
men in feudal society, such as those of parents and children
or of masters and retainers.

It cannot be denied that the concepts are closely
related to the structure of the samurai society, but that
interpretation alone is not enough to explain adequately
the significance of such a deeply rooted traditional psycho-
logical aspect of the Japanese.

When did the word gig; come to have its unique meaning
in the Japanese mind? As for the code of the samurai class
of the Edo period, it is a known fact that they had a high
regard for gig; while the commoners were busy with profit-
making; and for this reason the way of thinking and behavior
of the samurai were considered more righteous than those of
the commoners. Nevertheless the meaning of gig; was not
restricted even in the samurai society of that time to mean
contrast to "profit-making," The idea was, undoubtedly, a
transferance of a Confucian word. In Confucianism g1 and p;
originally meant righteous. or rational, or just. It was
in that sense that the word Elii appeared in §§;p_(§pppg_pr),
a Confucian classic. Although the ostensible meaning of
gig; was the same in both China and Japan, the samurai class
actually injected their class prejudice into the original
Confucian meaning of the word.66

Considering the word gig; as it was used by the

samurai or the common people outside the Confucian circles,

 

66Ariga, op, cit., p. 105.

 

1&8

it is important to note that the concept penetrated so
deeply into the social life of the Edo period as to go far
beyond its original meaning.

In what occasions, then, was the word used? In
addition to the kind of BEE; by which the samurai class
attempted to classify themselves as being more righteous
than others, there were other occasions: gig; for one's
parents, gig; for neighbors, and so forth. This latter
type of gig; often stood for the commoners' moral concept,67
and, therefore, was not the sole possession of the samurai
class. For that reason it is impossible to grasp the real
meaning of gig; only from its narrow connotation as it was
used in contrast to profit-making or other un-samurai like
behaviors. It is safer to think of gig; as an important
traditional way of thinking in common on the part of the
Japanese regardless of differences in class, as the gig;
between master and followers or between parents and children
were common in all the classes of the feudal period.

As history discloses. gig; is predicated on the
relationship of person to person, or sometimes group to
group. §$£$.also could exist between persons of equal level,
such as of friends, or between people of different classes,
where one has a higher status than the other. Consequently
its meaning was not always the same. However, although the

sociological significance of giri is extremely vague within

 

67For the usage by chanin (tradesmen, townsmen), see
Hataji Miyamoto. "Cthin KonjB." in Furukawa and others,

eds., op, cit., pp. 69-70.

 

1&9

such a wide range of usage, still it is important to note
that g££;_had some formal regulating power in the feudal
period, it embraced all the obligations established by the
feudal moral standards in regulating men’s relations with
each other.

It is interesting to note how gig; is explained in
literature. For example, Kanzaki Shikibu, in the service
of the Lord of Himeji Castle, was permitted to take his son
along with him when he accompanied his feudal lord to Edo.
He also took with him a son of Morita, a fellow samurai,
because of the latter's request. On the way to Edo the
party crossed the 61 River in the midst of a storm, but the
river was so violent that the son of Morita drowned in the
crossing of the river. Kanzaki thought that only the addi-
tional drawning of his own son, Katsutara, would enable him
to live up to his ggpi, he persuaded the child to perish
in the river. As this incident took place during the civil
war period of the 16th century. decorative details may have
been added to the story. but in its main outlines it seems
to be based on fact.68 Another story dealing with persons
of the same social level is entitled "Karada Yaburu Kane

”69 wherein a man, applying giri to the intimacies

no Kasa,
of everyday life, abandons his own trip in order to escort
a sick fellow passenger to Osaka.

Although the meaning of g$£1.and pipjfi are vague, a

sufficiently accurate definition is possible. Giri is a

 

68"Shinaba Onaji Nami-Makura," in Saikaku Ihara, Buke
Giri Monogatari (ca. 1690), vol. 1.

69Ibid., vol. 2.

150
duty or obligation toward a specific person (or a group)
based not on rational thinking but on a personal feeling of
indebtedness toward that individual or group.70 And, it is
to be lived up to if "face" is not to be lost. Hence,‘gggg
is much more than a personal feeling. It is what the
conventional standard requires individuals to follow in a
given relationship with others. Elfllin on the other hand,
is the very natural human sentiment that one feels as a
human being. It is the heart, and it is the very natural
human feeling and sympathy.

Since the Japanese are by nature extremely emotional,
they find it difficult to suppress their purely human
sentiment, gggj§. It is perfectly proper to allow one's
pgglp'to dictate his behavior on his personal phase of life
, when there is no conflict with gggg. And,it is difficult
to sacrifice one's own plglfi for‘gggg_when the two conflict.
Hence gggg came to be regarded as a social virtue. For the
same reason, however, pggjé came to be regarded with much
sympathy, for everyone could readily appreciate the
difficulty of refraining from expressing one's personal
sentiment and feeling. The very fact that the Japanese
peeple are very emotional, and their recognition of that
quality, make the controlled behavior more appreciated.

The concept of ninja will be fully discussed later.71

70It is not "rational" in the sense that to live up
to giri obligations often requires the person to make a
financial and other sacrifice and/or giving up some material
gain, and so forth.

7llnfra, p. 169-7h.

CHAPTER IV

REVIEW OF TRADITIONAL JAPANESE
INTERACTION PATTERNS

Historical Analysis of Major Concepts
on Integpersonal Relationship

With regard to the norms concerning interpersonal
relationship the period in Japanese history that the Japanese
people are most familiar with is the golden era of Heian.1
Lady Murasaki eloquently described the court life of the
glorious Heian at the turn of the eleventh century in her
most celebrated novel entitled Qppjg_Monggatari (Tale of
Genji). So did other writings by court ladies, such as
Kagerou Egggg? and Makura pp giggg.3 In those days the men
were too occupied studying Chinese poetry, literature and
philosophies, and neglected writing in the vernacular, but

the women of letters, of upper social strata in particular,

 

179h-1185.

2written by the mother of Michitsuna, the Minister of
Right, ca. 97h. It is considered to be the first of the
literary diaries by court ladies. Actually, however, it is
not a diary but an autobiography in the form of diary.

3Makura gp’SBshi is one of the leading titles of
Heian period. It contains observations of the four seasons,
impressions on people and various other things. hobbies,
things of interests, and so on. It was a collection of
essays. ca. 1020 (shortly after the Genji Monogatari).
Sei ShB-nagon, the author. was a contemporary of Lady
Hurasaki.

151

 

152
took up the task of writing as well as developing the
u

vernacular literature. Sei ShB-nagon for example, in her
Makura pp_§§ggg expresses basic attitudes of the time. Of
course there were some male authors who also contributed
greatly toward the development of the vernacular literature,
however. First of all, Ki-no-Tsurayuki, a leading scholar
and a poet, wrote ngp.Ngggg in Eggs syllabary, i.e., in
the vernacular, on the pretext of a lady author, around
935.5 And there were some others. In addition, old mythology
and records, i.e.. Kojiki and Eggpg §gpgg, both reveal the
standard of human relationship of the even earlier periods
of Japanese history. Japanese society has left the stage
of primitive egalitarian society and status hierarchy
developed relatively early in its history. The norms
concerning interpersonal relationship accordingly seemed
to have been also highly developed as the analysis of
Japanese grammer, the use of honorifics in particular,
indicates,5 as well as the ideas expressed in these early
writings.

The Confucian philosophy and Buddhism, when they

reached Japan, were both modified and adapted into the

 

5Tosa Nikki's author, Ki-no-Tsurayuki. spent six
years as the governor of Tosa (in Shikoku Island). His trip
home from that assignment took about two months in which
there were many difficulties and hardship that he encountered.
Tosa Nikki is a description of the trip in the form of diary.
It is considered a very important source of information
regarding transportation, sea piracy, folklore and life style
of the people of that time as well as for its excelling liter-
ary quality and being the first literary diary in vernacular.

"$5113: pp. 199-206.

153
traditional Japanese ways, and thoroughly incorporated in
Japanese life and became a very important segment in it
by constituting the basic foundation for moral and social
behaviors of the Japanese people for the centuries that
followed. The Confucian influence is particularly important
inasmuch as it shaped the feudal morality, and, in turn,
exerted a very strong influence upon modern Japanese social
behavioral patterns.7 Buddhism, on the other hand, influenced
the very basic philosophy of life itself. Yukio Mishima

wrote:

He in Japan are accustomed to a temporal and
historical heterogeneity arising from the ever-present
combination of old and new, but we are not familiar
with the immense variety produced by simultaneous but
spatially distant elements. If the great length of
time of our history is the cause of our present
conglomeration of ideas and customs, the great extent
of space would seem to be the cause of the similar
conglomeration in American life. We Japanese live on
a wiry chain of islands suggesting the long historical
time behind us, and we can only suppose that a giant
of space like America functions on some entirely
different plane.8

Mishima finds a difference between America and Japan
in the intellectuals' evaluation of their own capacities.

"I believe that in any country the intellectuals are the

 

7Perhaps most significant impact that Confucian ideo-
logies in general has left upon Japanese social structure is
that of women's status as mentioned before. Traditional
Japanese society seemed to have allowed women more equal
status with men. In fact, the Japanese mythology shows the
creator of the islands as the Sun Goddess, Amaterasu Omikami,
and not a sun god. She sent a younger brother, a naughty one,
to earth to govern it. Also, throughout the Heian period, it
was men who went to visit their ladies at their home, suggest-
ing women's relatively high position and influence. It was
not until Meiji era that the court ladies were stripped of
their influence by their removal from the court.

8Yukio Mishima, "A Famous Ja anese Judges the U.S.
Giant," Life, Sept. 11,.196u, .p. 8 .

lsh
very consciousness of the country itself, and it is the
intellectuals who, illuminated by this awareness, give voice
to the substrata of conscious activity and even to the innate
unconscious activity hurried under the history, traditions
and culture of the people of that country; they should feel
with Terence, 'I am a man, and nothing human is alien to
me'."9 In America, however, he observes "the fear of self
confrontation appears to have impinged on the outlook even
of some intellectuals."10 To him, therefore, it was amazing
"to learn how many intellectuals and artists frequent the
psychoanalysts." To the Japanese, it would seem more
proper for the psychoanalysts to consult the artists instead."11
"It seems to me," he writes, "that the basic differ-
ence in the way of thinking between Japanese and Americans,
including their attitudes on the roles of the flesh and the
conscience, lies in the question of 'existence'."12 He
writes:
The Japanese, nurtured as they are on Buddhism,
have the curious conviction that existence is a transi-
tory and basically unessential phenomenon, a shifting
process which changes with each moment, a relative state
as opposed to nothingness. Accordingly, they believe
it best to leave undisturbed things which do not exist.

I am certain that this thinking persists ceven among
the avant-guerre youth in Tokyo today.)

 

9Lec, cit.

10Loc, cit.

11Loc, cit.

12
13

Loc, cit.

Loo, cit.

 

155
And, he points out that "the conscience and flesh of the

Americans can . . . 'overexist', . . . at times they violate

the rules of existence."1"
The basic difference between Americans and Japanese

is clearly manifested in the patterns of their interpersonal

behaviors. Unlike in a society with Christian tradition,

it is difficult to pin point Japanese everyday behavior in

term of Specific religious thought or philosophy as the

source. Such a term as "feudalism" is more useful in that

it includes various phases of everyday activities, political

institution, social.institution, normative system, philo-

sophies, and, in short, the way of life under such a political

system. In analysis, then, when we say this or that custom.

' we mean these

practices. or whatever, is "feudalistic,'

which are products of a feudal system. It represents

philosophically a fusion of indigenous and alien ideologies

of various sorts.15 They all concurrently functioned in

support of each other in order to maintain the social order.
Let us take politeness, for example. Western observers

may interprete it as a peculiar custom. Others may look at

the contemporary Japanese society and its dense population,

and may be prompted to explain the politeness of the

 

1"Loe, cit.

lsNyozekan Hasegawa points out that, in the process
of accepting various foreign cultural elements rather
freely, the Japanese did not fail to adapt them always by
changing or modifying them to suit the Japanese existing
cultural and social philosophy. Cf., Nyozekan Hasegawa,
Nihon-teki Seikaku: The Japanese Character (Tokyo and Polo
Il""to":ToTanT—rha nte'rfi'ationai. 19567.

 

156
Japanese from a phenomenological perspective. They may
focus their attention to the ecological phenomena of over-
crowding. Such ethological explanations seem, indeed, to
have a certain validity, but the fact is, the existence of
elaborate everyday social rituals in Japan dates back much
further. The overcrowding situation in Japan is rather
contemporary - only about a century old phenomenon16
whereas the social behavior patterns developed through a
long history with its "temporal heterogeneity" that Mishima
speaks of.17 It would be more reasonable, therefore, to
attribute the emphasis on courtesy, politeness and proper-
lness with regard to interpersonal behavior standard to the
historical development in general, and especially the period
immediately prior to the contemporary Japan, namely the
feudal period.

What we might call feudalistic mannerism or feudal
normative system in Japan persisted through seven hundred
years of varying stages of feudalism. The first stage was
the Kamakura period. then it was followed by the civil war
period, Sengoku Jidai, with numeroud warlords struggling
for the hegemony, and then followed by the Tokugawa period

under Tokugawa Shogunate, of some three hundred years of

 

16Although the pro-Meiji population represents a
controlled density, and there had been some effective control
to curtail, particularly those who were undesirable, such
as handicapped, crippled, and so forth, at the time of
birth. This practice was called mabiki, an agricultural
term "thinning out." ‘

17__p__Su rat Po 153.

 

Fl‘i'flk’ x. - _'“ i i '_ ‘ "

15?

peace and of isolation. In the feudal period, the mainte-
nance of the status quo on the part of the power elite
necessitated the introduction of rigid social codes. Even
Confucian philosophy and teachings were very conveniently
altered to suit such needs.

During the Tokugawa era, the samurai class, who :
consisted only about seven per cent of the total population
had power over the rest, and the status quo and social order

were maintained throughout the three hundred years. This,

 

obviously could not be accomplished without effective j
application of social codes and a practical "philos0phy"

that supported them. Although some Western Scholars '
studying Japan object to identifying some of the characteris-
tics of Japanese moral and social codes today as "feudal,"

or the remnant of feudalism, or even as "neo feudalism," the
study of everyday social rituals in Japan today reveals the
very strong impact that the feudal morality left on everyday
behavior of the Japanese. In addition. the kind of feudal-
ism in Japan's recent past is not the type of feudalism in
which changes were constant (as in the first two periods of
feudalism in Japan. mentioned above), but of the sort which
reflected a very stable, secure and peaceful time, namely
that of the Tokugawa period. Henceforth, many practices

and the normative system of the Tokugawa period were so

well established that they did net disappear quickly after
the Meiji Restoration in 1868.

As it has been discussed before, the status and rank

 

158
differences were very well developed to be the rule of the

game rather early in Japanese history, and persisted for
centuries. Furthermore, it was reinforced by the modified
version of Confucian philosophy.18 The resultant system
of social stratification was quite different from the Caste
system or the Western class system, although often compared
with the latter: the basic nature was quite different.

In the contemporary Japanese student movement, we

see the attitude to insist on one's right (kenri) before

 

gigi (role obligations) and devotion, which are common with
the Western class system. However, such thinking is
strictly a post World War II phenomenon.19 And, it may be
considered to be a byproduct of the newly imported "demo-
cracy" of the Allied Occupation period after WWII, which
was characterised by an "instant Americanization process"

aided by the Hollywood movies.

zgudal social bond and "Familialism" of today

As it has been mentioned before, it was during the
feudal period that a social class structure in Japan became
firmly established. And appropriate behavior patterns were

developed for each class of people accordingly, partly

 

18For a good discussion on modification of Confucian
philosophy when it came to Japan by the rulin groups to
suit their need, see, Nobumaro Hatano, "Inga Sha, " in T.
Furukawa and others, eds., Nihon- in no DBtoku-teki Shinsei
(Tokyo: Kawaide Sheba,195577“pp:1§6;lfij. Also, the?;_i§-En
interesting account of such modification and adaptation by a
Confucian scholar tutor of Meiji Emperor in Ki Kimura, Meiji
TonnB (Tokyo: Shibun-d8, 1956), Chapter 5. .

19Ryukichi Kitagawa, Shisa. Feb. 1959. Cited in
Gakusei UndU Kenkyn-kai, Gendai no Gakusei Undfi (Tokyo:
Shinkc Shuppan Sha, 1960). PP. 33- 3

159

because of the ruling group's conscious effort. Hideyoshi
Toyotomi in particular, explicitly enacted codes of behavior
for each of the four classes, i.e., (l) 2232i, or samurai,
warrior class, as the ruling class, (2) peasants to whom
the burden of tax fell heavily. (3) craftsman and artisans,
and (h) merchants, in that order. He specified by law as F
to what one could and could not do.

For example, the members of ppgpi class were prohibited

to engage in the activities of a merchant, for it was

 

considered too lowly and thus unbefitting to the dignity of

lynx..- _

a samurai.20 Not only with regard to one's occupational

choice, but such laws specified their social behaviors, and

the lower class members were discriminated against a great

deal. With such limitations placed upon everyday conduct

of members of each class, a distinctive life style and

behavior patterns were developed within each class, particularly
with regard to the use of language, inter-class interaction
rituals, and so on.21 In the following centuries, each

class adapted the new and old imposed rules plus other
historical and cultural forces that influenced them into

their life style and folkways. One does not have to be

20Actually profit-making itself was not looked down
as such, but the "miren" (having attachment to money and
hesitating to let it go) was the quality that samurai looked
down the most. Cf., Yoshi Sakata, "Hoken DBtoku to Haken-teki
Shinsei," in Furukawa and others. eds., op, cit., p. 139.

21Enforcing such detailed laws and rules was exem-
plified by some phases of everyday life also. The colors
used in producing wood-block printing at a given time reflected
the degree of strictness of the official policy at that time.
Off and on, the Shogunate tightened up the trend of "wasteful
spending" and "luxury" by various ordinances. Hence, a lack
of bright colors means a strict period. Interview, Watanabe
Woodblock Gallery manager, Tokyo, Summer 1969.

160
reminded of the origin of some shibui (subdued) silk
textiles, such as tsumugi, whose appearance resemble that
of cotton: the wealthy merchants who were prohibited by law
as any other non-samurai member to wear silk cloths enjoyed
tsumugi and other silk weaving techniques which gave silk

the appearance of cotton, thus, their violation of the law

E

went undetected. There had been many innovationsalong the

similar line. In other words, each strata's behavioral

patterns were shaped accordingly with these imposed moral

standards throughout the feudal period. Instead of openly i
l

 

challenging such restrictions the non-samurai people,
particularly the more affluent ones, tended to maneuver
within the limit: in fact, they learned to take advantage
of the restrictions imposed upon others. And, seen such
life style became thoroughly integrated in the norms of the
society gradually. Apparently, as mentioned before, it was
the ruling group's thought that the maintenance of the
status quo was essential for their security. Enforcing such
standard of social conduct was necessary and it would
enhance desired stability of the social structure. And,
it did.

It was thus understandable that such feudal morality
called for a proper degree of deference to be paid by a
person of lower ranking to a person of higher ranking, and
the moral code was strictly enforced. At the same time, on
the other hand, those who occupied the position of a master,

or a lord, were to have the personal quality of jiai

161

(benevolence, generousity and kindness, and compassion) for

22

those below them. Thus the feudal interpersonal relation-

ship was a reciprocal one,23 and was never a unilateral type
of dominance relationship. Accordingly, certain principles
became the basis for regulating mechanisms of social relation-
ship. This feudalistic moral standard left a very strong
impact for many generations that followed, even long after
the political structure of feudalism came to end at the
Meiji Restoration.

If many social institutions are historical residues

from periods long past and it is therefore not possible to

establish causal connections with any assurance,2" yet, as

Bert Kaplan points out, "it still does not seem necessary to
exclude the possibility that modal personality processes

do have a dynamic role, taken together with other forces.

in determining the form of particular institutions."25

22The feudal morality emphasized the harmony between
superordinate and subordinate while recognising the status
difference. Hence it was not a unilateral demand made upon
the subordinates. Sakata, op, cit., p. 135.

23A noted historian Prof. SaburB Ienaga discusses that
in the earlier feudal period such a relationship tended to
be more reciprocal in that each's obligation for the other
was well balanced, namely, equilibrium between on (indebted-
ness) and hako (service) was maintained. But later feudal
period characterised the relationship with a heavier empha-
sis on on obligation. His Nihon Dotoku Shiso Shi (Tokyo:
Iwanami-Shoten, 195“), p. 77 and p. 103. For an “excellent
discussion on this subject, see also. Kisaemon Ariga, "Giri
to Ninja," in Furukawa and others, eds., op, cit., particularly
pp. lit-123.

zuA. Inkels and D. J. .Levinson, "National Character,"
in G. Lindsey, ed., Handbook of Social Pszchologz (Cambridge:
Addison-Wesley, 195k), citd in Bert Kaplan, Personality and
Social Structure," in R. A. Manners and D. Kaplan, eds.,
Theogz ig'Anthropologz (Chicago: Aldine, 1968), p. 319.

258. Kaplan, "Personality and Social Structure," p.319.

 

162
In case of Japanese social institutions, business corpora-
tions, for instances, which the Westerner often perceives
by a gross simplification as paternalistic, may be more
correctly interpreted as dazoku kankei (adoptive relation-
ship as system)26 extended to a larger context.27 An
employee, when his job becomes obsolete, instead of being
fired, receives additional training by his company so that
he can better serve the company in a new capacity. The
distinction between "permanently" employed and "temporary
employment (£221i_zgtgi)" is quite clearly made: whereas
the "permanent" or regular employment means that the
employee is the company's responsibility so long as he
remains a reasonably loyal employee and is a part of that
system, the gigli (temporary) employment does not receive
such benefit. After all, they are not "family" members.
When a company has to let go some, therefore, those of
£igli_employment are the first ones to go. Hence, attri-
buting the reasons for all types of practices in the modern
day Japan as a survival of feudalistic oyabun-kobun (boss
and followers as a parent and a child) relationship seems
too simplistic. To call this "neo-feudalism" also seems

not quite correct either. A careful examination of history

m D“?

 

 

26!‘or an excellent depth study on this subject, par-
ticularly in regard to merchant deoku groups, see Takashi
Nakane, Shaka Dozokudan £2 Kenkzu (Tokyo: Mirai Sha, 196h).
For related discussion on the subject, see Kizaemon Ariga,
Nihon 23 Kazoku (Tokyo: Shibun-d8, 1966), which deals with
Japanese family in general.

27Chie Nakane characterizes this as familialism and
life-time employment.

163

will reveal that many of the decisions made by corporation
executives and administrators today in Japan may not
always based on purely rational considerations, and tradi-
tional considerations also have a very strong and conscious
influence over their decision-making process today. At any
rate, the continuing impact of feudal tradition cannot be
overlooked.

Chie Nakane states that a radical divergence between
Japan and America is seen in management employment policy:
"a Japanese employer buys future potential labour and an
American employer buys labour immediately required. Accord-
ing to the Japanese reasoning, any deficiencies in the
current labour force will be compensated cfor: by the
development of maximum power in the labour force of the
future; the employer buys his labour material and shape it
until it best fits his production need. In America manage-
ment buys ready-made labour."28

She calls the Japanese practice of "familialism"
another offspring of the operational mechanisms of modern
industrial enterprise, the twin to life employment.
Whether it is called "familialism" or paternalism or what-

ever, it may be seen as the term "kogai" (bringing up from

 

28

Chie Nakane, Ja anese Sociegz (Berkeley: University
of California Press, 1970), p. 19. ee also, p. 113.
It may be added as an illustration that at the time of retire-
ment at 55 years of age, of the eight persons retiring from a
plant, their length of service were: 38 years and 6 months;
37 years and 6 months; 37 years and 2 months; 3b years and
h months, 25 years and 9 months; 22 years and 6 months; and
21 years and 1 months, according to a company magazine of
a leading steel corporationiin Japan. Sumitomo Kinzoku:
Shanai-Shi (Kokura ed.). January 1972. P. 30.

 

16h
a very young age) indicates, it is in a broad sense a dfizoku
relationship of quasi-adoption, which is an old traditional
pattern of employer-employee relationship particularly of
established merchant families based on a combination of

obligation and loyalty. 29

Reigi3° F

We often hear American tourists' comment that the

Japanese people are so polite and constantly bowing at each

——-.._.n. -—4V'— 5‘ ll.

other.31 Some even say that the Japanese people are the

 

most polite people. At any rate, examining traditional
behavior also indicates that politeness has been one of the
most important social codes in the traditional Japan. In
the feudal Japan, politeness and other regulatory mechanisms
of social relationship became the primary concern of those
who were in power. and thus so encouraged everyone. It

was important for intra-group relationship as well as inter-
class relationship, as it has been suggested before.
Throughout the three varying stages of feudalism, i.e..
Kamakura, Sengoku (Civil War period) and Tokugawa period,
the three most important qualities required of the samurai

were reigi (correct manners), chfi.floyalty), and zg_(courage),

 

29For dasoku groups of merchant families, see, Takashi
Nakano, Shaka Dszoku-dan 22,Kenkxu (Tbkyo: Mirai-Sha, 196h).

30Rei i literally means "etiquette, courtesy and
rituals." it may be translated as politeness, correct
manners, propriety, decorum, etiquette, civility, and so on.
A person who knows 5:; or reigi means that he is well-bred
and behaves properly and socially correct.

3lcr.. Robert King Hall, Shfishin: the Ethics of a
Defeated Nation (New York: Bureau of Publications, Teachers
College, Columbia University, l9h9).

165
and their meaning differed only a little reflecting the
background of each period. Unlike the earlier periods, for
example, the Tokugawa period represents three hundred years
of peace and was thus a very stable kind of feudalism with
no fighting, as mentioned before. It was during this period
the social mannerism of feudal Japan reached such a refinement
and formality to the extent that the orthodox school, known
as Ogasawara School of etiquette, and other minor schools
came into being, and it covered detailed specifics of good
social manner. The upper strata of the samurai in particular
took a pride in mastering it.

As it has been mentioned before, the need for keeping
peace among samurai as a group, namely the function of
social rituals of maintaining intro-group cohesiveness,
was the basic reason for the Shogunate and feudal lords to
have samurai follow such strict social codes and encouraged
mutua1 courtesy. That is. not only any in-group fighting
wmuld undermine the unity of the group, if one is hurt or
killed as a result of such a fight, that meant the feudal
lord's losing one life which was to die only for him if
necessary. A loss for a cause not relating to the service
of the lord was considered wasteful, and such wastefulness
should be prevented if possible. Thus, a code was intro-
duced so that both parties be punished in case of an
in-group fight regardless of who the guilty one was
when two samurai got into a fight. There was also a very

strict rule against any samurai's drawing a sword inside

 

Iii. Easel-u

166
32

the Shogun's palace. But enforcing rules and regulations
was a rather ineffective way to prevent fightings among
samurai particularly inasmuch as the norms of the samurai
were that a samurai was not supposed to let another's
insult go unchallenged but to defend his honor by all means
when and if some one insulted him. In view of this, a
punishment was a weak deterrent of fighting among them.
The only effective way to keep peace among them in the
feudal band would be to prevent anyone from insulting another.
This has to be achieved by enforcing everyone in the group
to follow very rigid social codes and etiquette.33 So it
was hoped that the unity of the group and the maintenance
of "face" of individual members both could be assured.

. Once codes of behavior were established among the
2255; class, they extended to other segments of society.
Since the bush; occupied the highest strata in the society,

those who were below them were also demanded to give their

adherence to reigi, i.e., to be polite and proper, and,

 

32Regardless of reasons the one who draws a sword in
denchn (inside the Shogune's palace) must be punished. The
lord of Himeji, Asano Takuminokami,having exhausted his
patience after an excessive insult from Lord Kira,drew his
sword, and hence was commanded to take his own life by
se uku. The famous Chushingura, a Kabuki play, is based
on Ehe epilogue of this affair how the loyal #7 "master-less
samurai" came to revenge the fate of their late master.

33The main idea was never to initiate an insult
toward another samurai, though one is never to let it go
unchallmlged if insulted. Cf., Yoshio Sakata, op: cit.,
pp. 137-38. A thorough discussion on feudal morality and
feudal mentality, see, NaoJirS Nishida, Nihon Bushido
(Tbkyo: Iwanami Shoten, 1936); Tetsuru Watsuji, BushidB
(Tbkyo: Iwanami Shoten, l9bl). .The importance placed upon
reigi goes back to a very early stage of the development of
bushida (the code of ethics for samurai) among bushi groups
in the latter part of Kodai (Ancient) period in Japanese
history.

 

167
moreover, to behave properly in relation to those in a
higher strata, i.e., not to be more luxurious than the
samurai class, let alone offending them. This tended to
focus their attention upon a concern for a sense of
individual propriety as well as inter-group courtesies.

In the latter half of Tokugawa era, the wealth was

 

r
gradually shifting to the hands of merchants, and the bushi
in general was becoming less and less affluent. Yet,
samurai had to maintain their facade, and never to become
so lowly as to engage in the activities of merchants even ,
5‘4

then. Of course, this created a situation where wealthier
merchants could "buy in" to the samurai class by marrying
their daughters to a samurai or by a means of adoptive
system. Hence some upward social mobility was quite possible
among wealthy merchants. Besides, wealthy merchants

enjoyed their power and influence by lending money occasion-
ally to impoverished, or impoverishing, feudal lords, thus
unofficially their social association was not so distant

as the class difference suggested.

Generally Speaking, the behavior of town-folks, i.e.,
ch3nin (townsmen, especially the trading class in contrast
to samurai who lived in jfikamachi, the area around the
feudal lord's castle), toward the samurai class was very
strictly regulated and total deference was required of
chfinin. In fact, it was the days of kirisute 32222 that
the lives of common people were at the mercy of the samurai.

That is, when a non-samuraiDbehaved in such a manner as to

168
seriously offend a samurai, particularly by failing to be
courteous, the latter could cut the farmer's head off with
his sword and nothing would be said about it. And it was
the time when only samurai (and some exceptions who also
were given the priviledge) could wear swords and had a
surname. It was primarily this rigid social code in
support of a rigid social class system that enabled the
Shogunate to maintain social and political stability all
throughout the TOkugawa period. The interesting point,
however, is the reciprocal nature of these social codes as
discussed before: while requiring deference among the
lower toward the higher members of the society, and at the
same time, those who were above others were to have £252_

3% The superordinate had the

(virtues) deserving of them.
responsibility of looking after the subordinates, and
harmony between those who were above and those who were
below was sought as an essential quality in feudal social
relationship. Stable relationship between superordinate
and subordinate could not possibly continue to exist,
regardless of how high one's social status was, if it were
not for such virtuous quality possessed by the super-

ordinate.35 This is where the significance of such concept

giri becomes evident.

 

3“As for a lord, three virtues, chi, 'in, and z:
(wdsdom, benevolence, and valor) were requir . Yoshio

Sakata, op, cit., p. 136.

35An examination of history shows the imposed type
of relationship crumbling down in the first phase of the
fCUdalism 1“ Japan. Ibide. P. 135e

Fm

 

!
‘ t

 

169

Giri and nin j336

With regard to modal personality traits, perhaps

the most often discussed as the characteristics inherent

in Japanese personality are a pair of concepts, gi£i_and
gigjfi, as discussed before. While gig; is one's obligation,
a debt of gratitude, dictates of custom, justice and other
societal pressure placed upon his behavior. gigjg represents
more personal emotions and feelings that are natural to him.
Both concepts,‘gi£i and Eiflléa have been so ingrained in

the moral personality of the Japanese for so long that so

 

much of behavior today, even the young people,37 is consciously
as well as sub-consciously regulated by these basic con-

cepts; or by being caught in the middle of the two in a

dilemma only to be reminded that these dyadic concepts may

not be always harmoneous, and at times even gravely conflic-
ting.

Certainly, neither one of these concepts is totally
unknown to people in other societies. There are similar
concepts existing in most any society. However. the finest
meanings and applications, particularly the interrelation-
ship between the two concepts are so basic to Japanese
tradition and hence quite unique to Japanese culture. Thus,

it may be important to once again examine these two concepts

 

36These concepts were already discussed earlier in
their relationship to the emotionality of Japanese people.

Supra, p. 1h6-50.

37A young Japanese girl who was one of the runners of
Olympic torch at the opening ceremony in Sapporo was asked
to comment on being Japanese in a New'Year interview. She
said; "I like being a Japanese . . . I kind of like such
things like giri and ninja too . . . .". Nihon Keizai Shinbun
January 1, 1972, p. 23. .

170
here with a particular attention to their historical back-
ground. As we shall see, these concepts have a direct
relevance in the discussion of "face" and social rituals in
Japanese social interaction process.'

Both concepts seem to have their deep roots in
feudalism. However, they are so interwoven with other
traditional elements that make up the fiber of Japanese
moral personality that the discussion with regard to their
specific origin has no importance here. So long as the
characteristic social structure and the basis for inter-
personal relationship of Japanese society, which Chie

' continues, these

Nakane calls "vertical relationship,’
concepts. gipi and piplg, too will remain focal concerns of
the Japanese social behavior although they may be called
differently in the future.

In spite of the fact that these terms have been in
such frequent use in everyday life by everyone, clear and
simple definitions are difficult to come up with.38
Depending on each situation, the usage defines a different
sort of relationship. Yet, they are not confusing concepts,
and are used in reference to two conflicting forces regulating

one's social behavior and decision making in both vertical

as well as in horizontal social relationship.39

 

38Kisaemon Ariga, "Giri to Ninja," p. 10%.

39Use of the terms "vertical" and "horizontal" rela-
tionship follows that of Ohio Nakane. For excellent discussion
and analysis of social structure of Japanese society, where
vertical relationship predominates, see Prof. Nakane's

Japgpese Sociepz.

..

 

$.12... anti

 

171

Eipii is feelings and emotions of a person as an
individual private human being. It is rather natural,
uncontrived emotions, such as one's desire to be with those
whom he loves, to share a joy with them, feeling of sympathy
for others, wanting to avoid unpleasant tasks, wanting to
protect one’s family, the feeling of hurt and not wanting
to do a favor for those who did him wrong in the past, and
so on. All these feelings are normal and common human
feelings, and many joys of life come from them. But, at
times, these bare human feelings may hinder one's sober
judgement in harmony with societal norms if not controlled.
Traditional Japanese moral ethics call for the individual
to sacrifice plpjfi when it is in conflict with gipiland
other duties and obligations representing the EZEEE (public,
or non-private) phase of life, i.e., not to yield to the
dictate of heart. The principle of gzg§p_before watakushi
requires each individual to consider matters in conflict
with their relative position in the hierarchy of importance,
e.g., the loyalty to the nation before family, and family
before the individual.

The literary giant of Meiji period, SBseki Natsume,

no

begins his famous novel entitled Kusamakura with an often

quoted passage:
As I was strolling up the mountain pass, I thought:

if one exercise too much of rationality, cinterpersonal
relationship: becomes sharp and pointed; if one plys

uoThe theme centers around the world of hi-ninjfi
(heartlessness, detachment) vs. ninjC. The title Kusamakura

means a journey, literal meaning is grass-pillow.” It was

published in Meiji 39 (1906).

 

172

a pole [of a boat in the stream called: emotions,cthe

boat: will be swept down the stream; if one insists

on his will, :things will become: cramped and stiff.

At any rate. this world is a difficult place to live.

Indeed it is very difficult to keep the balance

between the two, i.e., very humanness and rational detached
thinking. Although the word gig; is not a synonym of
"rationality," it does work as a contra-force to the human-
ness and dictate of one's heart."1 We are constantly
pressured from different role requirements to fulfill
others' expectation of what is the proper thing to do.
Each time when two or more people enter a role relationship,
there will be a given amount of obligation that binds each
of them, and that is gipi. This obligation may be unilateral
or reciprocal in nature. When the relationship is a verti-
cal 1ine, then the obligation may be less reciprocal, i.e.,
the subordinate has'gipi toward the superordinate whereas
the latter would have responsibility that goes with that
position, and this is seen as pp (doing a favor. etc..) which
binds the subordinate with obligation. Some extreme case
of an ppygipi relationship would be when a person saves
another's life: the latter is bound by a heavy EEEE for the
former's pg of saving his life. At the same time, this
relationship binds the former for having to be responsible
for the latter's welfare henceforth. Whereas in the

horizontal relationships such as among neighbors or of

 

1“The word giri consists of i (literally, justice,
righteousness, and probity) and 5;.freason, justice, a truth,
a principle).

 

Sixfaln.

173
classmates,"2 the gipi relationship would be more reciprocal
and equal in kind.

Some gig; relationships are based on ascribed role
relationship, i.e., conjugal, such as parent-children, or
among siblings, or among cousins. And some other 3333
relationships are based on acquired role relationship
whether it may be instrumental relationship or social or
affilial. And, in some cases, one may be in a multiple
gig; relationship with another person in what Gluckman calls
multiplex relationships."3

When one's gig; relationships are in conflict with
each other, and one cannot fulfill both gipi relationships,
e.g., to be loyal to one's lord or to tend one's parents
with filial piety, traditionally one is expected to sacrifice
the lesser of the two, namely, to take Exp 2 (non-private)
obligation must be fulfilled before watakushi (personal or
private) obligations. Historically Speaking, Japanese society
has had tradition of considering public before private,
whether it may be about ranking institutions or establishing
a priority of matters, as the word kan-son min-pi (preponde-
rance of official power; putting government above people;

the exaltation of office life above private life) indicates.

"zror a discussion on the Japanese concept of "equals"
among people, see Chie Nakane, Japanese Socie . PP. 122-26.
She points out that the Japanese usage of the equals" is an
extremely limited: not all the colleagues are not equals by
age, seniority, and so on.

"BMaquluckman, Essazs pp the Ritual 2; Social Rela-
tions (Manchester: Manchester University Press, 1962),

PP. E9"50 e

4313..” en‘— :i .e

 

l7n
At any rate, these are not only a conflict in two
gap; relationships but it may also be seen as a conflict of
pipjp'and appi. The story of sacrificing one's own child,
or else there would be no way to face the friend who

entrusted his child,"u

or other similar stories are often
found in the stories of J3ruri, a kind of ballad-drama, and
other dramas of old Japan. We see a very strong sense of
obligation attached to gipi, and if one fails to live up to
it, he cannot expect others' respect for him. And, when

a tragic story of one's sacrificing his pépjé and fulfilling
gipi,is told, the Japanese would be deeply touched, and shed

tears in morai-naki (weeping in sympathy) with that person.

azake and watakushi“
Tb make the distinction between a situation which is

gzp§p|(non-personal,or official) and watakushi (private or
personal) is very important in everyday behavior of the
Japanese. The word §zp§p, or 59, though its literal
meaning is "public" or "official," is not that of the
Western sense. It reflects one's responsibility and duty
toward well being of a group rather than individual's, and
it is a relative term. In other words, the relativity,
which Chie Nakane talks of as one of the characteristics
of Japanese mentality plays an important role here in
discriminating §zp§p,situations from that of watakushi (or

shi). The most important type of giri during the TOkugawa

 

""Supra, p. 1&9.
1:5 ..
Or, ko-shi. Shizoku means self-interest, shi-za

means private use, and watakushi-goto means a persona affair,
for example.

 

 

175

period was that of the subordinates to the feudal lord,
which was the fizpkg obligation and duty. And, that was
ézpkp in contrast to his ELSE for his family, including
filial piety, another very important gipi, which was
watakushi. Today, the Japanese people see one's work as
an pngp situation and a sort of sacredness is attached to
it. Tb mix a private matter with his work situation is
considered very improper to say the least. Such an offender
cannot escape the criticism from others for being not
serious about the job and lacking in his devotion or in
professionalism. At any event, one is forced to make a
distinction that one has to sacrifice his own personal
preference in favor of what is expected of him from his
ngkp phase of life."5

A good example of this principle at work was what
the Vice Minister of Transportation did when a Japanese plane
was hijacked for the first time to Korea. He offered him-
self to go on board the plane in place of all the passengers
so that they may be safely released. He had to put away
his pipjfi, to want to avoid dangers and stay safely at home,
for the official responsibility of being in his position.
He has to consider his responsibility before his safety,
and the responsibility that goes with his office above his

personal responsibility.

 

"5One often see a sign on office phones saying
"Please refrain from using this for a personal call. Tradi-
tionally such a sign was not necessary in Japanese offices
as most anyone understood such a basic rule.

 

J [snail-r. 274-“.—

176

This episode brings up a point that there is more
responsibility attached to a man who occupies a higher
position in society, as the realm of his éypkp life becomes
larger proportionately with the importance of his position.
Accordingly, there will be greater sacrifice of his private
and personal life and piplé. And, among those who occupy
lower stratum, fizgkp phase is kept to minimum: namely, he
will have more freedom to mind his own business and family.
Thus they can perhaps enjoy more freedom to follow the
dictate of pépj§ymore so than those who are above them.
And, less sacrifice of human emotion is called for them.
Yet, they are still bound very much.by gig; obligations of
all sorts. In a sinking ship, the captain is to go down
with the ship: the responsibility and duties are expressed
in the form of total denial of his plpjfi. the desire for
survival. But others can escape. At the same time, a
servant has to neglect his own convenience and his pipjp.
when called upon by his master for his services, which is
his §zp§p side of life in the relative sense of the term,
and is definitely his obligation, SiEio and duty, 5323.
Similarly, an illness in one's family is not a reasonable
enough excuse tonbe absent from work. His superordinate,
however, may "insist" on his taking time off (usually
specifying a time limit) in a special case. Then, all is
proper. That is, any personal mathn'should not be disturbing

azake phase of his life.

 

TI
44

'
Lu-m' .

 

D! M

been
he ;
side

idea

177

These two concepts, fiygkg_and watakushi (or, kg and
22;) are parallel to 51;; and pipjé, although they may not
be directly correlated with each other. It also has to be
pointed out that the concepts are so deeply rooted in
Japanese culture and so internalized by most that even the
line between gipi and Elfllé are not always clearly drawn
or necessarily in conflict, e.g., one wants to pay a debt
because it is simply more gratifying to do so, and thus
the pressure of gipi may not be felt consciously as an out-
side pressure. This is also supported by the basic Japanese
idea that one is born good and it is more natural for him
to do a right thing.

The lack of understanding of the concepts, ézgkp and
watakushi, and the fact that the Japanese make such a
distinction between the two types of situation, seem to
lead the non-Japanese, particularly Americans, to be per-
plexed by, or feeling hurt by, or producing anxiety as to
one's closeness with a Japanese person. Often one hears
a common American complaint that it is extremely difficult
for an American to become a close friend of a Japanese: at
least it takes a long time. For one, the basic criteria

#6

for closeness differ in these two societies: whereas in

America, even not-so-close acquaintances are invited to a

man's home, and actual closeness of them are measured by

"6Possibly Japanese modal personality with regard to
social distance comes closer to what Kurt Lewin calls G-type
rather than U-type. Cf., his Resolvin Social Conflicts
(New York: Harper and Row, 19kg), pp. 18-25.

 

178

other criteria. One does invite almost anyone to his home,
and certainly expects a close friend to do 80. Hence one
'wculd be puzzled, if not hurt, by a person with whom he
feels a close friendship does not invite him to his home.
In Japan, however, one's home is no place to entertain
business associates or acquaintancesfin’In fact, it would be rfi
out of his place to do so in most cases. That is, it would 2
be a confusion of §y252_and watakushi phases of life. One

may invite his friends to home, but not senior "colleagues"

 

or superiors, and, by "friends" it means those who share . J
equal vertical relationship, such as old college classmates, P
friends from a neighborhood group, or sharing a same hobby.
That is, when the relationship between two people are not
totally horizontal on the same level, it is usually the one
who occupies the lower position goes to the one in the

upper strata for a specific reason relating to social rituals.
Such an occasion may be provided either by an invitation, or
as a courtesy call. When the ranking distance is great and
are in a special relationship for gipi, the chances are

that the one of lower strata will make a courtesy call at

the home of the senior member, bearing a proper gift, such

a non-offensive item as flowers, fruit baskets, or some

fine confectionery goods of a noted quality store (which
would be good enough for the recipient's taste and thus

avoiding any chance of insulting), and so forth, as an

 

"7Recently there are some among the Japanese business
executives who have to work with their American counterparts
who have adopted the American way of entertaining them at
home, as they understood how Americans felt about it.

an ltd}! .....ls

179
expression of appreciation, or whatever the occasion may be.

An interesting thing is that, one would feel that his
home is never "good enough" for a person of higher position."8
If an extraordinary situation brings the person in the
higher position to pay a visit at the home of a person of
a lower strata, the latter would go through the social
ritual of apology that his place is such a humble place,
too modest to receive an eminent personage, such as he, as
a guest, and a little embarrassed while showing the greatest
appreciation of the latter's graciousness of taking the
trouble and time to come.

Thus, for a Japanese to invite an American to his
home is most unusual, with exceptions where the Japanese
person actually has so much dealing with Americans that he
invites Americans merely to follow American ways, either
for business or for social calls, and to please them.
Simply, to invite and entertain a business associate at
home to promote business dealing, etc.. is not the Japanese
way at all.

Lack of the concept 'privacy'

Relating closely to the concepts of fiypkp'and watakushi,

the concept of privacy may be analyzed here, for this is a

topic often discussed by Western observers of Japan.

 

"8This is a typical ritual expression of humbleness.

(However, in an exceptional case where the subordinate's home
is actually better than the superordinate's, it would be a
jpoor taste to make such a reference. Hence any reference to
the house itself would be left out and other items may be
substituted, such as being not immaculate, the garden being
not attended as well as should be, or the house being old
and dark, old-fashioned, and so on. Or, simply show greatest
appreciation for the guest's visit.

 

has!

33431.!

180

In B221 Language the author cites the interpretation
of Hall in 232 Hidden Dimension with regard to the lack of
Japanese word for privacy. Also many Westerners comment
likewise. They say, because there is no such word in
existence, the concept of privacy, in the Western usage,
simply does not exist in the mind of Japanese, or at least
is not very important.

Examining the concepts of various regulating mecha-
nisms of interpersonal dynamics as well as the behavior
patterns of the Japanese, however, one would recognize the
very basic practice of distinguishing public and private
situations in such a way that one's privacy is not often
violated. What has been discussed in the earlier pages
simply indicate this: the distinction between gzgkp,and
watakushi, and also between gig; and pipjé, and customary
behavior patterns which have become canalized, all help
individuals to be able to separate one's watakushi phase of
life. This is recognizable by any one that a great degree
of privacy is allowed automatically to one's private life.
That is. one's private region is something that others have
no right to invade. There is a hedate (something which
separates - physically or mentally) and not a wall."9 Thus,
in Japan, it is not the word privacy that keeps others away

but the fact that traditional customs allow so much privacy.

 

"9Aida cites Tetsurl Watsuji's analysis of Japanese
fusuma (sliding doors) as the symbol of Japanese inter-
personal relationship; "Hedate can only function as hedate
(a partition) when those.who use them mutually respect them
as such." YUji Aida, Nihon-jin pp_Ishiki K8z8 (Tbkyo:
15593“ §22,19h7) 9 Po 1&7. . . - .

 

L...

181

In other words. for generations after generations
for many centuries one's private life was considered to be
not public, thus it is "simply understood" that each other's
private life should be respected as such."

However, if the word privacy is to mean simply that
of a single individual, the Japanese have quite a different .
perception of it. Indeed, a person's individual privacy 1
may be difficult to keep within a family. After all, tradi-
tionally the Japanese families share responsibilities with
each other. As mentioned before, when one does a wrong J
thing, his family would feel responsible for his wrong
doing.50 If the whole family is held responsible for an
individual's action, then, actually no individual can have
a total privacy of his own unless he is so extremely ego-
centric as to disregard the family's feelings or consequences
that might fall upon them as a result of his action.

It might be noted here that one's action in his 22252
(official) capacity calls for rentai sekinin (joint liability,
or collective responsibility) of his superior in a similar
manner as in a family. A recent episode may illustrate this

point well. The head of Japan's Self Defense Corps Air

 

5°After the attempted take-over of the Japan Self Defense
Corps, the father of Yukio Mishima confined himself in his
home to show the public his sense of regret and apology for
what his son had done. ASahi Shimbun, Nov. 25, and 26, 1970.
Also, after the spectacular event of capturing the Seki-gun
revolutionary leaders in a resort town of Karuizawa early in
1972 in a gun battle, the leader's father killed himself as
an expression of apology to seken (the society and pe0ple).
In his suicide note he begged people not to turn their disgust
toward the rest of the family members and begged forgiveness.
Nihon Keizai Shimbun, February 29, 1972, p. 23.

 

.m infield supine.

182

division resigned as a result of a crash: one of his remote
subordinates. during flying lessons, crashed with a commercial
airline plane and resulted in 162 death. Moreover, the pilot
of the Defense Corps airplane, not only escaped to safety
with a parachute, but made a statement which was taken by the
public as most thoughtless and absurd. In fact, he made an
impression that he was using commercial airplanes as a
practice target.51 The resignation by the chief of Air
Division was his official apology to the families of the
victim and to the public: he would have no face to see the
public shamelessly. This rentai sekinin, a superordinate's
assuming or sharing the responsibility for a subordinate's
wrong doing, may be a manifistation of "familialism."$aHere.
the chief is like a head of the "family." Because of the
reason of this rentai sekinin, many prime ministers resigned
and cabinets fell in Japanese history due to a scandal within.
If a prime minister resigns because of rentai sekinin, the
public will be most sympathetic to him, and he will be able
to retain their respect; but if he does not resign, then,
the public criticism will become very severe. He will lose
their trust and respect. Hence it will become very difficult
to remain in his office anyway.

Going back to Nyozekan Hasegawa's analysis, if the
Japanese mind is to operate inreality, and not in abstract

concepts, then, it is natural that the two types of

 

51Nihon Keizai Shimbun, July 30, 1971.

520f., Nakane, op, cit., pp. 18-19.

 

183

interpersonal relationships and lines of duties and res-
ponsibilities are distinguished along the two important
classifications: private and public. Anything that does not
belong to the realm of public life or official duties, it
would be in the realm of private life, thus protected from
others' scrutiny. In the mind of the Japanese, one's home
is a symbol of private-ness. It is a world of his own and
his family, and it is his sacred castle. Traditionally, it
is not a place to do business or to entertain a business
guest, which is of p125: relationship, but it is for the
family to enjoy their private life without threat from
others.53 No intrusion is expected. Even when others come,
interaction with them usually would be conducted within a
specific limited area of the house that the rest of family
can carry their activities undisturbed.

The practice of traditional Japanese inns to have no
key to each guest room also can be explained likewise. When
one stays at a Japanese inn, it is not the individual's
private life. He walks into a business relationship with
the inn keeper and his staff. It is the inn keeper's business
to provide service, i.e., business relationship and not a
private one, and see to it that no one else will disturb

the guest without the knowledge of the inn's personnel.

 

53A Japanese expression about a family where just the
members of the nuclear family live without any outsider is
mizu-irazu (not diluted with water, not mixed with water).
That is, when a family gets a servant for whatever reasons,
the family gives up that degree of privacy, and conversation
has to be adjusted so as in the Makioka household in Tanizaki's
novel Sazameyuki unless the servant becomes "adopted" into
the family in the degree of trust and loyalty as in other
dazoku relationship.

18u

"non-person" if the

When a maid comes in, she can become a
situation calls for it, and there will be no embarrassment
caused by her presence. Thus, business relationship and
personal relationship are two distinctively different sorts.
A maid walks into a guest's room to serve him, to bring a cup
of tea, to bring a kimono, or to make a bed, but these are
strictly instrumental relationships and can be done without
entering to his personal life. What Goffman talks about
becoming "non-person" seems to be an important concept here,
but in the case of the Japanese, it is not a relationship
imposed by the guest but by the norms of Japanese society,
voluntarily from the side the one who is rendering the
services. Thus if the guest wishes to be left alone, all

it is necessary for him to do is to make his desire known.

If he responds to her service with only what the social
ritual calls for, that will do. Otherwise, to make the

guest comfortable and to provide services to him accordingly,

are the inn's reSponsibilities.5u

Therefore, whenever necessary,
a maid will enter the room to complete the service, such as
bringing a breakfast and a dinner or making a bed at night

or putting it away in the morning, or checking occasionally

to see if the guest needs something else. In a sense, it

may not be one's becoming a "non-person" that protects the

other's privacy, but it is the certain interaction rituals

which facilitate various types of interpersonal relationships

 

5"Hence, there is no need to put a "Do not disturb"
sign on the door. The maids would know when the guest gets
up and goes to wash his face in the morning.

,Lutav'

185

without necessarily invading each other's privacy.

The meaning of closing a door at home is quite
different, however. While a maid can normally excuse her-
self whether the door is closed or not and walk right into
guests' room in a Japanese inn, it would be a different
matter in a private home. At home if fusuma or ppfiil
(sliding doors) are closed, it means that the person inside i
the room is saying "I really don't want you to walk in."
Hence, to say "May I come in?" at the door is done only by
those who are rather insensitive. Those who have better a
sasshi (sensible, understanding and sensitive enough about
others' feelings) would normally indicate his approaching
to the room by other means first.55 He may come up a stair-

' a sort of exclamation

way with such expressions as "Dokkoisho,'
that one voices when he does something with effort, or

clear up his throat half way near the room, or talk to him-
self loud, e.g., "What a beautiful day:" or "It is hot
indeed," or "I wonder when this rain is going to stop." Or,
"I forgot something!" and so on will do. That is, to ask
"May I come in?" is unnecessary, too bold, and awkward.,if
not presumptuous and inconsiderate, at home. When a hedate
(something that separates one from others) is placed there
it is usually respected by others as such, and one's privacy
56

is maintained in that manner at home.

In addition, it is this good sasshi (understanding

 

55Aida considers one's ability for sasshi as a very
important positive quality that is basic to Japanese inter-
action. Aida, op, cit., pp. lb6-h8.

55§22£2. p. 180.

186

for others' feelings and desires) that gives a kind of
privacy in Japanese life. A common expression §2££2.§El£2
2232.25253 (leave a person alone gently and kindly) indicates,
to give another person the freedom to be alone even in the
presence of others in the same room, that is when the situa-
tion is so perceived, is one of the most basic considerations
normally expected in Japanese interaction. 3

It may also be added here that the general custom is
that no one would walk in to a house unless so invited. That
is, the vestibule in the Japanese house is where the public J
sphere ends: any caller to a house may step into a vestibule
on its ground level portion, provided that the door was not
locked. There, one calls in to see if someone is home. But,
one cannot take his shoes off and proceed to come up into
the house, which is a level higher. Tb do so is an entirely
different matter, and is considered as unlawful entry.
The social rituals regarding visiting others' home will be

discussed in Chapter V.

Mibun s83

Another important area of Japanese social rituals is
based on the concept of pippp’pgg‘(befitting to one's social
standing). This concept is a very basic principle underlying
the norms of behavior in Japanese everyday life in general.
Each person is to behave befittingly and most properly in
accordance to his or her station in life, or position in the

society or the role in interpersonal relationship. Namely,

187

together with the concepts of gig; and 2121i: the idea of
pippp'ppp_has been and still is very much emphasized in
Japanese everyday behavior. An older person does not dress
like a young girl, a man does not use women's language, and
so on. Interpersonal behavior has another dimension: one is
to use the form of language and behavior patterns most
appropriate to him and also befitting the situation.
Accordingly, if a person wants to get something far
above his means or wants to get a position far above his
capacity and background, for example, such an unreasonable
desire is considered ygpi (wild ambition) and seen as not
only unsound but also quite dangerous. It is ygpfi that
makes one overly jealous of others' success and envious;
and it is zgp§_that makes a person hate another or even
want to hurt another person when that person is in his way.
It is zppg_that makes one blind as to what is right from
wrong.57 And it is one's 1222 to want to live above his
means, i.e., being not content with his own, may prompt
him to do wrong, cheating, stealing, or what have you. One
cannot find peace of mind unless one can accept his own

station in life and live accordingly.

 

57Mataji Miyamoto. "Cthin KonjB," in Furukawa and
others, eds., op, cit., p. 63. See also. Kyaichi Kazue,
"Hagan Biiki," also in Furukawa and others, eds., op, cit.,
for interesting analysis of the Japanese sentiment for the
underdog who is right (not guilty of wrong doing) yet un-
fortunate. The tragedy of Yoshitsune, a younger brother who
so loyally fought many battles and won for brother Yoritomo,
and helped him to become a Shogun, but due to a scheming
individual trusted by Yoritomo and possibly some differences
in policies, purged by Yoritomo and ends his life in his
journey to escape his pursuing brothen,Yoritomo. The strong
favortism for Yoshitsune is explained from his personal
quality contrary to zabfi.

188

It is not difficult to trace the raison d'etre for
such a concept or moral principle, for during the feudal
period it was essential for individuals to behave according
to their position if the strict status differentiation was
to be maintained in the samurai's favor. If affluent
merchants wore a silk kimono, it was $2223 fu-soB (contrary
to mippp_§§§) whereas a samurai behaving like a merchant
would also be considered unfit. Samurai. therefore, was
required to achieve excellence in both academic (or civil)
life and the art of fighting. As the samurai having become
the administrator/intellectual segment of the society, the
samurai was expected to have the philosophy and learning
befitting to him.

This sort of a strongly enforced differentiation in
behavior patterns required a strong conformity to the norms
of the time. In turn, it even forced samurai to maintain face
and front. as a saying goes; "Bushi wa kuwanedo takay3ji"

(A samurai, oven when he could not eat well, had to use a
tooth-pick as if he has just finished a most delicious big
dinner), in order to maintain a proper image. Even as the
general financial condition of the samurai class declined

they were expected to live like a respectable samurai would,
and expected to maintain their dignity befitting to the elite.

As it has been mentioned before, that some of the
standards were legally enforced, but even when it was not so
specified, it propelled the development of further differen-
tiation of social behaviors, such as the use of language

among different sex and age.

‘1
E

 

189

This concept of 21222 Egg, to behave most appropriate
to one's position, as we shall see, will underline much of
behavior patterns of the Japanese, in the form of speech and
otherwise. It provides a guideline as to what one would wear
and how to behave. When Westerners observe the Japanese,
there are many puzzling things, and one of them might very
well be due to this concept.58 That is, in the United States,
the popular idea is to do as one wishes and dress as one
wishes: it is all his personal and private matter, and no
one else's business. Perhaps this element in social rituals
in Japan that helps individual person to mature more

graciously.59

 

58Donald Keene once commented that it was disturbing
to him that Japanese female college students do not dress up
or use make-ups. And he said that to be a good student is
no excuse for looking poor. "Aoi Me no Mita Nihon Fujin no
Seikatsu." in Gendai DUtoku Kfiza: 36 ppb, no. u (March 1955),
PP. 2-3. Perhaps this comment comes from his failure to
recognize the principle of mibun soo. As the word gakusei-
rashiku (behaving like a student, the proper manner of a
student) indicates, the identity of student is very strong.
That is, in Japan, students are not supposed to start wearing
cosmetics of conspicuous sorts while in school: after all.
students are in school to learn, not to attract men. The
period in their lives to make themselves attractive by using
cosmetics comes after their graduation when they become shakai
lip (those who have gone into the world, working, etc.) or
at a very special occasion if still in a school. Hence, the
students who use make-up like a working girl would be seen
as quite un-student like. In fact, those who are still in
college, perhaps, are enjoying their prestige that they
would be reluctant to behave in the similar manners as those
who are less priviledged, i.e., working girls.

59Yukio Mishima commented on the sharp difference
between America and Japan, or rather between Occident and Orient:

". . . cthe difference: is, I believe, the truly inept
manner of growing old demonstrated by the Americans and
Eur0peans. It baffles me why they are unable to grow old
beautifully.. You seldom see in Orient ugliness in an
old person so painful it makes you want to cover your
eyes. The Orientals in general become more beautiful the
older they grow . . . . Iobject cto old women: to imitate
the gestures and clothes of the "teen-ager."(His "A Famous
Japanese Judges the U. 5. Giant, p. 8b.) .

190

Fragmentation of the Japanese society and its impact on
interpersonal behavior

Historically Speaking, Japanese interaction has been
developed on small group behavior as the core pattern. They
are neither skillful nor accustomed to a larger group situa-
tion and thus incapable of handling such situations, and
often, for that reason, they fall into mass confusion. In
other words, Japanese people are so accustomed to maintaining
order within a small group situation that their pattern of
interaction does not work effectively in a larger community.

In fact, it has been pointed out that the population
had been so segmented even as to economic interests. As the
economic interest and disinterest in Japanese life too is so
finely divided into numerous small groups. And, behavioral
forms are also developed into numerous complex pattern of
small units.

For that reason, Japanese behavior in general is said
to be rather "unsccial" from the Western sense of the term
particularly in public places. At the same time, Japanese
individual behavior patterns in small group situations show
a remarkable degree of delicateness, and in certain areas,
developed to the utmost amazing degree of refinement.

Paradoxically, this small group orientation enabled
the Japanese to move toward a group orientation rather than
individualism. The individual's importance diminished in
the eye of the total group's well being, and thus a very
strong social control mechanism was at work. coupled with the

idea of joint resPonsibility discussed earlier.

191

Lamenting the fact that the research on attitudes in
Japan remains underdeveloPed, or that Japanese scholars are
not keenly interested in the field, Japan's leading social
psychologist, Prof. Kunio Tanaka points out that the field
and its relationship with the general politico-social atmos-
phere in Japan are the principal factors deterring such study.
Unlike in the United States, he states, the need to know the
total group's attitudes, rather than finding out how each
individual actually feels, predominates in Japan. In other
words, in his opinion, Japan still suffers from the tradi-
tional disturbing traits of ignoring individual personality.
The lack of the awareness of one's self and own personality,
the lack of training for freely exchanging ideas about many
subjects, and the lack of atmosphere condusive to such
activities are still common in Japan.60

This perhaps is due to the traditional emphasis on
the individual to move within his place, not as a unique
individual but a person occupying that particular position
in a web of interpersonal relationships with exacting appro-
priate behaviors prescribed to him. A failure to follow
such social rituals may cause a social crisis and a possible
loss of face of himself or those around him as well as
embarrassing other interactants. And, as a consequence the
social order may be threatened. Thus, there is a strong
social pressure to adhere to the social rituals proper for

him. Likewise proper use of language form is essential.

60Kunio Tanaka, Nihon-jin no Shakai-teki Taido

(Tokyo: Seishin Shob8, l9 , p. 12}

 

192

On Japanese Laggua 6
with regard to Interpersonal Relationship

It has been discussed already that a study of whatever
thoughts written down, i.e., the contents of recorded
materials discussing the subject itself, may not lead to
successfully understanding Japanese menta1 personality. But
a study of Japanese language and its form from a linguistic
and socio-historical point of view would bring about some
interesting insights into the understanding of characteristics
of Japanese culture and their way of thinking. For instance,
there are rich varieties of vocabulary with regard to good
social behaviors and personality to which such quality is
attributed. This is a reflection of the general Japanese
attitudes toward good social manners and their sensitivity
in that regard. Also, a study of the accent on Japanese
language itself may also reveal some characteristic nature
of Japanese way of thinking, and pattern of interaction.61
A study of the unusual development of honorifics in Japanese
language is also very important in that it eloquently expresses
the deep rooted general attitudes toward interpersonal
relationship and how appropriate behavior patterns are
ritualized and represents the basic characteristics of the
Japanese culture which Chie Nakane calls "relativism" in

Japanese social behavior.

Vocabulary on good social behavior
It has been said that the phonological pattern of a

language reflects psychological characteristics. That is,

“£222. p. 127.

. ..ij

193
some language are considered more "masculine," reflecting
more vigorous people, e.g., English, whereas others, such
as Spanish, Italian and that of Hawaii may be considered to

be "feminine" that some even say "You do not expect much
I: 62

L.

vigor or energy in a people Speaking such a language.
However, Hymes challenges Jespersen's position and reminds

us that, on the other hand, one might equally well expect

that the speakers of a "masculine" language to be exhausted
from the effort required articulating it, whereas the speakers
of soft, musical languages may very well have energy left

for doing other things.63 There may have been the same

implication in Martin's statement that
Korean has perhaps the richest and most extensive sound
symbolism in the world . . . cwggreas the: Japanese
system is feeble by comparison.
Such difference may be noted, but to relate it to a simplis-
tic interpretation of modal personality would be dangerous.
We are fully aware of the fact that the language and
linguistic analysis of a given culture is very important in
explaining its uniqueness and its effects upon personality.
But, as of today, Hymes points out that the many studies
relating to this area are not conclusive in showing specific

correlations. Therefore, it will be attempted here to

examine the Japanese language from a more basic approach.

 

GgDell H. Hymes. "Linguistic ASpects of Cross-Cultural
Personality Study in Bert Kaplan, ed., Stud in Personalipz
Cross-Culturallz New York: Harper & Row, 1961), p. 33 .

63Loc, cit.

6"Samuel E. Martin, "Speech Levels and Social Structure
in Japan and Korea." Paper given at Association for Asian
Studizs Meeting. New York. 1958. Cited in Hymes, op, cit.,

p. 33 .

2‘

be:

19U

Language is important in influencing one's childhood
socialization process, as Mead emphasized; and analysis of
the structure of language would reveal some characteristics
of the given culture. The existence of numerous expressions
about a certain phenomenon indicates the significance of it
in that culture; children grow up with that perception with-
out even questioning why some other languages may not have
these expressions. For example, among Eskimos, where the
knowledge and differentiation of different kinds of snow is
crucial to their survival, there are many words for snow,
each word describing a specific type or condition of snow.
That is, taxonomy of snow is highly developed, and categori-
zation of snow is more specific than in most other cultures,
as a generic term such as "snow" would be meaningless for them.

Similarly, when examining Japanese language, one
would become aware that an extensive variety of words relat-
ing to good social conduct and mannerism exist in Japanese
vocabulary, and so are the expressions relating to basic
rules and regulating principles of interpersonal relationship.
There are also numerous expressions describing those who
have positive qualities and those who do not.65 This seems

to indicate that the Japanese people are veryconcerned with

 

65Unlike in English where animal terms are used commonly
to describe persons, e.g., "bearish," "pigheaded," and "sheep-
ish," Japanese description tends to be plain adjectives. or
when metaphors are used they tend to be related to nature,
e.g., "like a mountain," "thunder father," or historical per-
sonage or from folktales,.etc. Asch has pointed out the
striking cultural differences in metaphorical pattern to attri-
butes of personality. Cf., S. E. Asch, "The Metaphor," in
R. Tagiuri and L. Petrullo. eds., Person, Perception ppg,lnter-
personal Behavior (Stanford: Stanford University Press, 1958),
cited in Hymes, op, cit., p. 336.

 

 

195

maintaining good interpersonal relations and proper behavior.

The admired qualities in a person, particularly with
regard to his social conduct, is considered to be a product
of his good shitsuke (upbringing and social training). It
is particularly important for women. When one has 51222
(being cultured and well educated both formally and informally),
he is naturally expected to behave with refinement (jppip). 1
Such a person would have the atmosphere of okuyukashii
(graceful, literally means "a gracefulness in depth") suggest-
ing a gentle and refine family background. Such a person j
would more than likely to be perceived as having a good
sodachi (breeding), and from a family of good iegara.

As for the words referring to good manners, there
are also numerous expressions. Any person with good shitsuke
would have a good gzggl (good manner in the sense of body and
physical handling following correct social rituals). A per-
son well brought up would be expected to know reisetsu (de-
corum, courtesy, particularly knowing where and when to apply
correct social rituals) and to have a fine sense of ppigi
and move about with correct pgpg (social rituals and physical
handling of self in particular in more formal occasions),
which makes the person's furumai (physical movement in social
situations) beautiful. A person with good breeding is also
to have correct kotoba-zukai (manner of speech and use of
language). A person of any background who does not fail
to discharge his gig; obligation is called richigi. BusahB
for bushitsuke (ill-breeding, rude) and any other behavior

131st is shitsurei (lacking in reigi, hence rude and improper)

 

196
are the behavior patterns contrary to the above mentioned
fine and good mannerisms. Of course. the quality of modesty

is a basic reigi in interaction rituals.66

Japanese accent and pattern of social interaction

This topic has been discussed elsewhere in this paper
and hence will be only briefly treated here.

As mentioned before, the accent in the Japanese lan-
guage may be taken as perhaps another way in which the basic
Japanese mental personality is manifested. In contrast to
the Western language in general, the accent in Japanese
language is not that of loud and soft, i.e., volume change,
but a musical one, i.e., high or low in the pitch. Moreover,
each syllable occupies exactly the same length of time.
Nyozekan Hasegawa points out that the tone, pitch, and control
of voice in the usage of Japanese language in everyday life
are more accurate expressions of what is actually in one's
mind than what is said in words.67 He also notes that both
language and everyday interaction patterns of the Japanese
seem to follow a rather gentle curve, as in the Japanese
style of dance.68

It has been mentioned that, historically speaking,
Japanese interaction pattern has been developed around small

group behavior. Thgrngre, the tone, accents of the Japanese

66There is a Japanese proverb that "More ripe and fuller
the ears of rice plant are, lower the head bows." Obvious‘j
analogy is a person of achievement. A truly great person is
usually very modest.

67Hasegawa, "Nihon-teki Shinsei ni tsuite," p. 6.

68Loc. cit.

 

197
. language as well as vocabulary are developed accordingly.
Consequently, Japanese language accommodates small group
interaction most adequately. The terms for second person
singular, for example, are most abundant and varying where-
as the vocabulary for larger group oriented interaction is
very limited.

Up until the early Meiji period, in fact, it was

commonly thought that the Japanese language was not suitable,

"'Inflr‘rniq

if not impossible, for a public speaking. Although the

unity of written and Spoken languages, which had been clearly

 

distinctive forms, was advocated during the 20’s of Meiji
(around 1908-1917) among the leading literalists, a new form
of written Japanese was not made available until some twenty
years later; and Japanese language remained heavily literary
oriented except for Small group interaction spoken language.
Thus, public speaking was almost unthought of. The members
of a leading Meiroku Sha group69 such as Yarei Mori. Rinsho
Minoo and Yukichi Fukuzawa, spearheaded the new intellectual
movement and adopted Western ways. As liberal and progressive
as they were, they too were convinced that Japanese language
'was regretfully not suited for public speaking. Fukuzawa
alone took the position that if they tried they could do it.
So he kept practicing public speaking alone in secrecy and
surprised everyone when he finally performed a public Speech
in front of an audience. The foremost authority on Japanese

language, Prof. KyBSuke Kindaichi comments on this episode:

 

69Organized in the 6th year of Meiji, hence this name.

198
although it indeed sounds as if it were of a remote past,
it was not so long ago. Many contemporary Japanese would
have difficulty even understanding why the people of Meiji
thought that way. Yet it is reasonable when one considers
the basic orientation of the language: while, in most other
languages, say in English, first person singular is simply
"I" and second person is "you" regardless of who they are
and what sorts of relationship the interactants have. But,
in Japanese language, depending on the other person, even
making a choice of what term one should employ for first
person singular is not that simple. There are choices bet-
ween sessha, 2252, watakushi, watashi, gpppi, wagahai, ppp,
plus local or other variations such as pppl, 1333. gpgi'and
so on. As for second person singular, there are such terms
as EEEE! kigpp, Elflim 32233, anata-sama, 2232, 2222 and so
on.70 And, even the use of verbs, as will be discussed in
the following pages, depending upon the other interactant
one should choose a proper form among various available ways,
e.g., zpp,(to say, plain form), ossharu (polite form and
referring to action not own), pppp (humble form), mashiageru
(humble and polite form) for the verb "to say." In addition,
verb endings may take additional honorific forms. Similarly.
ending forms vary greatly depending on who is Speaking and
who is being discussedjzlln other words, the people in Meiji

7°Moreover, proper names or generic terms such as
addressing a teacher, an elderly woman, married woman, etc..
are more commonly used instead of second person singular form.

71Ky5suke Kindaichi, Kokugo pp_Hensen (Tokyo: Kadokawa
Shoten, 195h). pp. 155-56.

 

 

199
felt that, there must be many different kinds of people
among the audience, and to address them at the same time in
a single form would be impossible. After all, if a form is
proper for someone, it would certainly be not proper for
some other people in the audience. Hence, it would be

impossible to talk to many people at one time.72

Honorifics

Kindaichi points out that the honorifics in Japanese
grammar Shows an extraordinary development. Honorifics as
such are common in many languages. In the societies where
social stratification is rigid, or in a less developed
societies where taboos dominate their social relationships,
and where both these elements exist together, honorifics are
usually most highly developed. The language of Java, for
example, would be typical of such highly developed cases.
However. honorifics in such societies are what Kindaichi
ca1ls absolute honorifics. That is, these honorifics are
always used whether the person is present, or not present
but talked about, and it does not depend on one's relationship
with others in the interaction. For instances, one would use
"Your Royal Highness" and "His Royal Highness" when talking
about him, there is no basic change in the honorifics. "Mr."

' are examples of absolute honorifics.73 On the

and "Mrs.'
other hand, as far as Japanese honorifics are concerned,
absolute honorifics may be still seen with regard to the

imperial household, but in other instances they have developed

 

72Loc. cit.
73Ibid.. p. 126.

 

200
into relative honorifics.7"
Naturally, speaking to a person above oneself, honor-
ifics are used, e.g., otB-sama for father, aka-sama for
mother, ojI-sama for grand father, oni-sama for older brother
and so on, when referring to the person present. But speaking
of the same person, when the person is a relative, to a
guest who is not a family member, the usual honorifics muSt
not be used. Hence, chichi for father, pghg for mother, ppgp
for grand father, 23$ for elder brother, and so on. Depend-
ing upon how high the guest's position is, other honorifics
usage will have to be adjusted. In conversing among one's
own family members Speaking about a senior member of the
family, the honorifics are used just as when speaking to
that person in their presence. Among siblings, for example,
ot5-sama or its equivalent for father, etc. would be appro-
priate when talking of him.75 Even among cousins, particu-
larly those who do not interact too frequently, the relativity
of honorifics must be considered with care. The treatment
of honorifics for one's own conjugal kins closer to self
than the other (cousin) is similarly treated as in an inter-
action with a non-relative guest, i.e., refer to own father
as chichi and not otB-sama. If the cousin is senior to self,
then this rule is imperative. That is, depending on with
whom one is Speaking, one's own father would be referred to

as chichi some times, otB-sama, or some times ozaji (humble

 

7"Ibid., p. 127.

75They may, however, come up with a special,familiar,
and endearing term for him, such as ozaji, etc.. among
themselves in his absence.

 

 

201
and endearing, among men) and still other terms will be used
in informal occasionS.
In short, the use of honorifics is relative to the
positions of those who are interacting and the subject of
conversation: one's conjugal or affinial or other relation-

ship with the person whom one speaks of calls for specific

 

humble forms. When the two interactants are of equal rank- P
ing, speaking of each other's relatives, honorifics are to

be used for them while no honorifics are to be used for the

self's relatives. In everyday conversation, the use of

honorifics is based on each person's relative position with .w

others. As most interactions would occur among people of
not totally equal positions and ranking, the use of honor-
ifics become rather complicated.

When the two interactants are in a direct super-
ordinate and subordinate relationship. the one who is lower
uses honorifics for the other while the superordinate would
normally use a slight degree of honorifics, to the degree of
expected courtesy, or none for the subordinate or his rela-
tives of lower ranking (e.g., his children). Even then the
superordinate would use no honorifics for himself, as a
matter of adult language and expected courtesy. He does not
use humble form either in such a situation. In Japanese,
the regulating concept is called app; (literally means "above
eyes") and meshita (below eyes), meaning a person of higher
position and lower position than the self, respectively. One

interacts with a meue person with a proper degree of deference.

202
Finally, the choice of the degree of honorifics used
is an expression of one's feeling of closeness and feeling
of respect. These feelings are delicately mixed in the use
of honorifics, thus creating a very fine atmOSphere with

76

many subtle nuances.

Varieties of honorifics: Honorifics may be divided
into the following categories: among zégpp (a delinable
word) there are (l) keishS (the term to reSpect) which is
used with a person's action, e.g., irassharu (to be, to come)
meshiagaru (to eat), ossharu (to say), asobasu (to do, to be)
and so forth; (2) kensha (the term to Show one's humbleness)77
e.g., ggipp (to go), itadaku (to receive, to eat), £222 (to
say), ipppp_(to do), etc.; (3) teinei-sh3 (terms for making
Speech more polite) which is applicable not only to others'
behavior but also one's own action or even that of meshita
(those who are below self). Historically, the development
of teinei-shB is traced to the Kamakura Period when the feudal
samurai began to develop their mannerism to be polite with
each other. Later, it was adapted also by the merchants in
Edo period applying in their relationship with customers.
Kindaichi calls the form which is the plain form, not polite,
as heishB, i.e., 522 (to eat) is heishB while taberu is

teineishfi, the category (3) above, itadaku is kenshB (humble

 

:form) of the category (2) above, and.meshiagaru is keisha

(showing respect of the person to whom that verb applies).

 

75Kindaichi. op, cit., p. 117.

77Historically, the development of Keisha is the earliest
honorifics. Keisha had been in frequent use during JBdai
jperiod (early history, ancient) with regard to the imperial
members and gods' actions.

 

203

With regard to taigen (indeclinable parts of speech
in Japanese grammar, or the substantives), there are also
three types of honorifics: (l) son-shB (terms to Show one's
respect for the object), which is also bi-sh8, a beautifier
(praising terms, terms to glorify the object); (2) ai-sh3
(endearing terms); and (3) teinei-shB (terms to make speech
politer and fancier). .

Recently it has been observed that there is so much
abuse and incorrect usage of Japanese language, particularly ?

its honorifics. It is this third category. teinei-sha, that
78

 

l-‘I-a.‘

is most frequently misused or overused. It may be due to
the general breakdown in socialization process both in family
and in educational institutions.79 but possibly it may be an
effect of increasing transitoriness of social life, a seem-
ingly inevitable consequence of industrial societies. That
is, in such a society relative anonymity with regard to one's
social and family background exists, and this seems to facili-
tate, if not encourage, those individuals who are socially
upward mobile, but inadequately brought up, to present a

line above themselves. They do so by imitating what they
perceive as the upper class Speech pattern. Because they
only imitate what they see as pattern rather than being
trained or systematicly study, their perception may very well

be erroneous. Thus ending up with incorrect usage of keigo,

 

78Kindaichi. op, cit., p. 129

79Possibly due to the strong emphasis placed upon more
strictly academic subjects in the secondary education because
of the keen entrance examination competition, or as it is
commonly attributed the quality of elementary and secondary
teachers may have actually declined in the recent decades
under the new education system, a product of Allied Occupation.

 

20h
honorifics, and polite forms in particular. This, in turn,
reveals their lack of the good upbringing which they desire
to conceal. Kindaichi points out that when the honorifics
are properly and correctly used, they make the Japanese spoken
language most beautiful and delicate. but the growing tendency

among many to use honorifics incorrectly and improperly is

 

unfortunately causing Epigp, honorifics, to be more confusing E
rather than beautifying the Spoken language.80
The first category mentioned above, son-Sha, or bi-shB.
is a prefix in praise of a thing for being big, §_of U-kami
(532;,means a god), or of S-kimi (emperor), etc. Or it might a

be in praise of a thing for being genuine and true, e.g., p;
of pizp_(z§ stands for a house, thus pgzp_means a shrine).
Other prefixes such as EpEp.(meaning big and broad), £212
(meaning rich and plentiful), pg§2_(meaning high), pipp
meaning wide, Spacious and vast) are all this sort of bi-shB.81

Historically Speaking, honorifics in most languages
must have been basically a rhetorical device rather than a
grammatical one. Honorifics found in Europe seem to indicate
that basic function, and therefore grammatically do not warrent
any special attention. In other words, the general use of

.honorifics in European languages tends to be superfluous.

IHowover, Japanese honorifics have developed in such a way as

 

80Kindaichi. 'p, cit., p. 129.

81A good example is the very beginning of the famous
imperial script on the education of Meiji. Referring to Japan,
an ancient phrase "Toyo-ashihara no mizuho no kuni" is used
:for'the term Japan. Of the phrase, most of the terms in it
represents bi-Sh3. The name of the Sun Goddess Amaterasu
Omikami also has §_ and 9; added to the word kami (god) to
mean the most supreme of all gods. Taka and as, of Takamaga-
here. where the gods (ancestors of emperors) lived. are also
bi-shS.

205
to reach the stage of grammatical significance, and cannot
be dismissed as a superfluous part of Speech. Japanese
honorifics came to serve the function of identifying the
person as subject or as object.82 For example, the phrase
"Irasshaimasu? Irassharunara mairimasu," (honorific, going?
honorific, if go, humble, go), if stripped of honorifics,
means "Go? If go, go." However, it means "Are you going? If
you go, I will go." Although this sentence does not contain
any personal pronoun or name indicating who is the subject
of each portion, it is very obvious to whom the verbs belong
from the use of honorifics.

Likewise, a common expression "Agarimasuka?" (Would
you care to eat?" contains no subject. But it is.a son-ShB
type of honorifics for the verb "to eat", hence the subject
of the verb has to be the second person, "you." In addition,
that second person is either equal or higher in position than
the person speaking. Whereas with "itadakimasu" (ken-shB for
own action, to eat) is clearly understood that the subject
of the verb is "I" or possibly "we." Other common greeting
words and expreSsions, such as o-kage-sama de. or o-karada
(body, honorific), 2:532 (face, honorific), and o-mi-ashi
(foot, double honorifics) refer to the other's and not the
person speaking, either a second person or a third person
related to the second person or of a higher ranking. This
last distinction should be made easily from the context.
Similarly, "Chichi ga desuka? O-t3sama ga desuka?" means

clearly "Is it my father? Or is it (about: your father?"

 

82Kindaichi, op, cit., p. 129.

 

 

206
The Japanese adoptive lineage system (deoku) has
been mentioned earlier. Possibly in the same sentiment, one
identifies himself very strongly with his employer in Japan.
and the latter is referred to as "uchi no shach5"(our presi-

"uchi no kachB" (my

dent), "uchi-no kaisha," (our company)
section head) and so on. Uchi-no literally means "of my

house,or home, or family." Thus the use of honorifics too E
becomes involved in this relationship. The rule of relative K
position regarding to whom, for whom and what degree, etc.

is extended also to this adoptive system. This will be

 

discussed in the following pages.

Japanese language and social structure
Language accommodates the way of life in a given

 

society. and at the same time, language is an expression of
the way of thinking of the people.83 Accordingly, it can be
hypothesized that in a society where its language has shown
highly developed honorific system as in the Japanese language
where each social relationship is so clearly distinguished

by its proper form of language, social relationships would

be more finely regulated. And, furthermore, standardized
behaviors and expected good mannerisms in such a society
requires more sensitivity to the basic social structure.

That is. in using Japanese language and interacting with

 

83An Ainu husband uses his wife's personal name to
refer to her, but she may never address him by his. (Hymes,
op,cit., p. 330). This is related to the taboo against pro-
nouncing her husband's name. (and thus census takers had
difficulty because wives would not say what their hquand's
name were.) This may be related to the position of the man
in the family. However, this is an example of sex differences
in the Speech. See also, Sapir, Abnormal 22293 of S eech in
M tla (Ottawa: Government Printing Bureau, 191577'M. Haas.

Men s and Women's Speech in Koasati," Langpage, No.29. pp.lh2-h9.

207
others, unless one's observation and interpretation of a
given social situation is accurate, it would be impossible
to interact correctly, i.e., using proper form of language
with proper use of various honorifics discussed in the pre-
vious section. Wrong usage of honorifics, and so forth,
would be interpreted as an intended wrong doing, an expression
of a lack of modesty, lack of respect and deference for
others, and thus the inevitable consequence of a blocked
communication or embarrassment. As has been mentioned before.
there is a different form of verbal expression when one is
speaking to a person of equal status, or with a subordinate,
or with a superordinate, or a senior person, or talking with
one's own family members at home. In addition,-there are
varying speech patterns, of which one is to use the type
most befitting to his background and position as well as his
sex and age category.

It is this quality of social relativeness which re-
flects Japanese social structure. The very basic rule of
using a more humble form of speech for persons closer to one-
self and politer forms for the other interactant's relations.
the distinction of 2223 (those who are above) and meshita
(lower than self) based upon official and private role
relationships as well as sex and age differences, and the
standardized expressions of greetings are deeply rooted

8%

social norms.

 

8"Of the related families. the main family (honke)
is higher than branch families (bunks).

 

 

208

Furthermore, the social relativeness of honorifics
becomes even more complicated when the relationship of an
individual to his own family is extended to his company, or
place of employment. For example, a well instructed and
trained telephone operator must be able to use the differen-
tiated levels of Speech and honorifics correctly in order to
make excellent impressions on callers. Any company and
office of distinction cannot have a telephone receptionist or
a receptionist who cannot use Japanese language correctly,
and therefore, the responsibility of training them falls upon
the personnel manager. And, it is one of his most difficult
tasks, for most new employees seeking employment in such a
position are usually far from having been adequately trained
in their homes, i.e., far from having adequate "shitsuke" at
home or very unlikely to have gone to the type of middle and
high schools where adequate shitsuke was part of their educa-
tion.

One would notice the difference in the usage of language
between girls and boys in Japan. Again, this reflects the
traditional norms of differentiated treatment of boys from
girls in Japan. There has always been a heavy emphasis placed
upon good up-bringing for young girls to be eSpecially con-
cerned with the proper use of language. This training is
most effective when it is done in the middle and high school
period. for it is the time when a girl becomes a young lady
and no longer a child. As a child, during grade school
period, nondiscriminative use of honorifics is acceptable.

IHence, girls' schools supplement good shitsuke for their

 

209

students, particularly the more exclusive Schools. This is
most helpful when a girl's home fails to provide such train-
ing for whatever reasons. Theoretically, middle and high
schools are most suitable for such training because class-
mates and teachers would provide occasions for varying inter-
action patterns there. Besides, this is the period particu-
larly suited for learning social rituals, as Erikson discussed.85

In short. instructing and exposing a young girl to
certain interaction and Speech patterns train her to differ-
entiate various situations as she grows up. She Should be
able to perceive the structure of social relationship as well.
How well she learns depends on her family's social and cul-
tural background and also upon the thoroughness and quality
of such training provided by schools formally and informally.
Those who have not been accustomed to witnessing various
categories of people interacting in different relationships
might feel uncomfortable in any new situation, and thus feel
the need to imitate the behavior of others. And. those who
‘wish to assume a line above oneself may tend to use excessive
amount of honorifics, even.sometimes, when talking about his
own relatives; hence offend others or embarrass others, or
be misunderstood. Using honorifics for self or own relatives
is, indeed, a serious social offense. After all, such a
violation means that the user is not aware of the principle
behind the use of honorifics and its relativity. To show

the same amount of deference toward own relative as toward

 

8551229.. pp. 36-37.

 

Li;

I,-

210

the other's means a lack of respect for the other. A social
climber, as mentioned before, may "over adopt" honorifics
in her Speech. It is due to her failure to See that there
are particular situations where honorifics of a certain type
must not be used. The use of ken-Sha, the terms of humble-
ness. is a social ritual basic to Japanese everyday inter-
action. In other words, a very common problem that many
social climbers face is caused by their lack of understanding
of the social ritual in general as well as the lack of compre-
hension about honorifics and a resultant confusion of the
three types of honorifics. It takes more than over-using
of honorifics to be polite, let alone being jépgp (a person
with polished quality, a refined person).

The idea of knowing proper usage of language is a
very important one in maintaining a proper relationship with
others. Needless to say that violation of, or a failure to
follow the rules of correct usage is quite offensive to other
interactants on at least two accounts: (1) it creates a con-
fusion, and (2) it causes others to perceive such behaviors
as a lack of due reSpect. Not making the required differ-
entiation among different people of varying standing is
most improper.

It might be added here that a specific degree of
honorifics may also be used as a regulatory mechanism in
Japanese social interaction. While there might be a ritual-

86

istic avoidance among in-laws in some societies, Japanese

 

861n order for a marriage relation, which combines
social disjunction and conjunction both, be given a stable,

 

 

.v——

.....—

Maucl'l. J's... humped! 1“!

211

use of honorifics provides social distance as well as ritual
for safe interaction. One can "hide" behind social rituals
and be correct and proper. ' I

Thus, one's ability to use the Speech pattern appro-
priate for each interaction level is extremely crucial in
Japanese everyday interaction. As mentioned before, for
those who have had the proper training or background, it is
a Simple matter, but for others it would be rather difficult
to avoid mistakes by just observing others. The ability to
be able to use the language most properly, however. is most
appreciated among those who are discriminating as well as
those who cannot do so themselves but are exposed to varying
types of people, e.g., store keepers, restaurant managers,
experienced taxi-cab drivers, and some others.87

It may be also mentioned here that no such emphasis
is placed upon boys' shitsuke particularly with regard to
the use of language during their schooling. possibly reflect-

ing the fact that promising young boys are expected to be

 

ordered form, in many societies in Africa and Asia a custom
of a ritual complete avoidance of any social contact between
a man and his mother-in-law, for example, is observed. This
means mutual respect between them rather than hostility.
Radcliffe-Brown discusses the joking relationship, which is
the alternative to this relation :of extreme mutual respect
and restraint. The joking relationship is a relationship

"of mutual disrespect and licence. Any serious hostility

is prevented by the playful antagonism of teasing, . .
while the social conjunction is maintained by the friendliness
that takes no offense at insult." A. R. Radcliffe-Brown, "On
Joking Relationships," in his Structure and Function in Pri-
mitive Sociepz, (New‘York: Free Press. 19337. P. 92.

87Several references are made with regard to beautiful
usage of language and its impact on others in Aya'KBda' s
novel, Nagareru, e.g., a rikisha puller, and Rika s. Infra,
PP. flu- 5e

 

 

 

.7, Mail . ”a

212
all too preoccupied with their study of academic subjects

in preparation for entrance examinations at different levels
of schooling. For them, the principal influence comes from
their home.

For boys, at middle school up, age differences are
very seriously considered with regard to speech patterns.
Members of extra-curricular groups, for example, are expected
to treat their seniors with proper deference. In this regard,
the shift in differentiating levels of people in their

speech from non-discriminating speech pattern of a child

 

takes a place at the time of entrance to a middle school as
in case of girls. Throughout, senpgi (those who preceded)
and §§g3i_(those who followed), students in upper-class or
lower-class respectively, are clearly distinguished and
treated accordingly. Chic Nakane discusses the usage of
addressing senpai, seniors, gfihgi, juniors, and g§hgi or
gfigzfi (colleagues, those who occupy equal ranking and who
came in at the same time).88 Ranking consciousness followb
ing the rule of seniority is the basis for such distinction,
and quite characteristically Japanese. The speech pattern
of young boys among their peers or with someone younger is
all hei-shB (with no honorifics) . and constitutes the most
crude pattern of all sex and age groups.

Then their college experience seems to provide

 

88Nakane, op, cit., pp. 26-28. One has to enter
school in the same year to be dBkzu-sei (class-mate) and
similarly the time of employment has to be approximately the
same for two people, and share same ranking, to be dahai,
colleagues. Otherwise it would be a senior-junior relation-
ship.

 

213
adequate training where they are then treated as grown ups.
Their Speech pattern abruptly changes at that point following
the shift in self-identity. The speech pattern of executives
and professional men tend to be quite plain but very courte-
ous. They are in general more polite to each other than
the younger members of their organizations when they are
interacting with each other. The style of speech of mature
professional Japanese men tends to be quite straight standard
Japanese form, which is not fancy as women's, but very

pleasantly polite. It is a style which is not too difficult

 

for anyone to acquire through their working situations.

In some societies the speech of men and women differ
considerably.&;Varying social classes may have different
speech, and there may be considerable local differences.

In Japan there is also much gradation as to the speech
patterns among varying groups in the complex social structure.
The way one addresses another differs considerably as well

as other expressions among varying groups. There are unique
expressions among peasants, among merchants, and among

upper strata. In the feudal days each class used distinctly
different style of speech, and hence the general speech
patterns of certain families are still different from others.
Therdelicate nuance and atmosphere that is created by
Junichira Tanisaki's characters in 3323,522'ggghi20 Kaname,

IMisako, her father and father's life'O-hisa, each with his

 

890f., Haas, op, cit.
9o
Nettles.

English translation is published under Some Prefer

 

21h
very own style of speech, cannot be fully conveyed in English
translation regardless of the translator's skill. As Tani-
saki very much attracted, the region around Kyoto-Osaka is
gentler and more cultured than Tokyo. And their dialects
represent that general atmosphere. It has been a renewed
interest and appreciation for these dialects in recent years
as one can readily observe in Japanese television series.
This is quite a change from Kazuo Kikuta's Eimi’gg.gg'gg,
whose heroine spoke most beautiful Tokyo dialect, of the post
UVII period. 0-hisa's personality comes through vividly with
her old fashioned Kyoto dialect: she and the heroine in
Yasuko Harada's Egggg portray most contrasting types of women
of Japan. The Makioka sisters in Junichira Tanizaki's Sazame-
133;?1 would be colorless if they spoke in the standard
Tbkyo dialect. Aya.K8da's novel Nagareru, in a critique's
word, represents a style of writing out of living conversa-
tions: it is not a style of those who are clever with letters.92
Miss Kada's wriging comes to life because of the lively words
spoken by the characters in the novel. It is a marvellous
novel for the ears, as one can almost hear those words in
their conversation. In addition, there are occasional
references made with regard to certain persons' ability to
speak well with very correct language forms. Considering the

fact that she is a daughter of Rohan KBda, a great literary

 

91Translated into English under the titles: Thin Snow
and Makioka Sisters.

92Yoshitaka Takahashi's comment and analysis of the
novel in "Kaisetsu," in Aya KBda, Nagareru,(Tbkyoz ShinchB
Sha, 1958), p. 2b8..

 

um... -..).aInIW... nu

215
figure of Meiji, it may be a very natural thing, but, at any
rate, readers would be impressed by her ability to make each

character in the story use most appropriate manner of Speech.

* t it

Needless to say that the norms concerning interpersonal
relationship today is a resultant of the constant historical
process of adaptation and rejection. As Yukio Mishima calls
it temporal heterogeneity from different historical stages,
what we have today is constituted from various cultural
elements from varying historical periods, and cannot be
separated so simply as to two categories, traditional and
modern.

Chie Nakane in her excellent work, entitled Japanese
Society, presents her view that a careful examination of the
functioning of Japanese society indicates that any such
dichotomy between traditional and modern, i.e., "feudal"
versus "modern", is in reality non-existant. She says:‘

It is informal systems rather than in overt cultural
elements that persistent factors are to be found. The
informal system, the driving force of Japanese activities,
is a native Japanese brew, steeped in a unique character-
istic of Japanese culture. In the course of modernization
Japan imported many western cultural elements, but these
were and are always partial and segmentary and are never
in the form of an operating system. It is like a language
with its basic indigenous structure or grammar which has
accumulated a heavy overlay of borrowed vocabulary; while
the outlook of Japanese society has suffered drastic
change over the past hundred years, the basic social
grammar has hardly been affected. Here is an example of
industrialization and the importation of western culture
not effecting changes in the basic cultural structure.93

 

93p. 1&9.

 

 

«.41, ILm‘. .|1~.- |-u.r.. .|-:..
I a:

CHAPTER V
SOCIAL RITUALS AND SOCIAL CRISIS

IN EVERYDAY JAPANESE LIFE

In face-to-face interaction, an individual's
presence affects his surrounding environment,1 while the
surrounding environment affects the individual interactants
and the quality of their interaction. Depending on who the
participants are and their personalities, the degree of
tension that exist between interactants varies. Moreover,
even among an identical set of people, differences in their
over all emotional mood of the day, their attitudes toward
certain issues, the degree of intensity of these attitudes
and overt expressions thereof, would also affect the
atmosphere of the given situation and thus the interaction
pattern. It follows that the purposeful behavioral skills
of an individual has a real influence upon other inter-
actants. One person can lead a difficult negotiation to a
successful conclusion while another person can turn a not

so difficult routine negotiation into a dispute.

 

1Brving Goffman, Strategic Interaction (Philadelphia:
University of Pennsylvania Press, 1939), pp. h-S. See also
Warren G. Bennis and others, eds., Interaction Dynamics
(Homewood, 111.: The Dorsey Press, 1933). p. 1%.

216

 

 

 

21?
Certain historical figures are known for their ability
to influence others because of their personalities, and
others are known for their ability to influence others
simply because of their ability to communicate. The favorable
impact that the eloquency of the Chinese delegate to the

Versailles Peace Conference had upon China's fate is well

known among the students of diplomatic history. In such FE
situations the fate of an entire nation might depend upon one
individual's ability to communicate and interact with others
and thus influencing others' opinions. In our everyday life
interaction, the influence of one's personality and ability FJ

 

to interact well with others usually does not have grave
importance, but it is of importance to the well being of the
individuals concerned. Some people are better able to
establish a trusting relationship with others whereas some
others are not. Some can make others feel at ease and feel
good merely by their presence whereas some may cause others
to feel unease. Some are more effective in forming helping

2 and some others are not. Thus, of the varia-

relationships
bles that affect the quality of interaction in our life, the
personal quality of the interactants is a very crucial one.
It can alter the impact of other variables, such as the
nature of encounter, number of interactants, the issue, the
degree of formality and so on. Plus the quality of inter-

action has some bearings on one's well being, his emotional

life, if not on his life in general.

 

zTakanatsu, a character in Tanisaki's Tade Kuu Mushi
portrays such a person.

218

Social Rituals in a Traditional Society

Generally speaking, in a traditional, particularly in
a homogeneous society, one can expect a variety of well de-
fined and situationally specific social rituals. Through
the centuries, various patterns of behavior would become

3

standardized and accumulate as social rituals. whereas in
a relatively new nation, such as in the United States, we

can expect the strong influence of subcultures and thus less
strictly enforced universal social rituals. Ideally, however,
in a pluralistic society the general societal agreement as

to what constituted minimum proper behavior patterns would
become well defined and quite specific in time.

In a traditional society, these standardized behavior
patterns in response to a given situation reflect the tradi-
tional norms and attitudes: and thus deviation from such
patterns of behavior is due to (1) one's lack of knowledge,
i.e., incomplete socialization, or (2) intentional deviation.
An unintended deviation would be an instance when an inter-
actant perceives the other's identity or the situation
erroneously.

In a traditional society, one's social grace and
refinement are judged by others in terms of his ability to

execute social rituals correctly. And, this includes one's

 

3Of course, we are reminded of the existence of the
cultural heterogeneity that has resulted from old culture
continuing while newer elements keep being adapted into the
culture so that virtually cultural pluralism has been created
in Japan. 311213. p. 153.
However, in this case, this multiplicity of various cultural
traits are contained in each member and there is a difference
as to choice of combinations and emphasis as to suit one's
own taste.

 

BA :1

 

219

ability to assess the situation and the identity of others
accurately. One's inability to do so would cause a social
crisis.

With regard to a possible misperception of other inter-
actants' identity, it may be pointed out that, like in any
other society, there are some quite standardized means through
which the individual expresses information about himself; and
others can behave accordingly in response to this general
knowledge of the person, and feel relatively comfortable
knowing that his behavior is socially proper. In Japan, this
practice of evaluating each person as one interacts with him
is minimized by the general practice of applying a set of
behavior patterns to everyone in a category in a specific
role relationship, such as a store-keeper and a customer, a
taxi-cab driver and a rider, a train conductor and a passen-
ger. This is particularly true in a fleeting relationship.
Hence, to know how to behave in a general role relationship
suffices in his behavior with others in particular relation-
ship regardless of other symbols indicating what kind of a
person he might be. Thus, a misperception occurs only in
‘very limited occasions, such as when the other too is at fault
by failing to show a proper role relationship, and causing
a natural and understandable error. Being dressed inappropria-
tely or presenting himself improperly or to be in a wrong
place might cause such an error.

The general practice in Japan of meeting a person

through a mutual acquaintance' introduction, a wide use of

 

220

business cards or ca1ling cards, and general courtesy as
social rituals, particularly for an older person, also mini-

mize the embarrassment that might be caused by such an error.

Social Rituals in a Newer Society

In a relatively new and particularly heterogeneous
society, such as the United States, we can expect less stand- an.
ardisation of interaction patterns. The existence of some a
regional differences as well as sub-cultural differences

leads to a lack of unified standards, so that one's behavior

 

can not even normally be judged by others with the actor's _j
background as the dominant consideration and in terms of an L
over-all, somewhat universal, minimum standard of good manners.

It would be difficult to have people from different back-

grounds agree upon what is "cultured and refine" English

spoken in America, or what are proper greetings, and so on,

although etiquette books are consulted by many women who wish

to be socially correct. One finds that there are numerous

"correct ways." The fact that many people will not find

themselves in total agreement with regard to these questions

illustrates the complexity of behavioral standards in such a

society. This, in turn, allows an individual more freedom

in a given situation without embarrassment or ridicule. The

high.demand for Amy Vanderbilt's book on etiquette and other

similar works is a good indication that standard behaviors

and rules of good manners are less well established in

‘Amerdcan society. Many people are not too familiar with or

:not comfortable with proposed "standard" manners. It is

221
partly because of the newness of the United States that
various cultural elements have not yet found harmoneous
relationship. Social codes have never had a chance to mature
and establish themselves, while many European mannerisms
which settlers brought with them are not always appropriate
to American scenes and in some cases are possibly disfunc-
tional.“ For that reason, deviations from this predominantly
European code of etiquette are not only tolerated but often
considered "individualistic," being modern, or even "cute,"
"clever," or'breative." Unlike in a traditional society,
deviations from such standardized behavior patterns are taken
neither as a threat to the existing social order nor harmful
to the society's general well being. Some younger people in
Japan who are influenced by this Americanism through movies
and_television seem to share this sentiment. Shintarfi Ishi-
hara's novels, such as Igiyg'gg_xisetsu, portray such young

people.

Rituals as a Response to Danger
with regard to rituals, E. Shils states that they are
a response to danger.5 We can extend that statement by saying

that social crises are also times of danger and then may be

 

l‘Perhaps due to the tendency of "being 120% American,"
as Margaret Mead speaks of, some young people whose parents
came from Spain or Italy to settle in Florida express their
embarrassment over their recently arrived older relatives'
table manners, i.e., the European way of using knife and folk.
The younger ones see such mannerism as inappropriate in the
United States.

53. Shils, "Ritual and Crisis," in Philosophical Trans
actions 2; the Royal Sociegy 22 London, Ser. B, No. 772,
Vol. 251, pT—Eh7.

 

J

 

222
overcome by the use of social ritual. We find various rituals,
the more secular nature,in many societies where the product
of long time-honored practices have provided the function
of mitigating social crises and difficult situations, or pre-
venting the occurence of such social crises. It is a natural
process of cultural adaptation that a certain way of handling
such recurring difficult situations becomes standardized and
eventually ritualized. The ritualized avoidance of certain
in-laws, for instance, is a good example of ritual associated
with social crisis. Standard greeting and departing behavior
are also instances of such ritualization. As discussed
earlier, the basic function of good manners is to secure a
positive interpersonal relationship and thus help to create
mutual bonds within the group. Politeness is not a luxury
but an essential part of our social interaction, as it helps
to remove the threat of social crisis, and furthermore provides
the basis for mutual respect as well as self-respect. This
seems to be of a particular concern in the Japanese society.
Knowing that one can discharge social obligations well, and
that his behavior is seen by others as appropriate, namely
that his line is maintained, and he is in "face," is essen-

tial for feelings of self-satitfaction as a social being.

Major Categories of-
Japanese ocia Rituals
As in any other society, some social rituals are of

vestigeal nature. But, there are numerous other social

rituals which are still very much functional as a mechanism

 

223

to deal with interpersonal relationship and social crisis,
both preventive as well as crisis percipitated reSponses in
Japanese everyday life. These standardized behavior patterns
are accompanied by the development of sets of everyday philo-
sophy which support and regulate interpersonal relationship.

For example, the pattern of interaction for various
instrumental relationships is rather well standardized. It
is particularly true with regard to a customer, and a seller,
of either goods or of services, relationship. It may have
something to do with the long feudal period when the mer-
chants were considered the lowest of the four social classes,
as discussed before. Perhaps it is due to the sthin-katagi
(merchants' mentality) to treat customers politely, for they
are the source of profit. At any rate, a certain amount of
deference is expected of a seller by customers. This would
be true even if the seller actually has a higher prestige in
his personal life in his community as the head of a well
established renowned store and the customer a person of no
social prestige. This was illustrated by the heroine of the
movie, Saki-shun (lit., "feeling dear to the passing spring
time). She is the oldest daughter of the artist-manufacturer
of silk obijime (accessory for 22; sash for kimono). Her

father was awarded by the Japanese government the title, Mukei

Bunka-zai (intangible national cultural treasure) for his work.

She treats anyone, even a customer who comes to buy a single
piece with courtesy and patience just as her father did.

Whereas the mother of her half sisters, once mistress of her

 

hr. gay

22%

late father, does not see any value in such manners. Shanin

kishitsu, or Sthin katagi, is the tradition of Osaka mer-
chants through many centuries. The story of Seki—shun indi-
cated the love for one's work and creations as the bases for
the seller's courtesy. The heroine was most appreciative of
those who appreciated her creations. At any rate, courtesy
by sellers was and is most strictly adhered to among tradi-
tional merchants and artisans.

Generally speaking, Japanese social rituals may be
categorized in the following manner: (1) those relating to
proper use of language, (2) spacial behavioral patterns,
proper distances and place, (3) standardized aisatsu (greet-
ings) for everyday and for special occasions, and (h) rules
about proper attire for the season and for particular occa-
sions.

It may be emphasized that in Japanese standardized

behavior patterns, the distinctions between Byake (public,

or non personal) and watakushi (personal, private, non official),

as discussed earlier, is essential, and represents the basic
rule of being proper for each specific occasion.6 Another
basic rule is to act in the manner most becoming to one's
giggg_(status and.position). These basic rules are the
principal regulatory elements common in all of the above
mentioned four categories.

In the following pages, the four categories of social

'rituals will be discussed in details.

 

6.513.259.- PP. 1?“ “'79 e

 

 

225

Relating_to the proper use of languagg

It is very important that one would correctly employ
the appropriate form of language and expressions most becoming
to his role. The use of honorifics is most crucial,7 and is
standardized. Not only the role relationship of the Speaker
and the listener determines the amount of honorifics used,
but the relationship between the speaker and the subject of
conversation, and its relationship to the listener require
the differentiated use of honorifics. Those well-bred or
those who occupy high positions in the society are expected
to use honorifics correctly. If they fail to use them pro-
perly, it would certainly be interpreted as a sign of dis-
respect to the others. After all, ignorance is no excuse for
these people. Although there seems to be less emphasis on
good language training today in comparison to a generation
ago, there are still some girls' schools which maintain that
the graduates from it should be refined ladies in their
behavior, and insist on students acquiring the necessary
social graces, particularly the correct use of language.8

There are two general categories of standard criteria
‘with regard to the kgtoba-zukai (the use of words and language):

one is the degree of politeness of the basic form of speech

 

7Supra, pp. 199-206.

8For example, at Karan, known traditionally to have
majority of students from upper-middle and upper socio-economic
strata (and culturally upper strata), a recent graduate appre-
ciatively quoted her teacher for having said not to use such an
expression as "Sumimasen," (Excuse me). for it is not fine enough
for the girls of a high caribre who graduate from KBran. Such
a fine distinction may not be made often among most people,
the expression had been traditionally ch8nin's. Hence it is
too "common." Interview, January h, 1972.

 

226
at a given time in that particular role. A person who has
special grace would always use language so as to express the
exact amount of politeness that a given situation calls for.
Pattern of speech would be adjusted for both degree of polite-
ness and also for the degree of familiarity. That is, one
would speak to a class mate in one form, and she would speak
to her teacher in a more polite form, and she Speaks to her
mother differently from both these cases, and yet in still
another form for instrumental relationships. And, these
forms are rather well standardized for each socio-cultural
strata and for each sex, in various dialects as well as in
the standard Japanese.

The other is the use of honorifics. Comedians often
depict the humor of an upwardly mobile woman who uses an
excessive amount of honorifics thinking she is speaking pro-
perly and being j§h§2_(elegant, cultured, with flair) only
to reveal her low status background. As it has been mentioned
before, indiscriminate usage of honorifics means the user's
social ignorance or a lack of respect for the other person.
The general rule is to place o-taku ("your home," "yours")
one level higher than 22g; ("my house," "our," and so on).
The interesting custom of extending this concept of 222; to

even one's school and company where he works has been already

discussed.9 So considering, the correct usage of honorifics

 

9This custom itself may have the reinforcing effect
for the employees' sense of identity. It is not uncommon in
a Japanese factory where those who are leaving receive the'
members of the new shift with big cheers. See also, Chapter
IV pp. 162-6“,

 

227

can be very difficult for some peeple, but the basic rule is
rather simple: accord a proper degree of deference to each
person on the other side and apply a proper degree of humble-
ness to self. One should consider the other interactant's
ranking or position, one's relationship with him, and all
others' relative positions.10

Addressing is another very important element of
correct usage of the language. Tb address someone, one can
use either a generic term or a pr0per name of the person
with the addressing suffix £322 or its equivalent.llUsing a
generic term, and thus avoiding the use of proper names,
may be considered as an expression of respectfulness toward
that person in most cases. IGrant parents, parents, older
siblings, uncles and aunts, teachers, and older persons in
general, as well as one's superiors are usually addressed or
referred to with a generic term. When there is a need to
distinguish one from others, a combination of proper name
and generic term would be used. When there are two sisters,
for instance, such as in Makioka Sisters, their names or part
of their names will be used in combination with the generic

term, e.d., Yukiko n3-san, Yuki nI-chan and so on. It may

1°1t may be also pointed out that, with regard to honor-
ifics, some dialects are richer in variety and expression of
feelings than some others. The Kansai dialect in general, such
asiKyoto and Osaka, have more varying degree of honorifics than
Tbkyo. At any rate, such expressions as shiyasu, shi aharu and
shiteyatta (of Kyoto, Osaka and Kobe dialect, respectively) may
be considered somewhere inbetween suru and nasaru (to do) of
the standard Japanese. The same verb, shita (past_tense), for
example, is shiyotta for a dog or other animals or someone of

extreme lowly sta us, such as a thief, an enemy, etc.. in Kansai.

11Sama is standard and formal. San, 2222 (for dimuni-
tive), kun among young boys, are among the equivalent terms.

.‘l‘

 

 

228

be interesting to note that a child would address any adult
male of his father's age or about as oji-san.12 In writing
this oji-san is different from oji-san for uncle, but in
spoken language both are pronounced the same. Similarly all
elderly persons are addressed ojI-san or obi-san, just like
addressing frandfathers and grandmothers, respectively. A
teacher is called sensei for grade school, middle and high
school teachers. Sensei is also used for medical doctors,
and in some instances those who are respected in the community,
influential persons in a rural community in particular. At
the college level, traditionally professors are called Eyfilg,
e.g., Odaka Kyfiju. Or, sometimes they are referred simply
by surnames with the suffix Egg, e.g., Odaka-san, in the
fashion of adult intellectual community. The traditional
custom of referring teachers by nicknames among students, is,
by and large, limited to middle and high schools.

A younger person, as a rule, does not call an older
person by his first name or by his last name without the
suffix. A rare exception is when the two are in a direct
master-servant relationship. Even then not all the young
masters would call their elder subordinate by his first name.
There are various other ways to address them without losing
the dignity of a master, i.e., a familiar form of the generic
term, or using his surname alone. In short, when addressing
someone, one is to choose the most appropriate form which is

best suited for the role relationship as well as his status.

 

12Similarly, oba-sama, oba-san, etc.. for a woman.

’5
...,

 

I” -\'-'T m'xl' v—wvv n.‘-_‘ ...j-‘L

229

The cultural basis of a good etiquette is illustrated
by the fact that for a Japanese person to not use any
addressing form, i.e., the suffix 33mg, Egg, etc., such as
in America to call another person's first name, of a person
equal or older, is a very uncomfortable thing to do. He is
so accustomed to show his respect for a senior person by
using proper formal addressing form attached to the last name.
The Japanese social structure has a considerable influence
here, as has been discussed before. The situations where
those whom one can feel "colleagues" are so limited: the rest
of the people with whom one works with (as called "colleagues"
in America) are actually either senpgi (senior) or Eghgi '
(junior) to him, rather than EEEEl (one's equals).13

Also one's choice of the second person pronoun, one
of many, is important. Unlike in English, there are many
ways of addressing another person with the use of second
person pronoun. Among any two people, the way of referring
to each other shifts as both get older: there are children's
way, high school way, college way, and an adult male with
another adult male, or with a female, or female with another
female, and so on also reflecting one's social standing and
regional differences. Each role relationship has a standard

set of second person pronouns to refer to each other.1u

 

13
Cf., Chie Nakane, Ja anese Sociegy (Berkeley: Univ.
of California Press, 1970). .pp. 23:27, 59. and 129. Also,
Koji Iizuka, Nihon no Seishin-teki Fade (Tbkyo: Iwanami,

1952). P. 52.

1“Certain language forms are developed among differing
professions, and referred as shokugyB-go. The customer is
usually addressed as o-kyaku-san or o-toku -san (kyaku means a
guest, tokui means a good customer) by those n the service
industry instead of second person pronoun.

 

230

Along with the preper use of language, another very
important element in social ritual is the tone of the voice
as one talks. One is not to raise his voice so as to indi-
cate a feeling of dissatisfaction or defiance, or questioning,
if the relationship is to be friendly and polite. Certain
excitement is natural, and free expression of such feelings
is allowed among the equals, or among one's family members,
but not with others in a more formal situation. One seldom
hear shouting in Japan, except in particularly lower-class
sections of cities in Kanta region.15 This is the manner]
that the refined women, particularly of those in Kansai
region of ancient capitals, most frown upon as a violation

of the very basic social code of good etiquette. For them

a silence may substitute any overt expression of disapproval.16

A proper gesture, and avoidance of excessive gestures,
too are of importance in Japanese social rituals while talk-
ing. The correct usage of language should be complemented
by the apprOpriateness of body movement, and so on. This
subject will be discussed later. Particular ritualized

language of greetings will too be discussed later.

 

15In contrast to Kansai women in general, the region
is known for crude mannered women among lower-cultural strata
fam11108e

1Gl‘or example, in Yukio Mishima's Kamen 22_Kokuhaku
there is a scene where the main character as a child writes:
"I was so excited cabout 'bein ' TenshB, a stage actress,
by putting all sorts of mother s clothe on me: that I
could not see anyone's face, as I walked in. . . . Then,
I happened to look at my mother's face. She was just
sitting there, silent, looking pale, as if in an abstracted
state of mind. And when my eyes met hers, she quickly
dropped hers. .
I understood. My tears started to wet my eyes."
(Tokyo: ShinchU Sha, 1950), p. 18. .

 

 

231
Proper spatial behavior

By observing Japanese everyday behavior, it might be
quite accurate to say that there is a standard distance for
_each type of interaction, both formal and informal, and also
for both private and public interaction. More formal visits
include all the calls of §yg§g, public or official calls, or
visits of a specific role relationship in the form of instru-
mental relationship as well as any visit stemming from a
gigi, i.e., obligatory visits involving greeting, reporting,
expressing gratitude, condolence and a call of inquiry after
a sick person, and so forth. Informal types of interaction
take place among family members, close friends and neighbors,
and close relatives. In some occasions an informal visit
might start off with a formal distance greeting, for example,
between aunt and niece or even among two cousins when the
two do not see each other too often.

These standard distances in Japanese everyday life
seem somewhat different from that of the United States and
quite different from the Arab situation as described by E.
Hall.17 Hall points out that spatial behavior patterns are
culturally dictated. The Japanese spatial pattern fits well
with the Japanese architecture, e.g., size of a room, and
Japanese furniture fits well with the Japanese interaction
patterns. Japanese genkan (the vestibule) and engawa (an
Open corridor - the wooden portion outside a tatami room)

are quite significant in Japanese social interaction from

 

17Edward T‘. Hall, The Hidden Dimension (Garden City:
Doubleday, 1969).

 

 

I'IJI‘IIII'II,
lune) ..w b. u—
I.

232
its spatial aspect.

A single most influencial form of Spatial behavior
pattern in Japanese interaction comes from that of the tea
ceremony. It is particularly so in instances of formal
interaction. More gracious adults, women in particular, would
follow many specific rules of the tea ceremony even in their
everyday life. rfii

One of the most familiar scenes of a Japanese home is «

a family living room where everyone is sitting around a

 

table (which usually is rectangular and used as a dining L‘J'
table for each meal), or at a kotatsu18 in a winter: each -
person sitting on a zabuton (a cushion of approximately 22

to 2” inches square, filled with cotton wool).19 In a kotatsu,
one sits with legs down, and the quilt will drape over one's
front. Thus, knees and legs of those who are sitting across
are closer than when sitting with a table, but at either case
no portion of body touches with each other's. Accordingly,

the usual distance of two interactants sitting across would

be somewhere 3 and a half to h feet, as it is most informal.
In case of an ordinary table,sabuton's front edge comes just

about directly below the edge of the table. Therefore, the

 

18Kotatsu is the most common way in which a traditional
Japanese house provides heat. Usually a half a tatami (a
Japanese floor covering, about 3' by 6' in size) or longer, is
removed in a winter and below it a box-like enclosure is con-
structed. A source of heat is placed in the middle of that
floor. The regular table is removed and a frame, a quilt or
blanket over it, (which hangs to the floor, thus containing
the heat), and a board is placed on top as a table. The usual
living room is about 6-tatami or 8-tatami in size. The Tbkyo
tatami size is a little smaller than that of Kansai region.

19There are usually some guest zabuton, saved for ‘
fo rmal vi si to rs .

 

 

233
distance of interactants sitting across from each other would
be slightly wider than the case with kotatsu, namely, about
h to 5 feet. Two persons sitting next to each other would
be 2 to 2 and a half feet apart, as the width of zabuton
prevents any person from sitting closer, as well as one would
normally feeling very uncomfortable sitting closer,than that
distance. At that distance, interaction is relatively free
and comfortable. The distance of two interactants sitting
at two adjacent sides of a table at a 90 degree angle would
be somewhere between 2 and a half and b feet, and in a famil-
ier situation especially when there is no other interactant
the distance tends to be the shorter, particularly for two
women.

It is interesting to note that, somehow, having a
table in front enables the interactants to adjust their
spatial distance, and, in general, it is shorter than when
there is no table between the interactants. That is, where
no table is between interactants, the usual distance is far
longer, somewhere from five to six feet or longer in case of
a former call, if the room allows such distance. Careful
observation would reveal that in case of a formal visit,
the usual practice is to sit at both ends of the length of
the table, namely about five to six feet apart, and if the
table is round or too small, then one of the interactants
may not be at the table at all, sitting away from it. The
more humble of the two interactants may be sitting near an

entrance while the other sits in front of the table.20

 

“As in Mishima's Shiosai, where the wife of the light-
house keeper is visiting the strong minded Terukichi.

PW" '-

 

23b
The standard distance between two interactants in a

Japanese style room thus discussed seem to apply also to the

interaction distances in a Western style guest room of varying

sizes. If the room is larger than an ordinary Japanese room,

which is 6 or 8 tatami room size, sofas are arranged usually

in such a way to accommodate the distance of interactants in

a similar manner as in a Japanese style room, that is, sofas rfi]
are placed at the opposite sides of a coffee table, not “fl

wider than 2 and a half to 3 feet away facing each other.

 

This would be a very comfortable distance for a relatively ."
formal visit. However, due to the nature of sitting in a LA]
sofa, that is, one sits with a slight inclination toward back,
the distance of two interactants may become a little wider.
Hence, very often one may sit on the edge of the sofa while
visiting, so to maintain the normal interaction distance.
In a familiar visit, the two interactants may sit side by
side or by facing each other at 90 degree angle by using a
side chair so that the distance would approximate that in the
Japanese room. If furniture is placed in such a way as to
(Figure 1) (Figure 2)

H: host
h: hostess

 

A: guest

B: another
guest

0: the
third
guest

 

 

 
 

 

 

 

 

 

 

 

. 09/22..
0 E ,,

F: furniture
other than chairs and sofas

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1,

(Figure 3) (Figure h)

D?
L?

 

vesti-
bule

W!

 

 

 

 

J,
FIT]

extra chairs

 

 

 

make that arrangement impossible, then, one of the inter-
actants, usually the hostess, may pull a small chair aside,
of sits on the floor near the other in a very informal occa-
sion, at 90 to 135 degree angle, as illustrated in Fig. 1.

At any rate, usually it is arranged in such a way to
have flexibility for both the two general situations, formal
and informal. Two can sit at the opposit positions as in
Fig. 3, or at far ends as A and B are in Fig. 2, or A, B,
and h in Fig. 2, depending upon the familiarity and intimacy
of relationship of the interactants. Usually, the host
indicates where the guest is to sit, choosing the most honored
spot, particularly in a Japanese room, because of the 3252:
22:23 (the area where a scroll is hanging and a flower arrange-

21

ment or a incense burner is placed), and the host would

choose his own spot. In a Western setting, a guest has more

 

21That is called kamiza (a seat of honor, literally
meaning is "upper seat") whereas the seat closest to the
entrance way is shimo-sa ("lower seat' ') and others in between.
Kami-za and shimo-za are called Jo-za and ge-sa in the tea
ceremony usage of Ura Senke School.

 

 

236

freedom to choose (because it has no Egggrgg-gg); then the
second person sits where he or she wishes, and so on, and
then the host chooses a spot for himself, usually near a
door.22 The host may move around to find the most pr0per and
comfortable spot for himself, that is, the comfortable dis-
tance from guests and the comfortable for carrying their
conversation without straining their voice. As it has been
mentioned before, the tone of conversation tends to be rather
low, and having to raise one's voice is to be avoided.

An exceptional situation is that of a non-friendly
visit calling for some sort of settlement. This is known as
hisasume danpan (knee to knee negotiation), when both parties
become excited enough to come closer in Space, and the dis-
tance of two interactants may be shorter and without a table
between, thus the name. Since it would be too impolite to
raise one's voice, the short distance means it is not neces-
sary to do so, although often voices are raised a little.
Perhaps because this nearness is too threatening when not
sitting on the Japanese style floor on a zabuton, this special
pattern does not occur normally among two arguing people
standing.

It is often the case that usually in hisasume danpan
(which is usually a figurative expression) a caller represents
a group or another individual trying to negotiate something
‘with_a person who has the power to change the situation.

The caller may be a tenant representative, for example. So,

 

22This may be a habit of a Japanese room, where the
seat closest to the exit is the lowest position in the room.
However, it is for the convenience of bringing refreshments.

 

¥

23?
it starts with a formal visit form of lower ranking visiting
a man of higher position. And, thus the distance is about
5 feet or more, or maybe at the distance of a superior-
subordinate position, i.e., the latter sitting by the entrance
rather than coming to the table by assuming a guest's posi-
tion. The man of the house is in his own usual place, some
point at a table, usually at the seat of honor, kamiza, if

it were in the living room?3

or, wherever the place of his
choice after the caller has chosen his spot. Normally in a

case of this sort, someone would do annai (escorting into the

 

room), and then the man of the house enters later if the
meeting place is not in the living room. If it were in the
living room all others will inconspicuously disappear - the
wife to the kitchen and children to their room, and servants
to their quarters.2u When the discussion becomes heated,

in actuality the distance may not become closer, as it would
be too uncomfortable for non-intimate people to visit in the
distance Just cross the table. The normal distance far enough
for a face-to-face familiar visit would be too short for any
existing hostility, and this sort of position taking may
supply the mood for a person to "tell it like it is" to the
person to whom he normally would not dare to speak in such a
manner. However, the over all mannerism of the caller, par-
ticularly in his use of language, is to be courteous, polite

aadr'espectful or the other can leave the room at any moment.

¥

23Naturally because he is the head of the family he
occupies the kami-ea .

quhen some service is needed, a traditional, or old-
faShioned, man would clap his hands to call a servant. Some-
tin es the wife may respond to his call, as in Yasushi Inoue's

zishu Heiya. This practice is limited, however, among the upper
rate.

 

 

 

twang

238

If a negotiation is to be carried out at the house of
a man of lower position and the man whose position is higher
comes there,then, it would be more like an ordinary formal
visit of such a role relationship. When the caller is con-
siderably higher in position than the host, the host may take
the form of receiving the caller with honor, and stay away
from the table, giving a good distance of 6 to 8 feet. The
caller is to be treated with proper deference, after all, the
person of higher ranking would not visit the lower person's
house unless he was ready to make a compromise or to make
a request about a particular thing. Thus the host should
feel good and must not insult the caller in any way or offend
him. In these cases, however, except very special cases,
most often the caller of higher position would not stay, i.e.,
would not "come up" inside the house, but would just finish
his business quickly at the vestibule, often standing. And,
would ask for a visit to his home for a later date if needed
more time. If he responds to the host's request to "come up"
into the room, it is normally understood as a: sign for the I
farmer's friendliness toward the latter. But if he does not,
it is not to be interpreted as unfriendly; after all it may
be out of his consideration for the host, to spare him of the
bother and possible embarrassment.25

In more familiar and intimate situations such as a
n"Haber and a child in their home, when the child has something

that he really want his mother to listen, then he may come

‘

250f not having a good enough refreshment, or a guest
zathuton,and so forth. But most of all, to spare him and his
fire of the concern over their own behavior regarding proper-
nests,

 

 

239
closer to his mother, often at a touching distance if not
actually touching something about her, e. g., the zabuton
on which she is sitting, her kimono's sleeves, or whatever
she is sawing or mending, or he stays standing up by his
mother who may be sitting on tatami. In non-serious conver-
sation, children may be at any distance within the same
room, or a next room if visible. Other family members also 'r*‘
can be in any casual position in their home. Thus, inter- ' lei

action among intimate family members can be at any distance,

 

and enjoys greatest varieties, but they tend to remain at a ,v
distance of a familiar visit or further in non-serious con- E_j
versation when they are by themselves. In serious conversa-

tion between parents and older children, they would normally

sit at a distance of a familiar visit.

Ordinarily, one does not prefer to sit in front of-a

 

stranger at a distance of social interaction as discussed
earlier, unless it is a situation such as on a commuter train

where individuals become a non-person, and thus not disturbed

 

by another's presence in such a vicinity. Therefore, often,

a coffee house, which has to make the maximum use of a limited
floor space, may arrange chairs for two as in an airplane
fashion, looking one way, with acoffee table in front of

Oach of them. However, the coffee shops which are not primarily
catering the young dates would most often have an arrangement
0? four chairs with one table in the middle, as the other type
“ould be most inappropriate for business conversation or any

Other less romanticly inclined customers.

 

 

21:0

Unexpected encounters on a street which develops into
more than a brief greeting would be most likely done in the
fashion of two persons side by side, particularly en the city
street because of the heavy traffic, or slightly on an angle
rather than standing facing each other. When facing each
other, it would require a longer distance, as discussed before,
about 3 to h feet, or longer in an open air situation, as in
Fig. 1, below. When the two encountered are close, particu- “fl“
larly when they are female, they will most likely stand in

a way so that they can bow at each other without bumping each

 

other, but at a very close distance. They may bow in an
angle, with their faces turned to each other, (Fig. 2), to
maintain the distance of familiar interaction. Their bodies

remain in the angle.

 

(Figure 1) (Figure 2)
_ Their faces
<"\ /*“3\ /" .L?> tilted to
H H r see each
\- J/ L\~/ “H“ other as
More formal they bow.

When people are waiting for another person or an event
in a public place, such as in a hotel lobby, they may sit
farther than the formal interaction distance. In such case,
one can assume that the other is not primarily interested in
conversing but preferring just to sit and wait. No offense
18 intended, as the formal interaction will commence as the
Permon whom they are waiting shows up or the event takes
Place. Neither one is responsible while waiting in seeing

‘ulat a cordial interaction continues in that setting: both

 

2&1
have the right to be himself - perhaps being a non-person, and
rest.26 It would be proper, however, if one wishes to visit
the other person: he can excuse himself first, move closer

to a chair at a proper distance for conversation, and then

initiate a conversation. Then, the other has to respond to it.

Generally, the interaction distance of various other
fizg§2’(non-private) situations such as in office seem to
follow the basic pattern of a formal interaction. Only when
the superordinate wishes his subordinate to come closer, he
can so indicate either verbally or by a motion. Or, the
superordinate can walk up to the latter, to the informal
interaction distance. Yasushi Inoue in his novel entitled
Hzaheki (Wall of Ice) so vividly describes the veteran moun-.
tain climber's boss, the head of the company's Tokyo office,
at work.

When the space does not allow the subordinate to stay
at the formal distance as discussed earlier, then he may come
closer in front of the superordinate's desk. But, most often,
the subordinate would most likely to remain standing at a spot
just inside of the door as he enters his boss' room when
the superordinate has a single office or when called to a

small conference room.

Place for interaction. Relating very closely to this
ltandardised distances between interactants in the Japanese

TVeryday life is the use of place appropriate for a given

‘

26It is commonly believed in Japan that the one who is
nor. socially conscious is the one who breaks silence. If
<3 people are sitting in a distance suitable for conversation,
one of them has to take the initiative to carry a conversation
Just to be polite and courteous.

 

H"

 

 

2142

interaction. Where interaction would take a place, where
who is to sit, and so forth are fairly well standardized,
and most people do so automatically without giving any par-
ticular thought.

For example, all the vendors, goyE-kiki (those who
come to take an order for the day for a store, e.g., butcher,
dry-good store, vegetable and fruit store, wine and Eggs store,
and drug store) or deliverer of theirs, and bill collectors
are all supposed to come to the kitchen door and complete
necessary business interaction there, standing outside the
kitchen door while the housewife, or a maid, or whoever, would
stand inside, or sometimes not even coming to the kitchen and
just respond from another room. Some houses have an intercom
at the gate, and much of the business is taken care of through
this system. These men, when they have to come inside the
gate, they would come to the kitchen door through a side
door at the gate, called ura-kido (small wooden door to the
back side)27 or kgtte-guchi (entrance way to kitchen), and do
not enter through the main gate. Servants also traditionally
do not use the main gate, unless accompanying their master.
Children also use the side door.

Among the various store representatives, a notable
exception is the old custom whereby a Japanese kimono store
wOuld send its senior employee, 222£§' to the home of selective

mlstomers.28 In order to show the materials in a home setting,

¥

27'It could, as the term indicates, be located actually
3“! the rear side of residence. It may be located away from
13h e main gate.

28This practice is to encourage the customer to select
a few pieces, and keep them until the bant5 visits again.

 

 

21:3

he would be asked to come up29 to the living room, where he
would have ample space to show the bundle of kimono and 22i_
materials. More conventional Eggti would sit right by the
door, the lowest position in the room, and may not even
accept the courtesy of zabuton to sit on.30 He thanks for
it, folds it in half, and pushes it back.31 This expression
of modesty is shared by other business people in a similar
situation, such as a 5222 specialist who comes to the cus-
tomer's home to change and tune a set of strings. Since
they are in a room where usually only guests are invited in,
their professional code of behavior does not allow them to
behave in the manner of a guest, because that would be most
improper.

Occasionally some interaction may take place at engawa,
which is a sort of open corridor, three to four feet wide
(or pider depending upon the size of the house), and is the
wooden floor portion adjacent to a tatami-room. One can step
out from engawa to a garden. The caller might be a casual
drop-in neighbor, and she may stand away from engawa or she

may sit on the edge of engawa while visiting. The hostess

k

Meanwhile, the customer would have a chance to consult with

her husband and he can make a decision on the purchase. Only
th' P1°°08 that the 2323i considers most becoming for the
customer are brought over in the first place. It would be very
Gasy for the customer to buy more often than otherwise.

291t is "up" because it involves taking one's shoes
o1"t"and.actually stepping up to the floor from the ground
lfivel in order to come inside rooms.

30Cf., The scene in Yuzo Yamamoto's Robb gg’Ishi.
Chapter on Akai Ito (Red Thread). Also Dazai's Ningen Shikkaku.

31This custom of folding a zabuton when returning it
18»'becoming less common today.

 

 

 

Zhh

may sit either in the tatami portion or in engawa, the
wooden floor section. She may get a zabuton for the caller
so she can sit on the edge of engawa, but that is usually done
after her invitation to "come up to visit" has been declined.

Some of the social calls at home are in accordance with
the formality which stems from a specific role relationship,
involving a giri. This would be a more ritualistic visit,
such as bearing gifts, or to discharge an obligation by coming
for aisatsu (a courtesy call, formal greetings) for a specific
reason.32 In such occasions, usually the visitor stands in
the genkan, the vestibule, on the ground level portion of it.
Politely the recipient of the greeting (usually the wife and
not the husband who plays the role of the recipient of a
formal call even when he is at home), sits in the upper
level of genkan, a tatami portion, close to the edge, thus
making the position of heads about equal in height. If the
caller is considerably lower, such as in a direct super-
ordinate and subordinate relationship, or a child, then the
host does not sit. She may step down to a lower level, a
wooden portion, of genkan to receive aisatsu, the greeting.
Standard greetings are exchanged, and then additional cour-
teous remarks, which too are ritualized, are exchanged, then
the visitor excuses himself and leaves.

It is up to the host to invite or not invite the caller
to come up into the room for a longer visit. Usually the

guest is invited in to the guest room, often Western style,

‘

32For a fuller discussion on various occasions for
making courtesy calls, see the section on the standardized
.fiisatsu in everyday life, pp. 259-62.

 

 

2H5

adjacent to the vestibule, where tea and sweets are brought
in. Coffee and fruits or cakes may be used in substitution
or in addition, depending on the availability and the dura-
tion of a visit. Normally the guest room is the extent to
which most visitors will ever be invited. In other words,
the guest room is a quasi public zone of private home. The
rest of the house is for the family and for their private
1ire.33

Some visiting relatives, if close to them, or close

friends may be invited to the family quarters, as they too

 

are like "insiders." This invitation to the family quarters
is done in such a way to be apologetic, "It is lacking of
politeness to have you come in to this humble place, but I
hope you won't mind. . .. it is more relaxing here," or "It
is untidy though . . . , but it is warmer," and so on. There
are various standardized such apologies. LThus a proper
apology is made to treat an outsider as an insider, as a
ritual. The visitor, on the contrary, usually feels that he
is really accepted in that the family is willing to open
their private portion to him,3“ and returns his ritualized
proper response. The above apology is ritualistic, and it
has to be said because to respect others in Japan is to show

one's assumption that the guest is accustomed to finer things

~

33In some families where the family-servants distinction
118 very rigid, servants come to outside of the living room
‘dlen called. Servants are simply not allowed in the family
I‘00m except for servicing or cleaning. They stay in their
quarters.

31"An exceptional situation is when a former servant or
0thaer'house employee visits his or her former master' 8 home.
on he may be honored by invited to a guest room as a guest,
an elevated new status.

 

2&6

in life. It is the same as when offering refreshments. Thus,
the standard phrase such as "Would you take this? I am afraid
it would not suit your taste, but . . . ," (i.e., not as good
as you are accustomed to eating, etc.), or something like
"This is just a little . . . as if to soil your mouth (okuchi-

zogoshi)," is used as a social ritual. The standard response

is, "Oh, no, quite contrary, . . ."

F_‘
or some similar remarks. 1
One's failure to do so would be clearly in violation of social

code.

 

Thus, there are quite standard ways by which each ‘_1‘
visitor is received in a proper place in a Japanese home. i‘
Distinctions are made so as to show each caller a proper amount
of honor, intimacy and courtesy expected of the particular
role relationship and the nature of the visit.

Once a guest is invited into a room, there is a tradi-
tional rule in regard to the seating order in any Japanese
style room. The seat nearest to tokonoma (the space slightly
elevated above the floor where a scroll is hanged and a flower
arrangement, a bonsai, or an incense burner is placed) is the
kamiza, the highest place of honor. The seat closest to the
opposit, near the entrance door is the lowest, thus shimoza.

One automatically gives some attention to this rule of seating
in a social situation in a Japanese room whether it may be at
home or at a restaurant room. There are various criteria that
one might use in the rule application. Age, official position,
occupational ranking of a general sort, the main household

and the branch families, sex, and kinship relationship might

2H7
be used as such criteria for seating. Suppose a person who
may be occupying a public office of distinction, and thus
socially higher, but in their private relationship he considers
himself below the other. e.g., a judge with his grade school
teacher whom he respects, would insist not to take the honor-
able seat, whereas the school teacher would insist that the
judge take the seat. After a ritualistic exchange of argu- E?fia
ment back and forth, one would accept the honor with a proper L

standardized statement. Normally the guest would sit in the L

 

more honored seat, thus there would be no problem of this 3
sort in most cases. However, when both are guests, then, it a_j
is settled by applying one or more criteria mentioned above,
or any other criterion. The person who is forced, or pursuaded,
to accept the highest seat may move the seat slightly off the
spot if he feels not deserving such an honor or feels rather
presumptuous to accept it. If the room has no tokonoma, the
seat closest to the entrance is still the lowest seat.
Thus, in Japanese everyday interaction, we see numerous
traditional customs and standardized do's and dont's about
behavior patterns with regard to physical distance and space
of interactants, and also the sense of proper places. These
rules as customs have been practiced and enforced as standard-
ized good manners. People simply accept them as the way of
doing things, and they have been rather strictly observed until
very recently. A change in living patterns due mostly to
who economic changes and younger people's orientation to
more comfortable living quarters, and a trend of shifting to

more and more single family units rather than multi generation

21+8

dwelling, some of the customs are doomed to disappear gradu-
ally. 'For example, many dwelling units have only one entrance
as in an apartment building, and many houses have no gates.
Hence, most likely, a new set of social rituals will develop
in time, but mean while we might expect some degree of confusion.

The relatively rigid spacial customs in Japan seems to
have helped the members of the society to interact with each tn]
other without threatening each other's position. What is “'4'

helpful in this accord is the distinction between Ezake (non-

 

private, official) and watakushi (personal, private) world. + '
One can be relaxed by knowing he is being pr0per so long as (LJ
he follows the social rituals, and that he distinguishes the
hro World, that of M and watakushi.
A breakdown in traditional customs such as discussed
above may lead to a more egalitarian form of interaction,
1"- e it does not matter where one sits, etc., when a young
3’0“!) meets. However, what such a breakdown of customs does
t° the quality of interaction in everyday life, we cannot be
°°rtain. It may be more egalitarian but more confused, or
sun“ might feel uncomfortable and insecure, for one is not
Bur. how his action may be interpreted by others when there
13 no standardized pattern to follow. Yet, it is more likely
that only a very small portion of social rituals will be
°°mp1ete1y lost in the immediate future and the rest will
°°nt1nug to be practiced by the majority of the population,
particularly the more cultured segment for a long time to
gun“. The continued appreciation of ceremonies like the tea

°°r0mony will support the retention of everyday traditional

2H9
interaction patterns and good manners. The papularity of
the tea ceremony does not appear to be lessening at all in
spite of the massive Americanization among the younger urban

Japanese.

Standardized greetings

Ordinary people in the course of a year would experience
innumerable number of occasions in which they employ standard-
ized greetings without giving any special thought. Greetings
usually come natural to them, and much is an automatic res-
ponse to another's or to the specific situation. When one
enters a very special situation, which he is not too familiar
with, however, he will become concerned as to his knowledge
and ability to execute the proper manners and proper things
to say that are called for by that situation. He may rehearse
them in his mind many times, and goes through that occasion
perhaps with some nervousness and very much aware of each
step of the sequence of actions. If the other interactant
behaves in such a way to indicate that everything is proper,
then he would be relieved. In many occasions, such as a
young person attending a funeral for the first time, for
example, there will be many others including many who are
thoroughly familiar with what to do. One feels comfortable
at the thought that some others are just as a novice as he,
and if he is wise he would follow a person who is well
aOquainted with such situation. If one is already familiar
with the correct rituals, then he would be very relaxed knowa

1ng‘that he can meet the expectation of others well.

 

250

Various Japanese greetings for which standardized
patterns have developed through a long tradition may be cate-
gorized in the following general groups: (1) everyday greet-
ings, (2) for ceremonial occasions called kan-kon-sa-sai
(the ceremonies of coming of age, marriage, funeral, and
ancestral worship, and other similar occasions), and (3) for l_p
the occasions arising from an obligatory relationship or an a“
event, such as indebtedness, and so on.

Everyday greetings include both familiar form and

 

formal forms, the former among family members and the latter J
with others. As in most other cultures also, family members

greet each other in the morning. When all sit at a table for

any meal, everyone says "Itadakimasu" (meaning "I receive

this with appreciation") and ends with "Gochisoesama" ("Thank

you for the delicious meal," or "Thank you for your treat

and your work in preparation") which may be acknowledged by

the person who prepared the mea135 by one of several standard

responses equivalent to "You are welcome," or "Glad that you

" and so

enjoyed it," or "It was not much of special . . . .,
on. Such expressions as "Osaki ni shitsurei" (meaning "Excuse
me for doing this before you,") and'bsakini,it for short, for
doing something ahead of others such as taking a bath, retiring
for the night, or having started to eat without waiting for

the person who came home late, or getting service before

Others, also is relatively unvarying everywhere. "Oyasumi-

nasai" (Good.night) is said mutually among family members.

‘

35By the host as well as hostess in case of a guest.

251

This too is rather standardized throughout Japan, but a slight
variation is made to suit each person, reflecting sex, age,
and role relationship just as for any other greetings. When
one leaves his home, for work, for a school, for shopping or
whatever it may be, while someone else is still at home, he
would say "Itte mairimasu" or its variation, and this is
responded to by another standardized greeting, "Itte irasshai,"
or its variation. Upon returning, he would say "Tadaima L
kaeri-mashita," ("Thdaima," for short), meaning “I have just
returned home," first thing as he enters the house; others
greet him with "Okaeri-nasai" ("Welcome home"), normally
dashing to the vestibule to meet him.36 L

Among the people outside of the family,exchange of
civilities tends to be more formal in general, and hence sounds
politer. Depending on one's relationship with the other, a
specific form would be used, following the general pattern
of the language usage with each person's relative position.

Outside of the home, the Japanese everyday etiquette
and civilities include some which are more universal and
some which are more peculiar to the Japanese interaction.

Bowing,37 at any rate, represents the basic form of Japanese

‘—

36Except for children. In most families children do
not use the main entrance, and often come around engawa near
the living room.

37In the tea ceremony, there are three degrees of bowing,
the doc est and the light bowing, and one between. Shin, gx_,
and.£§y the deepest, inbetween and the light) bowing have to be
distinguished as to when to employ. Both host and guest must
“80 the one most suited for each specific occasions what is
bQingdone, etc. Cf.,SBho Suzuki and Sakan Suzuki, graeSenke
W (Tokyo: Shufunotomo Sha, 1962), pp. 214-25. In a non-
t‘a ceremony situation, sai-kei-rei, standing, bowing with hands
1”numbing knee caps, is the deepest bowing and reserved for the
“Furor. Eshaku, bowing sli’ghtly, is the most informal type.

 

 

252
civilities. The greetings as one meets a friend, or as they
part, are essentially the same as those in other societies,
such as in the United States as far as verbal exchange is con-
cerned. Occasionally, however, we find a very colorful sort
of local greetings, such as among Osaka merchants, known as
23253 sh'6nin.38 Greetings for meeting someone after a long
absence from each other, being introduced for the first time,
are the sorts of greetings which reflect more of Japanese
cultural and social characteristics in overall politeness,
but their basic ideas are rather universal.

Just as basic courtesy as answering with "Hai" when
one's name is called, are such social rituals astroperly
excusing oneself and acknowledging others. Excusing oneself
before entering a room or another's house, before leaving a
place, before asking a question, at passing in front of another
person, to turn back against another, and other similar situa-
tions are considered to be the most essential and basic part
of everyday etiquette in order to avoid any misunderstanding
as to one's intention or lack of deference. Also the courtesy
of saying "Osakini," as mentioned before, likewise, is expected
even when one got there earlier and therefore entitled to be

served first,39 or passing through a door before another person.

__

38They often greet each other with a greeting, "M3kari-
makka" (a dialect for Mfikarimasuka, "Are you making good pro-
fiit nowadays ") instead of an ordinary "Good afternoon," or
How are you' type of greetings. Certainly, as in any other
sOciety, local greetings often include special concerns and
a special reference is likely to be made for that topic in
their everyday greetings.

39A letter from a reader, a housewife, appeared in a
dally newspaper's readers' column in appreciation for the

 

253

In other words, it is not an apology but an expression of

one's concern for others. It is simply a social ritual.

There are many occasions which call for a ritual of

acknowledgement. It might be acknowledging something another

person did, or it may be acknowledging something one did to

others. For example, an apology for having kept another

person waiting, or to show appreciation for others' work,

or a recognition of one's good fortune, for which everyone

around him receives credit are such occasions. These are

not unique to Japanese social rituals but there are some

01pressions which reflect Japanese culture and not too readily

translatable into English. For instance, GokurB-sama (meaning

'mank you for your hard work," "It was a good work," etc.),
has no equivalent greeting in English. This expression can

hit used in substitution or in addition to the regular expres-

sion showing appreciation, "Arigatfi . . ." (Thank you), when

'0 rk is completed. This expression may be used by the person

for whom others worked,”0 or to acknowledge each other among

those who worked jointly when the work is completed.
Although expression of appreciation, gratitude, and

otiller feelings are quite numerous and they too represent the

10 cal tradition and personal differences, there are some basic

a:Lements which are to be included in such expression. For

\ *—
QOurtesy. It stated that the word "Osakini" by a lady instantly
fhanged her irritated mood for having to wait for service so
a<>ng. This letter indicates that those who have social grace
.be still very much at ease and that good manners are very
tfective social rituals in avoiding intra-group conflicts.

M We January 3, 1972. Also, supra. P. 216.

., uoThere are a variety of standardized responses, e.g.,
It was quite all right," or "It was tough all right . . .
Ql‘ "It was easy," and soon. -

¥

 

 

 

251+
example, one’s reSponse to an inquiry of his health, his

family, his business and so forth, is very much standardized.

Or, let us say it begins with a standardized phrase. Other-

wise it would not sound proper. Such response should always

contain in it "Okage-sama do," meaning "Thanks to cyour good

influence, or good fortune, or everyone's help, or whatever)"

which literally means "Because of (your, or whatever'sa sha-

dow," and hence a free translation would be something like

"Thanks to everyone," or "Thanks to gods' protection," etc.

It is to show the humbleness and also appreciation for the
forces other than his own that are influencing his life for
tho better. What is inferred here is that, whatever good

thing that is happening to him is not to be credited to him-

a|°1f but it is due to others and a good fortune. One's

having talents and achievement also are included here as a
300d fortune. Hence one still has to recognize it with the
°2pression, "Okage-sama de. . . ." Even if a person is not

‘10 :lng too well, but mindful of the fact that things could be
'0 rse, one's answer to a kind inquiry has to be something like

I
Lokage-sama de . . . nantoka . . ." (Thanks to you and every

on. two are: somehow managing it . .' .). Also it is part of

the Japanese interaction ritual that one does not complain

aJDshut one's misfortune. The beauty of Yasunari Kawabata's

1‘ 22 Odoriko (translated in English under the title: Dancers

\‘1-
°\t‘ Izu) may be due to their attitudes about life.

As it is evident in the above mentioned greetings,
Inamy of everyday greeting words in Japanese come from the

1‘1 rst word, or the first portion, of a complete sentence.

 

 

 

255
The unsaid portion can be conveniently supplied by the inter-
actants. By leaving much unsaid, feelings can be conveyed
quite fluently from the context and expressions. Eloquency
does not necessarily make it more convincing than a few
words properly said at a proper moment. If those greetings

were to be translated literally, they would not make much

no

sense at all, for it is the substantial and crucial portion A}

that is being omitted. For example, "Konnichi-wa," (equivalent ‘ I

to "Good afternoon") means literally "Today is . . .," and

"Yfikoso" to mean "Welcome," is from "YUkoso irasshaimashita," f'j
u

 

("How nice of you to come"), which is still short for a more 4*
<30mp1ete greeting, such as "How nice of you to come in spite

le'such a bad weather tor great distance, or inconvenience,

iiisc.3" but the portion unsaid is understood by everyone con-

<>esrned. "DBzo" and "DBmo" are said to be the most convenient

‘V<>rds for any foreign traveler to Japan, and these two words

Ellre probably the most frequently used words in Japanese

‘7cscabulary. Qfimg literally translates as "indeed." Its

IMeaning is usually situationally determined. It could be

u'Jl‘hank you very much, indeed," or "I am terribly sorry,"

U
'I[ am so sorry to have kept you waiting,’ and so on. "DBmo

otsukarensama deshita," means "Indeed it must have been tiring

for you,’ and "DBmo aisumi-masen deshita,’ means "I am so

Borryfl or "Please forgive me, and is an expression of apo-
10gy for various situations. "DBmo ky'ashuku. . ." and "DBmo
osore-irimasu," both are very common expressions, meaning
'hI am much obliged," or "I am overwhelmed with gratitude."

Honce, "DBmo" could stand for any one of these sentiments.

256
In addition to these everyday greetings, one of the
very basic etiquette in everyday interaction calls for a
prOper address for the other interactant. It is unlike in
English, one's usage not only reflects his socio-cultural
background and social role of the person being addressed,

but also their relationship. As mentioned before, the cor-

 

rect usage of Japanese language requires that each person F?"
be placed in a proper relationship to others,"1 and how one
would address another person-is of no exception. There are
some differences due to the varieties of local dialects and
sub-cultural differences,"2 but the degree of deference and LJ

the degree of formality and politeness expressed in each
greeting are very much alike anywhere in Japan.

Social rituals for the ceremonial occasions, which

1‘3

are called in Japanese kan-kon-sB-sai, are much more specific
38 to what one must do and behavior patterns are highly

1‘1 tualized. Aside from the religious rituals regarding these
occasions, one's social interaction with others at such occa-
aions contains some very formal and highly ritualized behav-

10 1: patterns.
\ _._

"1m. Chapter IV. pp. 199-206. This is very clearly
Presented in Kawabata's Izu £2 Odoriko and Yukiggni, for example.

1”One of the most conspicuous variation as a sub-culture
13 the students in middle and high schools. It may be known as
saakusei kotoba, rough and least polite. In some cases, even
8 r s imitate boys' speech pattern in that period. However,

t is limited to their conversation among themselves, and
they shift back to the regular speech pattern at home, as in
lqishima's Kamen no Kokuhaku, the main character. They too
I"list talk politer)? t. o the teachers and other adults. It is
cl\lring this period, among the boys, they call each other with
:Crely their surname, i.e., without any ga_n or .199; most of

e.

"3the ceremonies of coming of age, marriage, funeral,
and ancestoral worship, and other similar occasions.

257

Perhaps the most commonly celebrated of these special
occasions is the New Year, for it is the most significant
holiday in Japan. Everyone literally goes through a New Year
greeting as he meets another for the first time after the
New'Year day during the general New Year period."" The greeting
begins with a formal phrase, "Akemashite omedetfi gozaimasu,"
or’a variation of it, which is equivalent to "Happy New Year,"
‘with an exchange of bows, which would be followed by another
.stmndard phrase expressing one's gratitude for the other's

friendship (or, patronage, in case of a business propriator

 

to his customers) for the past year, with another exchange

I:
1

0f bowing, then followed by a request that friendship (or
Patronage, or good influence or whatever) to continue through-

out the year which has just began. Again, another exchange
of bowing.

In the New Year, one is to visit the home of those
who are significant to him in a formal call, aisatsu. This
may be on the first three days, and the occasion is nothing
“‘0 re than a ritualistic call, aisatsu, to pay a respect."5
For others, instead of a personal call, it is customary to

8Grid a postal card, specially printed for the New Year greet-

ing. Since all the cards which are mailedby a specific time

and so indicated are delivered on the New Year Day, one would
\

""Traditionally January lst to 15th was considered as

This period was called Matsu £13 uchi (Pine Enclosure.)

"5While the year-end call is an o-seibo (year-end gift),
at“cl a gift is either personally, or mail, or store delivery,
aOnt to those in giri relationship to express appreciation,
‘.g., students to their teachers, a shop keeper to customers,
a~l'ld among those who are business associates. The New Year
aisatsu, however, does not require any gift, as it is for a

Ormal personal greeting. In fact, the visitor may receive

2~toshi-dama (New Year present, usually money).

suche

258

be careful not to omit anyone from that original list unless

addresses were not known.

There is a special meal for the first day of the New

Year. Much of it is prepared in advance: the idea is that

even housewives do not have to work on New Year Day. Each

house is decorated with special New Year decorations in each

room as well as the pine tree decoration at the gate. One

tries to pay off his debts before the New Year, and it is

truly a new start for another year. People even wear the

'very best kimono for at least the first three days of the

Iiew Year. For many children these are the only occasion to

iwear kimono. Most people still seem to prefer to dress up

141 a traditional kimono rather than in a Western style
clothing for New Year celebration, particularly women. There
are also some Special games that people play, such as karuta

( poetry card game) and hanetsuki, an outdoor game of battle-

Clsare and shuttlecock. Some people start the year with

v':|.siting a shrine for good luck and protection. New Year

ins truly a national holiday in that no one is expected to
"tork in the New Year Day: all the stores are closed and almost
all restaurants too are closed, for employees are to take time
or: for the New Year celebration at home."6 Traditionally
I>eop1e in some professions, such as carpenters, plasterers
and gardeners, took time off for about the first half of

\January, whereas most offices reopen for the new year after

‘the three day celebration of New Year.

‘

Many young office girls

"SIn the traditional hnkunin-shujin (servants-master)
lrelationship, servants and employees who lived in were given
'time off to go home at the New Year (O-shu atsu) and o-Bon
iseasons. It is very much like "going home for Christmas.

 

259
report to their office on their first day of work, January
hth, with the New Year kimono on and with the special hair-
do. There is an expression "It is like having o-shfigatsu
and 2:§2§'together,"u7 for a splendid occasion in a family.
Children anxiously wait for New Year and a very Special mood

is created everywhere in the New Year time.

 

As for the third category of greetings which are It“?
essential etiquette for the occasions arising from g_i_ri, one's
special personal relationship to another and thus obligating
the former to make a formal visit, usually bearing a gift. ; j

The general term for this sort of greetings is aisatsu. --—~~
some of the occasions which call for a formal aisatsu visit
may be for _w3_b_i_._ (apology), for o_-_r_e_i_ (showing appreciation),
2~mimai (inquiring about health, sickness or injury) , and
8"tune general occasions to report a special event. The caller
is usually the one who is obligated, and the recipient of
the call is generally the one who is rendering his good
influence, or having helped in the past, or somehow being
looked up to, or in a position to receive an apology, namely
in the other end of girl relationship. Hence, to neglect
wheat is called for in gig relationships would be considered
ungrateful or having no sense of duty or lacking in apprecia-
tion. A young artist in Yasushi Inoue's novel M 121-22

g“ts out of a taxi and starts to go toward the house where
\

"7O-Bon is a Buddhist All Souls' Day, or known as the
30!: Festival in the West. All the deceased members of family
IԤturn home during O-Bon period. There are many festivities
ch are connectedlwith O-Bon, e.g., Bon-odori, a communi
dancing for which the youth in particular enjoy "practicing'
\r Month ahead, and tSrB-nagashi, lantern-offering on the
fiter.

260
his old teacher from out of town is staying, as he happened
to be in the neighborhood because of his cousin. But he
changes his mind about visiting him. "I will make another
trip. I happen to have a sport shirt, and it is not prOper

for such a visit. . . ."h8 Even when such a formal call has

a good probability of developing into a little more social

one, the young artist like anyone else does not feel right

to go with a casual attire.
Usually these obligatory calls, however, are completed

Iin the genkan, the vestibule, in a very formal manner and
<>ften without developing into an informal social call. Most
(If what is to be said is standardized. Perhaps the most
unpleasant sort of aisatsu visit would be to having to go to
Someone's house for a formal apology. Such are the situa-
tions that Mishima describes as:

The question of courtesy is peculiarly troublesome.
The Japanese, by common consent, are a courteous people,
immoderately given to smiling, bowing and offering
presents. It is nevertheless true that a Japanese who
goes with a big basket of fruit to the house of an
acquaintance, and who leaves only after innumerable
smiles and at least a hundred bows, experiences such an
intense feeling of relief at having accomplished his
social duties that he may tell himself as he leaves that
he need never in his lifetime visit that household again."9

"BY. Inoue, Yashu Heiza (Tokyo: Shincho-Sha, 1971).

"But if he is such a great person, he would not make
a fuss over that you are wearing, would he?" Misako asks.
Tatsumi, the artist, responds that .

"He wouldn't, . . . but I just do not feel right. I
want.to be wearing a proper attire when I see a person
whom I respect."

"But you are so near here . . . .

"No, I will come back another day. . . ." (p. 112)

“9

Mishima, "Party of One," p. 10.

 

261
By the very nature of it, to make a call to apologize

is embarrassing and unpleasant. In some serious cases, a

third party is asked to accomplish the difficult task of
requesting forgiveness as will be discussed later.
Whereas more pleasant of these obligatory aisatsu

visits are such occasions as a formal call after a couple

retuens from their honeymoon trip, or to bring a new born

baby to those whose help was essential for the young couple's
marriage and those people whom they perceive as having kind

concerns over them.50 Similarly, to make an occasional call

Of go-kigen ukagai (literally means to inquire about a person s
feelings) to pay respect, as in case of the young artist

mentioned above. These calls often develop into a social

call although when the social distance is considerable bet-
‘fhen the caller and the recipient of aisatsu the caller may

fool uncomfortable to stay any longer than necessary, i.e.,

to finish the formal part of greeting. An excuse such as

"I would like to, but I must go," would be acceptable with
grace when invited in to visit longer. The invitation

"Would you like to come up?" is a social ritual for the

l‘ocipient of greeting in showing warmth and courtesy. But

understanding the other's discomfort, it will not be insisted.
A very common practice of making a formal call for

aeason's greeting, with gifts, at mid-sumer and at the

¥

soAlso in Yushu Heiza, there is a scene where a young
couple was embarrassed because they knew they should have
Gone to aisatsu Mrs. NBsho: (They happened to meet at a gallery)
"Oh, it's you." "How have you been7 How are you two

- getting along lately7"
. . . I know we should have called on you to aisatsu.

. . . We did get married, . . . after having troubled
you so much, you know . . . ." (P. 587)

r _ ,

annfi‘
Var—e.,

 

262

year-end, also is very similar to these in nature. Again, it
is usually the recipient of the other's favor or influence
who visits the latter. These formal calls are a custom in
such role relationships as a store keeper and a customer, a
pupil and teacher, or those who are in a Special gig; rela-
tionship. Such visits are expressions of gratitude for the
other's favor and a requeSt for continuing good influence, ““1
good patronage and so on. With the spreading of residence
earound the big cities today, to make a personal visit is

becoming very difficult and time consuming that there is a

 

tendency to accept a substitution by mail or a gift to be _J
delivered directly to the recipient from a department store.
It might be added that the task of making a formal m

Call is often entrusted to the wife.

_Rogarding proper attire to wear: occasions and seasons

In most any society there are some standard on cloth-
ing, and some are closely observed while others are not.
If not more rigid than the custom in the West, the Japanese
custom in regard to proper attire seem more extensive. To
dress properly is an essential part of Japanese everyday
I.‘Iituals, particularly among those who are more traditionally
<rriented. For instances, a special shikifuku (ceremonial
Elttire) is called for ceremonial occasions of a considerable
importance. Traditionally it was a set of 229.23. and hakama

(a.coat and Japanese style pleated skirt-like outfit for men)
alnd a pair of white 3332;; (equivalent to socks) for a man,

and a black Special kimono with designs in front and lower

 

263
portions for a woman. For men, a morning coat and striped
pants are replacing the old hgggi'hakama in many occasions
nowadays but not among more traditional occasions such as
the tea ceremony and a g2_match, the scenes described by
Kawabata in his novel Meijin.
At any rate, as an old Japanese saying goes, "kejime

o tsukeru," (making distinctions between varying situations) , MALE

wearing a Special attire for a given occasion does seem to
help the individual to change his pace of living and his

mood may become more adjusted to a different occasions. A

 

common expression in Japan is that one does not feel the J

g.,
\

(Dccasion fully if he wore ordinary clothes. Hence, each
<>ocasion of ceremonies brings the solemnity, joyous mood, or
nmourning, or whichever that occasion accentuates, to the full
extent, as one feels something special when he wears something
Special. In the dramaturgist's language, each ceremony marks
iirl event clearly and makes the "actors" in the "theatre" much
Oasier to become totally involved in the "drama" of their
everyday lives. Japanese people are veryLmuch aware of the
effect that one's clothing has upon him. gage pl 32 Eng,
“flhich means literally "fancy clothes make even a pack-horse
“man.look like . . .csomeone special, or a person befitted
for whatever occasion it might be:," emphasizes the impor-
tance of clothing in making a person look good. It does not
go as far as to say that clothes make the man, but, neverthe-
ILess, clothes make a person to appear right in a given role,
and thus aid him to behave properly in it. One's appearance
Glicits others' response accordingly as discussed elsewhere

in this paper. Also the effects that clothes have upon the

2615
person who wears them cannot be overlooked when considering
his thoughts and behaviors. The wife of the light-house
keeper in Mishima's Shiosai, a former school teacher, puts
on a crisp white linen two-piece dress when she was about to
'71 sit influential, stubborn old Teru to discuss a serious
ma tter: she felt like standing up straight51 and ready with

confidence. Other village women, as she passed by and met,

 

«‘1" ‘ ' '

sensed that she was about to handle something special or go

somewhere Special for a serious occasion. So, they decided

 

to give her moral support by coming along with her when they

-
E'm‘e C" 7"A r
H— ‘

learned where and why she was going, but they were extremely
conscious of their everyday clothes which they happened to
have on as they arrived at Teru's house. That is, to wear
a oso uki (going-out clothes) seems to have two general
.ffects: (l) on oneself, i.e., to put him in the mood to
bOhave accordingly, and (2) also as an expression for one's
reapect for others and the other interactant in particular.
Partly for economic reasons good clothes are to be
“-11 taken care of, it is also for the reason of comfort that
“‘0 st Japanese people change their clothes when they return
the from work or school. Hence the distinction of everyday
110:“ wear and going-out clothes is a very practical one.
Japanese salaried men would all wear Western style suits at

‘Ork, but as soon as they return home most of them would
\ _—

51The Japanese expression is shan-to suru, which is
‘h tonym of such words as she eru and kujikeru, being wilted
b!‘ flaccid or discouraged. uch elements as being confident,
-ing purposeful and holding oneself with dignity are among
the supportive emotional elements for a person to feel shan-to

m with upward look.

265
changes into a comfortable kimono first thing after entering
home. Western clothes do not really fit Japanese living at
home, e.g., trousers would wrinkle when one sits on tatami
floor, etc. Besides, it helps them to feel that they are
home, to get rid of their attire which represents their
§zg§g and work side of life.

When a man comes home from work, and finds someone
familiar is visiting the family, the chances are that he
would excuse himself and slip into a comfortable Japanese
kimono first. And, he would relax in his kimono while
Joining his familiar guest and family. If the guest happens
to be a formal one, he may postpone his changing into a
ikimono until the visitor leaves or he may still change his
clothes first depending on who the visitor is.

When one is working in working clothes and someone
comes for a formal visit, he would change his clothes to
something a little more respectful to meet the guest. Like-
‘Iise, a housewife would take her apron off before greeting
a guest.

For a woman, a Western style simple dress would be
easier for work and not costly. Unlike men's business suits
women's dresses can be made by themselves rather inexpensively,
and, therefore, are more common as a fudangi, everyday wear,52
Oxoept among older women who still wear traditional kimono

811.the time. When Japanese women want to really dress up

‘

_—
w— _—

52The fact that a great number of Japanese women sew
t“IOir own.dresses may be easily observed from the number of
<1l‘ossmaking schools existing in everywhere in Japan.

 

266
53

they would more likely wear a good kimono. Many Japanese

women do not feel adequately dressed up in Western style
clothes regardless, but the economic factor may hinder many
of the less affluent women from being able to dress up in

a kimono in the recent years.

With regard to foot coverings, su-ashi (stockingless

 

or feet that are not covered with tabi, Japanese socks) is 1
considered informal and impolite traditionally. Women always

wore a pair of white tabi throughout the year when dressed

 

up to go out,particular1y visiting others, even in the midst JJ
of the summer heat. This traditional custom is still seen “
in Japanese everyday life even with Western style dresses:
a polite caller would have stockings on even in summer time.
As for men, a pair of white EEQiDare worn for a
formal occasion, as late Premier Yoshida was known for his
favorite attire of a silk kimono with white 2221, which
represents a very gentlemanly style of old Japan. In a less
formal occasion as well as at home in the winter time a
black pair is commonly worn. Men at home usually wear them,
or nowadays some men may even wear socks instead of 522;.

'Uith their kimono at home.

types of kimono and special occasions for them. Depend-
:1ng on the degree of formality and specific situations, dif-
2ferent types of kimono is to be worn. As men folks wear a

morning coat and striped trousers in the most formal occasions

‘
WT ——-

53Tanisaki's novel The Makioka Sisters very vividly
Portrays the sisters' kimono wearing habits and their feelings
for them. Here we see the element of luxury about kimono.

267
today as in the West, women would usually wear a traditional
Japanese shikifuku (ceremonial kimono) which has some design
in the lower front portion but the rest is black, and a family
crest in back, called suso-mqyfi (Eggg means the bottom section
of a kimono and ggz§.means decoration or designs). 92;
sash for a formal kimono too is a formal kind. Both colors
and the size of designs on them reflect the person's age,
hence a suso-moyB of a younger woman tends to be very fancy
and colorful, with big designs, whereas that of an elderly
woman would be more shibuiSu'taste and subdued. A formal 32;
is basically silver and gold brocade with some other colors,
again reflecting the age and taste of the person who wears
it. The designs on both suso-moy3 and a formal gbi'are
standard items symbolizing good fortune, longevity, and so
on.55 All shikifuku as well as semi-formal h5mon-gi, which
wall be discussed later, has a family crest at least in the
back.56 A suso-moxfi is worn with a white collar of the
second layer of kimono, nagagjuban, slightly showing through
the front. Thus a suso-moyo requires a special naga-Juban

to go with it.

‘

5y"Shibui" literally means the astringent taste of
IPersimmon.juice,.but it is a very much preferred taste on
‘color and design which are quiet and subdued, opposite of
laright and colorfulness. For an introduction of this concept,
is; a special issue on the subject, House Beautiful, August
0.

n 55A kimono with a family crest is called mon-tsuki
( Idth family crest"). More formal ones would have five, one
iln the back, two in.the back side of sleeves and two in front
‘Side of sleeves. Itsutsumon means a formal kimono with five
5521 (crest); some have only three, and quasi-formal kimono
auchas homongi usually has only one 9393.

56However, each suso-moyB is made one of a kind, and
n"for twa alike.

268

If a man should choose to wear a Japanese style
attire for such a formal occasion, then he can wear a 3223;:
hakama, as mentioned before. Both his kimono and Egggi'must
be montsuki, or monpuku, bearing family crests. Most formal
montsuki has dyed crests whereas semi-formal montsuki may
have nuimon (embroidered crests).

A highly ritualistic and formal but uniquely different F*‘}
from others is a funeral. The attire that the relatives of

the decedent and some other attendants at a funeral wear is

 

called mofuku (mourning clothes). A man usually wears a f
formal or dark Western style suit with a sheer black cloth —JJ
band around upper arm, or a formal haggiahakama Japanese
outfit with black Eggs; tassles. Women's mofuku is all black,
with family crest, specially made for the purpose. Even
£533; is a special black pair, worn with white 393;. 93g
sash too is all black, but may have some woven designs. Un-
like the above mentioned shikifuku or suso-moyfi, there is no
dyed or embroidered design.
As for a lesser formal occasion, there is more freedom
to choose different types of kimono to wear. The semi-formal
Ikimono for women, called hfimongi (literally means "kimono to
‘wear for a formal visit"), are possibly the fanciest kimono.
IFor a young women before marrying, there is a furisode (hgmggr
.33_with extremely long sleeves almost touching the floor).
3For a formal tea ceremony occasion the guests usually wear
*3 homongi, and it is for that reason the particular attention
Given to homongi designs in front and around shoulders are

said to be developed. Better homongi are specially made

269

for the person: since the design continues over seems, the
size should be known before the design is dyed on. Again,
designs and colors reflect the age and liking of a person,
Just as in suso-moyB. There are many mass produced hfimongi
today, however, which are not custom designed, nor one of
the traditional silk but synthetics. In the New Year, one
sees many young girls wearing homongi and visiting shrines
and also visiting others. Young girls wear homongi for
their friend's wedding reception or other special occasions.
Traditionally, a bride changed from the wedding suso-moyfi,
which she wore for the wedding ceremony itself, into a fancy
h3mongi57 to attend her reception: some bride may change
several times, wearing different homongi in display of her
family standing. Incidentally, traditionally a certain style
of wedding outfit, such as wearing a white uchikake (a long
outer dress, worn over head historically)was not allowed for
a commoner, but such a social distinction is disappearing
today.

Earlier it has been mentioned that age difference has
a great deal to do with the design and color of kimono that
one wears. Perhaps it may be interesting to mention here
that a baby is clothed with a red kimono, and he or she would

l>e in a nicer red kimono for his first visit to a shrine,

k

57A1so known as ironaoshi in Kansai area because
the basic portion of it is in colors in contrast to the susc-
m with black background. In a traditional marriage, the
'3ride's parents prepared more kimono than she can possibly
"Car in her life time, and the amount of things that she
took with her was counted by the number of vehicles it took

to carry them.

 

 

270

hatsu-dee. Of course, the babies clothed in Western style

 

clothes follow no such custom, however, regarding the color.
An interesting old custom is that, in the back of’a kimono
for infant, traditionally, a small design of various sorts
is stitched with thread, slightly below the collar, as a
good luck symbol to drive away harmful spirits.

Another rather outstanding custom about kimono is its Dena
seasonality. It has been discussed earlier that a different

situation calls for a specific type of kimono. Likewise, a

 

different season calls for a specific kind of kimono, regard- '
less of actual temperature of a given day. E1323 (un-lined) wij
is to be worn between May through October, and‘ggggg (lined)

for November through April. The sheer (32 or £22) silk and

linen are for the summer months of July and August. A woolen

hitgg would be for May and October. The comfortable cotton

zukata is basically for after-bath wear, as the name indicates,

and thus is worn around home in the summer months with no

tabi.58 And a wata-ire, or tanzen (or dotera), a kimono

with cotton filling, too is a fudangi (everyday wear) which

is to be enjoyed at home in a cold season.59

Needless to say that these traditional customs

actually free anyone of a concern and self consciousness

g

58Possibly the only women who wear a zukata with
‘white tabi are Japanese restaurants' waitress or Japanese
inns' maids.

59An exception is in a resort town where "at home
‘attire" may be worn around the hot spring area. .Often one
sees the inn's special dotera or zukata on the streets.
This custom is to help inn guests to step into and out of a
INOt spring bath many times a day. Hence a hot-spring resort
town has a special atmosphere.

271
over being out of place with regard to a proper attire, which
seems to be a common worry when a girl wears a Western style
dress. Following the traditional customs, one always knows
that she is in the right. It also helped to feel the change
of the four seasons very keenly and dramatically. Women who
wear kimono everyday tend to associate and recollect an event
of past with the seasonality of kimono: "Yes, the day I went
to . . . , I remember it was a day slightly too warm for
an unlined o-meshi (o-meshi weaving of silk). So, it must

have been late September . . . ," they would say.

 

As it has been mentioned before, to act one's own age
is very important etiquette in Japan traditionally, and
hence observable through kimono designs and traditional
hair styles. ‘For the Japanese, very loud colors are for very
young people and older persons are expected to wear a kimono
Vith subdued colors and smaller designs.60 Generally speak-
ing, this preference is also applied to Western style dresses
in Japan, at least to a certain extent. Thus, in one's
clothing, she is to attain varying taste for it, possibly
£1112 (bright) or £15; (polished, chic) while young or becoming
Inature, and then move on to develop shibui taste as one
matures. Even while young one might choose to be j_i_n_1i
(Quiet taste) in his or her choice of clothing.61

\

60 0When a person becomes 60 years of age, it means

°Ompleting one circle of the Chinese calender of et__o_ and thus
08.11“] kan-reki (returning to the year of birth), symbolically
0 would wear something red, the color for the new born, on
him, e.g., Juban (the second layer of kimono), or a vest.
6:I'Particularly true of the women who are married to

o:l-<ier husbands. Cf., the heroine in Hzoheki who is a senior
‘Qzlentist' 3 wife.

272
This is to say, perhaps the Japanese customs about

clothing helps one's acceptance of his own age more graciously

than in the West. The wide application of school uniform

seems to aid this in that school periods are transitional

and wearing of a school uniform helps students to identify

with both school itself and the age group to which they ‘

belong. When a college student graduates and wears a business

suit to report to a new job, it provides an excellent psycho-

logical transition for the new role from the old. At any

 

rate, as Mishima mentioned eloquently, somehow there is a . J
62 ' "

grace and dignity in the Japanese older people.

.5, Ocial consequences of violating social rituals

Social crisis occur when an interactant's behavior
is a violation of acceptable and respectful manners, for such

behavior is interpreted by others as an expression of a

rSegative intention. Even when a deliberate negative inten-

tion is absent, at least from the conscious level, never-

t:l'leless such a behavior pattern would embarrass other inter-

a-<:>1:ants and hence constitutes a social crisis. On the other

hand, of course there may be some occasions where one behaves
in accordance with the rules of good manners as he perceives

the situation and the relationship call for, yet the other

interactants judge differently, In such cases an unnecessary

sociial crisis occur and one may be insulted or angered by

\

a 625u2ra, p, 189, When anOrder of Cultural Merits was
awarded to a poetess Yaeko Nogami, she commented that people
be most kind and considerate of her advancing age. £3113;

\shimbun, October 27th 1971. She was being modest and did
no t even talk about her accomplishment.

273

the other. However, such is more of an exception rather

than a rule. In contrast to a more highly ritualized society,
in a society where interaction patterns tend to be more casual
and informal, the distinction between varying role relation-
ship becomes less distinct, and such misunderstanding may
easily occur. Thus, in contemporary Japan, especially among
the young people, unless two interactants are clearly in a “.3
superordinate-subordinate relationship or bound by a Special
giri relationship, there would often be some confusion and

a gap in assessment of the interactants for a given situa- j

 

tion and their relationship. For example, a younger and
inexperienced sales clerk who talks to a customer as if he
were on the equal level by voicing his personal opinion
freely would be considered offensive, even if his motivation
13 being friendly and helpful, for he is being very improper
in his relationship with the customer as a clerk. That is,
hung too friendly to someone to whom he should pay deference
13 cltmite imprOper and presumptuous, hence very offensive.

Leading stores usually train their sales staffgvery thoroughly

and supervised well for that reason.

Thus it is quite essential to accurately assess the

“itnation and the type of relationship with the other.
\

( 63The Japanese custom of distinguishing an Ezake
ap‘lblic or official) and watakushi (private or personal)
Jasooiation and situation, particularly among the older
atDanese people, helps to reduce the possibility of confusion
Pth regard to the type of relationship, i.e., affective, con-
it‘lning, or instrument relationship, etc. Also, in a society
:hOre class distinction is very clear, such as in old Japan,
““011 person's behavioral patterns are clearly understood,
“<1 thus there would be less confusion as to the relation-

“hip or the situations.

2714
Furthermore, when a gap is obviously there, at (least one
of the interactants should be aware of the situation, and a
corrective measure may be taken, or just dismissed as some-
thing not significant in case of a fleeting relationship.
It is being said that one would most likely feel good if he
is accorded with the courtesy that the line he is presenting
deserves, but, on the other hand, he would be more likely to T]
feel bad when such courtesy is not extended. Too much defer- ‘

ence may be taken as an indication of a mis-identity by the

 

other, and it too would make one feel uncomfortable, for, LJ 3
sooner or later, he will have to correct the situation. 1
A person who is mature and having accurate self-esteem would
correct the situation graciously at that point so that there
Will be no face-losing incident later. But a person who is
not certain of his self-worth may find it easier to do nothing
at that point and will find himself later in an awkward

P081 tion. At any rate, when one distinguishes the §La_k_g

and Vatakushi situations and also follow basic social rituals,
there would be a very little chance that one would find
himself in disgrace.

Obviously a display of hostility and other disharmo-
nious feelings, such as anger, would cause social crisis.
W11.“ one makes a sly remark, says something to discredit
an°ther interactant, or challenge the line that the other is
prQsenting, would be such occasions. In case of Japanese
.V.ryday life, however, since there are so many standardized

and ritualized behavior patterns for various occasions, so

275

:long as one behaves in accordance to the expected behavior
Imattern there would be no social crisis even in the presence
(zf'disharmonious feelings among interactants. One cannot
ask for others to like him, but he can certainly expect a
courtesy from others. And a courtesy prevents open hostility.
III: this regard Yukio Mishima explains the Japanese smile
ethnich Westerners apparently find unpleasant and enigmatic:

But for us it is perfectly simple. We choose to smile
as a sign that we are sad, perplexed or angry. In other
words, we use the same ambiguous signal to indicate an
unwillingness to disclose whether we are feeling sadness,
perplexity or anger, and the person who has been flashed
this signal should at once respond (accordingly). , .

In short, the smile is a request for a suSpension of
judgment, a su5pension of analysis. In Japan, where
individualism is otherwise not much developed, the

smile has come to protect that freedom of the éfldividual.
At the same time it is an appeal for courtesy.

 

Thus , a smile could be a signal to remind the other inter-

actant that he is being improper, and if he continues an
embarrassing situation is inevitable. Westerners may ask
"In that case, why didn't he get angry in the first place
instead of smiling?" But, Mishima writes, "getting angry,
thGY’ fail to realize, would be discourteous."65 And, that
0’“ cannot do. Historically, as many tales of battles, such
as flescribed in ggikg_Monogatari (Tale of Heike), reveal
that the worriers even in a battle facing the enemy must
f°12l.ow the ritualized courtesy of the battle field and

1r"31'*oduced themselves loudly before attacking each other.

 

\
6“Mishima, "The Party of One," p. 10
5 ' . o, .
I: Locg cit. See also the section under Reigi Cha ter
_v. pp. 16" e , . p

276
In short, a certain amount of civility is expected
of everyone in Japanese interaction traditionally as well
as in the contemporary scenes, that an overt display of
hostility by violating a good manner. is not only an ineffec-
tive way of showing hostility or anger but such behavior

damages the actor himself the worst, for it is really

 

belittling himself as he has to realize that he failed to F]

live “P ‘30 the 500131 standard, Even to "score a point"66 ‘
as Goffman talks about, is not only unnecessary but really

not respected among the Japanese and considered a sign of _ 3' ‘
being small.67 It may be used when the social crisis had .~ J

gotten beyond a merely embarrassing stage and into a full
.blown hostility. One may impress others by his quick wit,
but he can hardly gain respect of others as a fine person

by Such a behavior. The saying "Makeru ga kachi," (to lose
(temporarily: is to truly win), reflects the Japanese way

Or thinking. It means that a strong person does not have

t0 demonstrate that he is stronger, and find victory in
d°f°at, By not lowering himself to the other's level, he
V111 gain others' respect for not being so small. It
f0llews that a person who does not pick a fight is considered

more mature and secure,68 and others will see him as the victor,
\

——v _—

s 67‘This type of hostile behavior fits only in the rough
ub~culture of middle and senior high schools for boys, and,
3sibly, among the lower socio-cultural strata males.

1 68The episode often told with regard to this concept

8‘ about a great Confucian scholar who as a youngstar

wubjected himself to an unreasonable demand of a gang boy and

a‘ht through under the latter's legs rather than picking up

Q tight with him. That is considered to be an incident where

1‘ Greet person would not waste his energy or take a risk of
ehting.

277
Thus considering, in the culture where the certain
(legree of civilities is expected of everyone, even among

69

worthy enemies, its violation would be considered very
negatively as a personal failure. As a consequence such a
behavior pattern will either invoke a social crisis or he
would be so evaluated as to be not worthy of personal
association,7O although he may continue to receive the minimal
degree of courtesy in his instrumental relationships.

In that regard it may be mentioned again that in Japan

it is very probable and possible to maintain an instrumental

 

relationship with a personally disagreeable person without
much emotional distress. Again it is the function of the
distinction made between flak-e and watakushi situations
that in an M, or work, relationship the degree of civili-
ties that are required of each person enables a flow of
interaction necessary for the instrumental relationship to
continue without any disrupting effect even among two dis-
hal'lnonious individuals, as mentioned earlier. Those who
cannot do so are the very "small" and inmature people who
are unable to maintain the.level.of civilities at all time
or those who cannot discipline one's emotions. The sense
0f relativism and the predominance of vertical relationship

800m to help the Japanese in maintaining civilities.
\_

1: 691f the enemy or the Opponent is considered unworthy,
G3.“ one might just ignore him as if he does not exist.
rI‘man's concept of a "non person" may be applied here.

1. 7"Most Japanese do not seem to draw their personal

briends from their office associates. The relationship

i‘tween Uozu and Shimizu at their office, cordial but quite
hdependent of each other, appears to be a rather typical

°§3e. Yasushi Inoue, Hyo'heki, Chapter I.

- 4—

 

278

With the emergence of the post WWII egalitarianism
and other popular American ideologies71 coupled with the
rapidness and extensiveness of social change in the recent
decades, even some of the time honored old ways came to be
viewed critically by some young people as merely being old
fashioned. They may regard some old customs indiscriminately
as a sheer superstition or nonsense or wasteful gestures.72
It is true that some social rituals may have become vestig-
:l.a:l.7‘3 and no longer serve as a mechanism for regulating
interpersonal relationship or enhancing the flow of communi-
cation. But many social rituals are still functional.7u
Yet this distinction is difficult to make as far as some of
the younger generation is concerned partly because of their

Psychological problem of being adolescent. The sudden up-

surg. of juvenile delinquency and meaningless crimes in the

k

71Also liberalism, permissiveness in educating children,
and the "youth-centrism" of America. and individualism as
well as materialism.

72When a family has no guest zabuton the host might
offer a guest the one he has been using, but turning it
°"1‘. Or, when a family has only one guest zabuton, and the
second guest seems to be more important than the first one,
the first one may offer his as in the scene in Osamu Dazai s
M83 Shikkaku (Tokyo: Kadokawa, 1950) p. 73. The young main
character is visiting a former subordinate of his father in a

:18 city, A woman, apparently from a publisher, comes. 30.
h:.:lips out of his zabuton, turns it over and gives to the

h . The host being so busy trying to make a good impression,

t1: flips back the zabuton and offers it to her. She sits by

a . door without the zabuton. This flipping over a zabuton

tfipflrently originated from the idea of offering a cleaner side,
' side which has not been sat previously.

735upra, p. 32.

.q W"Such as walking over and not stepping on tatami;

rr8" in the manner of the tea ceremony. Or when standing up

:10! a seating position, one pulls the foot on the guest's side

mbst so not to turn one's back against the guest when turning.
is too is a basic manner in the tea ceremony.

 

I...“

 

II

1.

279
period immediately after the WWII, under the Allied Occupa-
tion, suggests the effect of such demoralization and confu-
sion of established norms. The Occupation's deliberate
effort to undermine the parents' influence upon the younger
generation had a devastating effect in taking away their
respect for the older generation, In Erikson's words, the
need of the adult generation "to be periodically reinforced

in his role of ritualizer,"75

was not met at least among
many families during that period. Shintarfi Ishihara's various
novels, such as Igiz§_gg'xisetsu, Shokei 22.§212 and Tsumetai
532, all portray this situation and the young adults and
adolescents' reactions. Since then, the post WWII confu-
sion somehow subsided and, it seems. much of the old serenity
has returned to Japanese everyday life. However, Japan is
no exception to the world-wide phenomena of being informal?6
and consequently a general lack of good manners among many
of the youth today seems inevitable, After all, good manners
are often equated with formality, and being formal is being
old fashioned, hence "feudalistic.”

While Konrad Lorenz reduces the acquisition of
manners and morality to the physiological ritualization of

behavior patterns.77

Sir Julian Huxley urges the need to
develop new social rituals. Inasmuch as each new situations

necessitate a new handling, in our life today even more so

 

7SSupra, p, 37,

76A part of Americanization.

77Cf.. Konrad Lorenz, anAggression (New York: Harcourt
Brace, 1966). . .

 

280
than ever, it is essential that new social rituals be
developed.78 Huxley talks of the world danger and states:
Intellectually satisfying patterns of thinking and
emotionally satisfying patterns of expression and action
are urgently needed to canalize successfully man's
overriding world activities - the prevention of nuclear
war, co-Operative world development, the increase of
quality rather than quantity, the building of fulfilment
societies and of open-ended self-transforming psycho-
social system - in a phrase, the proper ritualization of
human destiny on an evolutionary basis.
It is interesting to observe, however, in spite of
the fact that each contemporary younger generation as a
whole shows its rebellious spirit while young most of indi-
viduals seem to grow up gradually into a courteous and
mature Japanese particularly those who are getting into
more responsible positions. The period of Tain 22>Kisetsu
(The Season of the Sun)80 seems to have weathered away since
then, Although the feeling of goal-less-ness and being
"against for the sake of being against," appear to be

characteristic of the Japanese student movements in recent

 

78$ir Julian Huxley states:
"The converse effect is much more serious - the failure
of existing human groups, including the human species
as a whole, to ritualize their behaviour adequately or
effectively in relation to the radically new psycho-
social situations of today, This applies to all three
aspects of successful ritualization - its communicatory,
its conflict-reducing, and its positive bonding func-
tions. Thus the discovery of simple and effective
contraceptive methods, together with the growing menace

of over-population, has rendered our traditional approach
to sex obsolete: new ritualizations are needed to transcend
promiscuity, male indulgence and intemperate procreation,

and build a true art of love with profound bonding
. effects, as well as a manageable world society."
"A Discussion on Ritualization of Behaviour in Animals and
Men," p. 266e

79Ibid., p. 267.
80

depicts t
1956.) -

Supra, p. 279. A novel by ShintarB Ishihara. It
he

 

 

van guerre youth" of Japan. (Tokyo: ShinchB Sha,

 

281

years and hence may leave an impression of a large segment
of the youth to be confused, this may very well be a trend
strongly influenced by the forementioned general world-wide
development, as "it is the thing to do," in their mind, rather
than a rebelliousness of a more serious nature. Moreover,
there is a strong evidence that what makes the news is not
shared by the general populace of Japan.81

In conclusion, traditionally the standardization and
ritualization of behavior patterns in Japanese everyday
life seem to have helped the individual in relieving him of
anxiety with regard to others' reaction to his, because the
compliance to one's own social norms and standard assures
the person of the others' understanding of his intention.
Having the standards so explicit and widely practiced helps
a "novice" to acquire them. The ritual elements in the
Japanese life, whether it may be a greeting or what to wear,
seem also to help the individual in becoming more aware of
things around him, e.g., changing of seasons. stages of his
maturity, shifting moods for various situations, and hence
accentuating various events in his life, and, most of all,
his awareness as to the nature of a given relationship with
a specific person in a specific situation. Thus, code of
manners, i.e., acquiring social rituals, and the compliance

to the societal norms are not unnecessary luxuries, but,

 

8101“,, Akira Yamanaka, Sengo Gakusei UndB ESE. (Tokyo:
Aoki ShobB, 1961) which deals with a history of Post WWII
student movement in Japan: Gakusei Undo Kenkyu Kai, Gendai
22 Gakusei Undo (Tokyo: ShinkB Shuppan Sha, 1960), which
also deals with contemporary student movement; and leading
Journals, such as Asahi Shimbun, Mainichi Shimbun, and
Nihon Keizai Shimbun.

 

 

 

282
rather, very practical as they have real effects upon the
quality of interaction and also the quality of one's life

in general.

 

 

 

 

CHAPTER VI
ON JAPANESE CONCEPT OF FACE AND FACE-WORK

In the previous pages the ritualized behavior pat-
‘terns in a given society and effects of deviation from such
‘traditional manners were discussed, with particular reference
to» Japanese everyday life. Some such deviations may not
Iwasult in any victim other than the actor himself, but in

most occasions a deviation would most likely cause a social
clflisis. When it occurs other interactants would be affected
“by’ it in one way or another and in turn would also affect
tfiie group's solidarity. In the following pages the effect
01? a social crisis upon interactants' emotional well being
"ill be discussed.

When one fails to follow what is generally accepted
as good social conduct, those who witness such a deviation
8.I‘e forced to react to the situation so that their mental
o<luilibrium can be maintained. That is, such an offense,
theloffender's behavior, would (1) embarrasses other
interactants and causes psychological imbalance momentarily
among them and that the normal interaction course comes to
3 halt at least temporarily, or (2) some other interactants
are forced to "save the situation" by doing something to

counter-balance the incident, or (3) others are forced to

283

 

28h

re-examine their perception of the situation and their
evaluation of the offender, and make necessary adjustments,
or (R) simply bring unpleasantness to other interactants.
In other words, in case of any social crisis, a person or
persons' face is either lost or threatened, and others will
become embarrassed.

Goffman states that in a social encounter a person fufia
comes to have a line and this line comes to have positive

values, i.e., it makes the person feel good. This positive

 

value is the face, value of the line. A person becomes f a} “

qr“.

concerned about saving his own face and thefaces of others.1
Without this concern and the techniques that derive from it
the person is unable to maintain face and is therefore made
to "feel hurt." Adopting institutionalized lines makes it
easier to maintain face, i.e., the encounter is in that
case conventionalized.

Generally speaking, in any society, each person

develops a certain attitude toward another person based on

 

1Gouldner comments on Goffman's position as follows:

". . . Goffman's image of social life is . . . rather

of a loosely stranded, criss-crossing, swaying catwalk

along which men dart precariously. In this view, people

are acrobatic actors and gamesmen who have, somehow,

become disengaged from social structures and are growing

detached even from culturally standardized roles. They

are seen less as products QSIthe system, than as indivi-

duals "working the system" for the enhancement of self.

Although disengaged or partly alienated from the system,

they are not, however, rebels against it." (Egg Gomin

Crisis of Western Sociologz|(New'Yorkz Basic Books, I970),

_p. 379“.)—
and that:

"In Goffman's social world, it is not the moral code

(or "respect") but "tact" (or prudent sociability) that

cements. Such social order . . . depends upon the small

kindnesses that men bestow upon one another; social systems

are fragile little floating islands whose coasts have

daily to be shored up and renewed. (£22, gig.)

285

his previous encounter with him. Many times one may form
an attitude about the other person by having received certain
information about him. And, one usually has some people
whom he does not feel enthusiastic about meeting, and in
fact would prefer to avoid encountering that person if
possible. The greeting such as "It is so good to see you,"
when it is said Spontaneously means that the person feels
good because of the other's presence. In other words, some
people are able to affect others in a very positive manner
while some others may have negative effects upon those whom
they may come in contact with. The former type is due to
the quality of interaction that makes a person affect posi-
tively, which has a high correlation with the ability of
the person to interact with others with social grace as well
as the degree of positiveness he feels toward the other.
That is, there are some people who are said to be so gracious
while others are known for their obnoxious manners. The
latter type of a person may be measured by his "capacity"
to turn any given situation into an embarrassing one, or.
uncomfortable one for other interactants by making it
impossible for others to maintain their emotional equilibrium.

Let me illustrate this point. When a person fails to
follow the group norm by not following the prescribed manners
and everyday rituals, e.g., such as not returning another's
greeting or courtesy, the person who first greeted as well
as others present would be embarrassed. The victim may

respond with a displacement ritual to keep equilibrium in

 

286
in himself. Others may pretend that they did not witness
that interaction process, or some may apply a positive
face-work to correct the situation.2 Perhaps the victim
may take the other's action as a personal offense and become
angy, or hurt. For a more serious case, suppose a person
openly makes a sly remark against another in a social situa-
tion, the victim may either (1) dismiss the other's action
as not worthy to be concerned over and so note in his mind
for the future interaction, or (2) he may counterattack

3

successfully and gain a point as discussed by Goffman, or
(3) become shame-faced. In any event, such a situation
cannot be considered a pleasant occasion, and ordinarily
the victim would avoid any future encounter with the other
person. Those who were present at such a situation cannot
help but becoming embarrassed. Hence there is a definite
need for successful face-work here in any case. Goffman
talks about various forms of face-work with regard to this
sort of situation, and not only situations which cause

persons to lose face or become embarrassed, but whenever the

communication flow stops and communication suffers.“ Some

 

2Goffman discusses various types of face-work, such
as a defensive measures, protective maneuvers, and the cor-
rective process. Cf., his "On Face-Work," in Interaction
Ritual (Garden City, N. Y.: Doubleday, 1967), pp. 5-55.

31bid., p. 25. Regarding Japanese perception on this
point, supra, p. 276.

1‘When "participants take on the responsibility of

calling attention to the misconduct," then the offender is
given a chance to "correct for the offense and re-establish
the expressive order, but the offended does not accept the
ritual offering of the offender, it denies the offender his
status as an interactant. And such a strategy is a way of
salvaging face, but "for all concerned the costs are usually
high. Ibid., pp. 21-23.

 

287
resentment and disharmony among the offender and others is
seen as an inevitable outcome, which, in turn, weakens the
intra-group bond.

In the Japanese everyday interaction, the social
hierarchy which Goffman seems to reject cannot be ignored.5
The very basic concept of face and face-work cannot be
considered apart from the structure of society and role
behavior expectations. Thus adopting institutionalized
lines is not a choice but a prerequisite to normal Japanese

everyday interaction.6

In fact, very seldom one would run
into a situation where an encounter is not conventionalized.
Hence the type of the face-losing situations which Goffman
talks about, i.e., relating to maintaining one's line, would

be far less common than in a more fluid type of a society

such as in the United States. Thus some of Goffman's

 

50f., Gouldner' s analysis in his The Coming Crisis
of Western Sociolo , pp. 378-380. He states:

Goffman s avoidance or rejection of conventionalized
hierarchicalizations has, however, important ambiguities
to it. On the one side, it has an implication of being
against the existent hierarchies and hence against those
advantaged by it: it is, to this extent, infused with a
rebel vision critical of modern society. 0n the other
side, however, Goffman's rejection of hierarchy often
expresses itself as an avoidance of social stratification
and of the importance of power differences, even for
concerns that are central to him; thus, it entails an
accommodation to existent power arrangements. Given this
ambiguity, response to Goffman's theories is often made
selectively, the viewer focusing on that side of the
ambiguity congenial to him, and thus some among the re-
belliouso young may see it as having a "radical potential.

P. 379 -

6Goffman states that adopting institutionalized lines
makes it easier for the actor to maintain his face. Cf.,
his "0n Face-Work." See also his discussion on idealization
of performances, The Presentation of Self in Everyday Life
(Garden City, N, Y.: Doubleday, 1959).

 

 

 

 

 

288

analysis is not quite applicable to Japanese interactions.

In a society such as the Japanese society where the
structure is such that vertical relationship is emphasized
in interpersonal relationship and where the properness of
behavior is demanded of each and every individual inter-
actant, any behavior pattern contrary to established code
of manners would cause considerable embarrassment to all r—Ta
participants as well as those who are the immediate inter- I

actants involved in the exchange, One would be embarrassed

 

to witness even as a bystander such a lack of properness or E-J;
lack of civility and would feel very much in sympathy with a:
the victim. Even in a "victim precipitated" action where
the fault of the person invoking the embarrassed response
is clearly established as the victim's, it would be regarded
highly inconsiderate to continue to embarrass others by
behaving contrary to what is proper and expected of him,
i. e., to maintain the basic civility.
On a broader scope, cases in international relation-
ship are not to be excepted, as Lord Ritchie-Calder discusses
ritualization in international relations.7 At this level a
breach of basic civility is interpreted as open hostility,
as such behavior does not add any information except that

the person himself does not want to maintain good manners.8

 

7c:., P. a. Calder, "Ritualization in International
Relations," Philosophical Transactions g§,the Royal Society
2£_London, Ser. B, No. 772, Vol. 251. pp. 551-55.

8The episode of the Secretary of the States, Dulles,
having refused to shake hand with Chou En-lai at the conclusion
of Jenova Convention which settled the French Indochina
conflict over a decade ago, was the case in point. Regardless

289

Moreover, such behavior requires considerable corrective
"face-work" if meaningful interaction is to be resumed
after the incident. In Goffman's words, "face-work" is
institutionalized in terms of rules of self-respect and
rules of considerateness. To engage in face-work is to try
to maintain a balance between poise and embarrassment. And,
hence, some degree of skillfulness in face-work is a neces- (fin?
sary quality of human being.9 -

In Japanese society the choice of line that one
wishes to take seems to be regulated in two general ways: - 'f
fizg§3,(official or public) and watakushi (personal or
private) aspects. With regard to one's line that is di-
rectly related to his official position, or in his public
phase of life, a choice is very limited. For example, a
person occupying a specific office in a bank has to remain
within the limitation of the normative behavior pattern
expected of that role: he has to be courteous to all clients,

must dress accordingly and be able to handle his work

 

of differences in opinions and personal liking or dislikings
one whose position is high enough to represent a nation
would be expected to behave like a gentleman. This is not
only among the diplomats but in any other human communities.
Thus the conduct of Secretary Dulles was understandably
interpreted by the Chinese delegation as a malicious (and
utterly unnecessary) insult against them. And those who
witnessed such behavior were most embarrassed and shocked
by the lack of civility in a man of that calibre.

9Goffman further discusses three levels of responsibility
that can be distinguished: (l) accident, characterized by
innocence, and it is completely unplanned, (2) neglect,
which is a consequence of plans, and (3) intent-purpose of
plans being such. "On Face-Work," pp. lh-lS.

290

well.10 The freedom of choice exists for him only within
that framework. On another dimension, i.e., personality,
he can be kindly or nasty, short tempered, humorous, generous
or miserly, dry or so on, but even this choice is also
limited by the commonly understood code of conduct required
of anyone occupying that particular position. In his non-
business life, however, he had far more choice as to the
line he can assume particularly when he is in a place where
no one knows him from previous contact. A person on vaca-
tion, for example, would feel quite free to assume a line
different from his natural self, like Preedy in William
Sansom's novel, A.Contest 22 Ladies, and present a different
image of himself as he pleases, successfully or not success-
fully.11

In a society where the "work" and "private" life of
the individual are so clearly distinguished, such as in
Japan, it is possible for a person, at least for ordinary
people, to take a relatively high level line regarding his

personality in particular, of course, within the limitation

 

10The use of uniforms, even among the office staff
including the middle management dealing with public, is
very common in Japan. Certainly how to converse with
clients, etc., is very much standardized. Hence, on the
surface, individual differences such as family background,
and so on, do not appear to a great extent.

11William Sansom, A Contest Lf Ladies (London: Hogarth,
1956), pp. 230-32. Referred to by Goffman in The Presentation
gg’Self in Everyday Life, Introduction, pp. #-

In Japanese interaction, the realm of private life
becomes quite narrow in a sense, for if a person has anything
which indicates his identity, such as a company badge or
school uniform, and so on, would solicits others' treatment
of him accordingly. The main character in Kawabata' s Igg,no
Odoriko wore a certain Higher School's cap, etc. Each
person responds to him as "Gakusei-san," and treats him
warmly with respect. .

 

 

291
imposed upon him as the occupant of his official position.
That is, one can hide his true personality which he per-
ceives as unfitting or unattractive to him on the job.
There is societal support in distinguishing the line that
he may assume as a private person (away from public and work
situation) from the line he has to assume because of the
position at work. The difference would be interpreted as
his effort, and discipline, to do well what is expected of
him at work. In fact, at home he can relax and forget the
line he has to take in his work situation, i.e., all expected
behaviors that go with his official position. In other
words, one does not have to live up or play the role that
he has to play at work when he comes home or in any private
and personal phase of his life. A very docile subordinate
at work may be a rather domineering fatherand husband at
home without feeling so uncomfortable about the shift. As
mentioned before, such an individual sees the work situation
as otsutome (meaning "work," but literal meaning is "to
apply oneself hard"), thus sees himself as doing his best
to meet the role requirement in his work situation, and not
making any mistake about that situation from a private home
situation where he can be real himself. The type of a person
who is called familiarly gghigBenkei (behaving like Benkei12
at home) is a good example. It means that he is mild and
meek with outsiders (namely at work, etc.,) but he is

domineering and harder on his family.

 

12Benkei was Yoshitsune's most loyal follower, who,
through his determination, wit and strength, defended and
protected Yoshitsune, But somehow he is seen as someone to
be afraid of in this expression.

 

 

292

On the other hand, for those who occupy higher
positions, this distinction becomes virtually non-existing.
Namely, so much of their private life becomes sort of a
"public domain" that their private realm of life becomes
delimited. In some cases when the nature and importance of
one's position is such that it would be difficult to main-
tain his private life non-public. It would be true also
for those whose occupations are such that their private life
as well as their public life cannot escape the public scru-
tiny,e.g., grade school teachers in Japan in the past, and
to a certain extent even today, or priests and ministers in
the West. Theoretically speaking, then, one's consistency
of behavior in the two phases of life, Ezgkg and watakushi,
at work and at home, may be interpreted as either (1) being
himself and natural all the time, or (2) successfully playing
the role (representing the gzgkg.phase of life) most of the
time if not all the time. This latter case would be a
rather vulnerable position to take and its psychological
cost may be very high.

Hsien Chin Hu discusses the differences in one's
responsibility with regard to maintaining of "face," and

distinguishes the two principal concepts: lien and mien-tzu13

 

13Lien "refers to the confidence of society in the
moral character of ego." The "assumption of human nature
as inherently good places on the individual the reSponsibility
of training his character according to his own light and'
the demands of his status." Hence, a deviation "causes the
group to doubt the moral character of the individual and to
question his ability to perform his role." To want mien-tzu,
on the other hand, means to increase or maintain prestige
beyond one's station in life. While lien is maintained or
lost as a whole, mien-tzu differs greatly in that it can be
borrowed, struggled for, added to, padded, namely can be
gradually increased in volume. "To have lost mien-tzu

 

293
in Chinese culture. He states:

The higher he ascends the social ladder, the wider
the circle of eyes fastened upon his career, the more
he must try to impress people. "Loss of lien" must be
avoided, of course; a question regarding the integrity
of his moral character would cause him to sink low in
the esteem of his group. But no politician, no lawyer,
no doctor, no scholar will expect to rise in social
standing without building up his mien-tzu.1

The Japanese needs for a person in higher position
to maintain the expected behavior pattern that goes with the
position is in a way similar to this Chinese concept of
having to maintain both lien and mien-tzu. However, with
regard to the various situations which would cause an
individual to lose "face" or to be in "wrong face" is quite
different in Japanese situations, it seems, particularly
relating to the concept of mien-tzu that Hsien talks about,
As in England, those who occupy higher offices have more
responsibility in a broader sense of the term, it is under-
stood, and hence so much more is expected of them with
regard to interpersonal relationships.15 In the Japanese
context, it is often difficult actually to say which person
is the real victim who suffers the consequences the most
in case of a social crisis - the offender or the offended.

That is, whether the one who behaved wrongly, or improperly,

is the one whose loss of face would be greater, just as the

 

yw

signifies merely the failure of ego to achieve a reputation
through success in life. Hsien, The Chinese Concept of
'Face ," American Anthropologist,.Vol. #6 n.s. (l9hh),

pp. “5-6" e

lb

Ibid., p. 63.
15Cf., H, E. Dale, The Higher Civil Service 2; Great
Britain (Oxford: Oxford University Press, 1951), p. 50.
Cited in Goffman, The Presentation gf Self, p. 23.

 

29b

concept of‘ligg in Chinese interaction. Any deliberate
and hostile attitude expressed in an overt action is a
breach of social rituals and would bring about loss of face
to the actor himself. However,,there are other occasions
where'interactants lose face as a result of non-deliberate
and unintended consequence of someone's action.

Obviously, the failure of an individual to live up
to what is expected of him as appropriate behavior in his
relationship with others would cause him to be in a wrong-
face. But, the threat to cause another person to lose his
face is, unlike the Chinese practice that Hsien discusses,16
not only unacceptable but would be strongly disapproved
socially in Japanese interaction processes. Therefore,
in such a case, more of the loss of face would occur to the
offender than to the victim. Particularly when it is done
with mal-intention, it is considered most improper, and such
person's jinkaku (character, literally means "person's

' or quality of person) may be seriously questioned.

calibre,’
Differing from both what Hsien Chiu Hu describes, or

Goffman's concept of face and face-work, in Japanese culture

the social properness and the rules of interpersonal relation-

ship excede the importance of one's skillfulness at face-
work. One may say that the former category of actions is
more of preventive ones, as standardized behavior patterns
seem to describe it well as social rituals, whereas the

latter sort is correctional after the damage has already

 

16Such action seems to be tolerated in Chinese
practice. Hsien Chiu Hu, op, cit., p. #8.

U—— —.—

 

295

been done. Hence the rules on good social ritual is empha-
sized more in Japanese everyday interaction,

In the Japanese everyday interaction with others,
one can lose his face by one or more of the following
failures: (1) one's failure to behave properly for the
particular position he occupies in the society,17 (2) one's r__
failure to act properly for the particular situation, and/ j 8?
or (3) failure to behave prOperly with the particular per-

son, namely the other interactant. In other words, in the

 

first case, face-losing situations may occur when one EmJfi
fails to follow the code of good manners befitting to a
person of his position, namely a failure to follow everyday
rituals which are expected of a man of that calibre. A
chronologically mature person behaving like a teenager
would be embarrassing to others as well as causing himself
loss of face. And so does a man behaving like a woman.
Also, a person not behaving preperly for a particular posi-
tion can also cause an embarrassing situation as well as a
confusion which results in embarrassment of the third cate-
gory above. An American self-made man who is dressed like
a worker working on his fancy motor yacht could be easily
mistaken as a helper, especially by the non-Americans, and
may cause some embarrassment particularly at the initial
interaction as others will respond to him as a mere helper.
They could become very much embarrassed when they finally

learn that the man was not a helper but the owner of the

 

17égpgg, the section on Mibun 353, pp. 186-89,

296
yacht.18 A teacher who cannot and does not teach may be
considered to be in this category. In more serious cases,
a certain behavior such as role reversal, i.e., patient
behaving as if he were the psychiatrist, would be regarded
$222.22222 schizophrenia in psychiatric context.19 Simi-
larly a general who behaves like a newly enlisted private
would not only confuse others but be most likely diagnosed
as mentally ill.

As for the second case above, it may occur as a
result of one's erroneous judgement about the situation.
That is, by not accurately assessing the situation, e.g.,
confusing a public occasion with a private situation, one
would not be able to respond with the behavior pattern
appropriate for that particular situation. Hence one loses
face. The master of gg’and his younger challenger in
Kawabata's Meijin, and all others around them also, are
most illustrative of the beauty of interaction among a
group of people who behave very natural and proper with
the atmost courtesy and dignity even in the time of such a
serious challenge where emotional pressure is extremely
high.

An instance of the third category is where one loses
face because his assessment of the other interactant, or

interactants, is wrong, and hence, his behavior would be

 

18This type of "democratic" practice may be con-
sidered in many European and Asian societies as rather
inconsiderate or "bad taste," because, among other reasons,
such behaviors do confuse and embarrass others.

19Supra, p. 52.

 

 

297

accordingly inappropriate. This has to do with knowing
who the other person is and by so doing one can behave in
a prOper relationship with that person. Without accurately
knowing who others are, it would be impossible to place
oneself in a proper relative position with others, which is
most important in Japanese everyday interaction. Thus,
action pattern would be not proper, and would result in
social boners. Embarrassing situations of misidentity of
person are of this sort. Regarding the treatment of others
in more standardized instrumental relationship, the use of
general category, however, minimizes this problem.20

In addition, Goffman talks about losing face when
one takes a line too high and then later finds himself un-
able to maintain that high line. For the various reasons
discussed earlier occurrence of this sort of incident may
be less common in Japan, or in any other more traditional
society where some of the characteristics of pre-industrializa-
tion interaction patterns still remain. It is natural that
any factors that increase anonimity, such as urbanization,
would allow an individual to assume a line higher or much
lower than would be expected as well as a chance for assuming
a new identity.21 The well kept records on families, under
the Family Registration Law, highly developed communication
systems and the geographic compactness of the land, all makes

it difficult in Japan for a person to assume a new identity

20Such as in the customer-merchant relationship.

21The issue of assuming a new identity or becoming
an imposter is discussed in elsewhere. Supra, p. 87.

 

298
in spite of its urbanization. Hence, it would be more
likely that the third category is combined with the first.
That is, regardless of one's claim, when his behavior is
awkward and unbecoming, others quietly reject his claim
without actually leading into a face-losing incident. I
have discussed this point with regard to the use of language

22 It is extremely difficult to acquire another socio-

earlier.
cultural strata's speech pattern thoroughly. The suffix,
-pppp (to behave as if) is used to indicate such a behavior,
e.g., o-jfihin-buru (to pretend as if he were of a noble birth).
Such behavior is doubly embarrassing in that it is in a bad
taste and a violation of social norms for a person to behave
in a manner not befitting to his social position. Hence, to
pretend is bad enough and when it is combined with an unsuc-
cessful attempt to imitate,23 it becomes a doubly discredit-
ing behavior. He causes a loss of his own face.

Thus assuming a line too high is often embarrassing,
At the same time, if a person interacts in such a way to
indicate that the other's line is lower than how the latter
presents himself to be, and the farmer's perception is inaccu-
rate, then such behavior is unquestionably offensive and
clearly a deviation from approved behavior patterns. Hence
gift giving is a sensitive situation, and one must be careful
in choosing a proper item. The choice of gift item reflects

the attitude and assumption of the giver about the recipient

 

225uprao p. 203 and pp. 209-10.

23Any behavior based on sheer imitation is never complete
inasmuch as the imitator can act only as he perceive the be-
habior’of the imitated to be. And such perception is usually
neither complete nor accurate.

 

299
of gift. The gift should be good enough, representing fine
enough taste to which the recipient of it is expected to be
accustomed. A poor quality gift would be taken as the evi-
dence of the bearer's low assessment of the recipient, or
the ignorance of the bearer, or his miserliness.2u Hence,
normally one, particularly when the giver is a member of

upper or upper-middle socio-cultural strata, would play safe

 

and choose the very best if it were for a person of higher

social position while economizing one's own consumption if

 

necessary, And, this is the reason for the popularity of _ "J "1

 

the exclusive Specialty stores and the quality department
stores of high repute as the places of gift item purchases.
The reputed confectionaries are also popular for the same
reason, such as Tsuruya Hachiman and others, inspite of their

almost exorbitant price. In fact, to be able to select a

 

proper item is considered a reflection of the giver's fine
background.

All in all, what would be expected as the principal
cause for one's losing his face would be a breach of social
codes, and either a passive or active violation, That is,
one's negligence as well as intentionally causing a situation
they both lead to face-losing situations. Normally there are
quite standard social mechanisms in each society by which an
ixuiividual can assess other interactants in business situation

or in more personal and social situations so that unnecessary

 

2“Aye Kada in her novel Nagareru describes the year-end
gift exchange custom among the geisha: how they have to be
economical yet have to live up to their prestige, and how what
thgy receive represent ‘each's status in the group, and so on.
(Tokyo: Shinchfi Sha, 1957), pp. ll7f.

300
face-losing incidences can be prevented. A common practice
of exchanging a calling card, meishi, when two first meet,
and any other ritualized devices facilitate each inter-
actant to know others at their initial meeting, and, in
turn, not only prevents unnecessary face-losing situations
but provides a certain degree of comfort, i.e., of knowing“

that he is proper, which promotes the smooth interaction

’ »

process.

It might be added here that, in regard to face-work,

F I s

 

the Japanese seem to expect more from those who have a greater ““J
responsibility over others, for they are expected to know -4~'
better. Inasmuch as the vertical relationship is a very
strong tie in Japanese interactions, one's desire to main-
tain face is not only limited to those among one's own
equals but among the subordinates as well.
It should also be mentioned here that the concept of
face and face-work not only deals with individuals but with
the family as a unit, or even with the employer-company as
a unit, as discussed earlier.25 One is not only to live up
to the line which he has established but also he is expected
to live up to the line which the family has established,
i.e., iegara26 and gpppi (tradition), and so on. Needless
to say that a family's reputation is extremely important to

the Japanese, particularly among more respected families.

Any failure of an individual member is considered as "letting

 

25Supra, pp, 162-6h.

25The standing of a family, family tradition, or
calibre of family.

301

down the ancestors,"

and hence a serious offense against the
ancestors.27 Each generation is to uphold the respect that
family has been receiving from others, or to elevate it if
possible. Otherwise he cannot face his ancestors.

Similarly the company tradition such as "Sumitomo man,"
or alma matter, such as T3dai-de (graduates of the Tbkyo Uni-
versity), are very much emphasized. Anyone failing to meet
their standard would be endangering the group to lose face.
Hence the group as a unit functions as a regulating mecha-
nism. When an individual goes wrong, his family can kppgi
(disowning, disinheritance), at least to show the society
that the family does not approve of him. Still the face of
family cannot be restored completely. In some exceptional
cases, others may see the family as an unfortunate victim
of circumstances, but it depends upon the family's reputation
and standing in the community. In case of a company, the
wrongdoer's superordinates and the company itself cannot
avoid rentai-sekinin although may not be as much as family.
The concept of rentai-sekinin has been discussed elsewhere.28

One's concern over family may lead at times to an un-
warranted tragedy such as the suicide of a young boy who
fails a college entrance examination. But it is more likely
such an incident is accompanied by the boy's mental depres-
sion and fatigue rather than a simple case of loss of face

as is often reported in the West. There are many preparatory

schools known as yobikfi which are designed for those young

 

27A typical expression is "to paint ancestors' face
with mud."

28Supra, pp. 181f.

 

302
boys who will try the college of their choice next year and
Spend a year preparing for the exam, It is related to the
custom of pfipip (from "the masterless samurai" but currently
means those who are graduated from high schools but waiting
for another chance to get in the college of their choice)
in Japan, and there is almost no stigma attached to being a
gfipip, They are in general more fortunate ones in that
their parents are willing to support the young men to get
what they want. After all, there are others who would give
up the idea of going to a specific college of their choice
but would be content to settle with their second or third

choice, whichever they can get in,

Japanese Expressions Regarding "Face"

In his discussion of the Chinese concepts of "face,"
Hsien Chin Hu focuses his attention onha comparison of lisp
and mien-tzu.29 He demonstrates how these two concepts
differ and that different categories of people emphasize
one or the other, or both. There seems to be definite sub-
cultural differences among the various socio-economic strata
in Chinese society in regard to their feeling about one's

face.30 In Japan, however, it is rather difficult to

 

h 29cf,, "The Chinese Concept of 'Face'." §22£§a PP-
292-9 e ' ‘

30§22£§u Po 292n, Hsien Chin Hu demonstrates the im-
portance of the concepts lien and mien-tzu in the relations

of ego to environment. In addition to what has been discussed,

it may be added that mien-tzu "is built up through initial
high position, wealth, power, ability, through cleverly
establishing social ties to a number of prominent people, as
well as through avoidance of acts that would cause unfavorable

comments. . . ," Ibid., p. #8.

 

 

303
distinguish the different amount of concerns shown by differ-
ent segments of pepulation with regard to these two concepts
of face. Perhaps it is due to the lack of concern, and
therefore the lack of the need to have an equivalent word for
mien-tzu in the Japanese language, at least traditionally.
Possibly the traditional concern among the Japanese over
the highly valued quality, seiren (rectitude), worked as a
counter force against one's concern over the type of "face"
as expressed in the word mien-tzu. In recent years, however,

the term mien-tzu was borrowed from China into the Japanese

 

vocabulary and pronounced mentsu (an approximation of the
Chinese original sound) without losing its identity as a
Chinese word. In other words, the concept represented by

the Chinese word mien-tau has been somewhat alien to the

 

Japanese way of thinking and that it has not become a Japa-
nese word even though the word was "introduced" into the
Japanese language. It is interesting to note that the Japa-
nese usage has a slightly different meaning from the Chinese
usage discussed by Hsien Chin Hu, and that the Japanese word
mentsu as used by the Japanese people carries a negative
nuance of "face" in the sense of vanity. It comes close to
an old Japanese term pig. The Japanese usage of the word
mentsu, at the same time, represents a meaning similar to
what Goffman talks as "maintaining a line" also. A man who
takes out his subordinate for a lunch may behave in a very
generous manner and would not show any sign of a miser
because of his concern for mentsu. Or a person who is

challenged and cannot say "No" although it would be more

1

 

310

of her family's concern for its taimen, her love affair has
to be kept away from the public and obviously a marriage is
out of question. Taeko's involvement with a photographer

of humble origin would, they thought, impair the family's
taimen.38 Often a family of high repute, either by its long
heritage or achieved status within a few generations, has
difficulty maintaining the style of life because of finan-
cial reasons. Then they must either (I) adjust their life
style in such a way as to be in accord with their current

income. Or, (2) to sell property, etc., to maintain the

 

style of life a little longer, as Osamu Dazai's §pgz§g or

to move away to a new place so that one's identity would not
be known in the new place that a new style of life can be
deve10ped within one's means. This is a very difficult shift
but Rika in Aya Koda's Nagareru did this way, In either cases
a loss of face cannot be avoided.

Not only life style in general, but one's choice of
occupation must be made with one's consideration for his
family's taimen. Traditionally daughters of upper or upper-
middle class families did not seek any employment. In fact,
their daughters would most likely not be working at all
while in college, for it would hurt their father's memboku
that they cannot support their daughters' education adequately.
Such an episode as a high school teacher working as a cab
driver at night in America would be seen as not a private

matter but a matter concerning taimen and dignity of the

 

 

38Also, the parents would lose face in such a case, as
others would consider it as the parents' failure to locate a
suitable husband for the girl, hence the loss of face caused
by the inadequate execution of role responsibilities.

 

30h
sensible to say "No" because of his over-concern for mentsu
is not a very rare type of man in most any society. A per-
son who has done something wrong yet cannot apologize may be
overly concerned with his mentsu. These are some of the
instances where the word mentsu is used in Japanese inter-
action context.31 In these cases the word mentsu may be
best translated as "one's false pride." By trying very hard
to maintain mentsu one would lose spontaneity in his action
and his insecure feelings are brought out in spite of his
effort to cover them. The word mentsu as used in regard to

Japanese interaction thus carries a connotation that one is

 

g...

obsessed with his ego in the sense of vanity that he has to
keep his front. A contemporary expression of being "on an

ego trip" would represent the behavior pattern of a person
excedingly concerned with mentsu when he has unreasonably
high self-esteem. At any rate, the words taimen and memboku32
and mentsu are not alike: taimen and memboku are rather free
of negative connotation and are "face" in the sense of one's
self-respect and expected behavior of one's role position.
Moreover, in comparison with the Chinese usage of mien-tzu,
the distribution of the usage of the word mentsu in Japan,

namely the frequency in which the word is used among differing

 

31The psychology and behavior regarding mentsu and mie
among geisha are beautifully portrayed in Aya Koda's Nagareru.

32T'aimen and memboku are translated as "face" or "honor,
reputation, a good name, appearance, dignity and prestige,"
and "honor, face, countenance, dignity, respectively,according
to the Kenkyusha s Np!_Japanese-English Dictionary.

 

305
socio-cultural groups and the degree to which one is con-
cerned with, does not seem to correlate with social strata
differentiation, But with regard to taimen or memboku, those
who enjoy a higher socio-cultural standing would be more
likely to have a greater concern for the obvious reason that
the higher one's prestige and reputation are the more he has

to do to maintain them. Of course it is not to say that the

 

lower socio-cultural strata are not concerned with taimen
and memboku. As in case of mien-tzu, any social group would

have those who have more prestige and those who have less or

 

none. Those who have more prestige naturally would be con- i
cerned with their taimen and memboku, and do best to maintain
one's repute.

With regard to the concept of "face" and "face-work,"
there are also a number of other words in the Japanese language
that are similar and yet distinct from one another. Such
words as Egg (which literally means "face," but is also used
as "face" in Goffman's usage, or "to berrow Egg" means to
have one's presence): taimen (pride, honor, etc. which goes
with one's position usually, e.g., as the president of an old
established firm, as the oldest brother to young brothers,
as a governor, and so on); pg (literally means name, but also
‘used as reputation, honor, and so forth): iegara (literally
Insane the quality and standing of a family, usually used to
Inean "the calibre of a family," lineage, pedigree, and so on,
(as certain behavior patterns are expected of given iegara);
kamei ("name of a family," thus meaning the honor and

reputation of a family); kakushiki (literally means "the

306
level of established formality of a family," from kpkp_mean-
ing level, status and standing and ppi§i_meaning ceremonies
and formalities. A family with high kgkushiki, i.e., old
established families, and a family of high reputation, would
have established formalities that go with it and would be
ceremonious); ppppg_(comes from its literal meaning, "shop
curtain" which was hung in the entrance way of business place.

It means, hence, the good name of a shop, reputation of the

 

family business, e.g., furui noren, old shOp-curtain, means

an old established store or business. All these terms repre-

 

I

sent the ppiyp_(honor) and 9225; (tradition) of an individual, i ‘J
an office, or a family, or a group.

The word £32, for example, literally means face as
a part of body, but also honor, reputation and so on. Its
precise meaning is determined by how it is used in different
context. gpp‘plgggp.means "to make an appearance" or "to
show up." Similarly, gpp_p miseru, literally to show one's

face, means "to show up in a meeting, etc.’ Kao p kasu,

literally means "to lend a face,‘ would be translated as "to

' or even "to render one's

render one's personal appearance,'
personal influence tin behalf of the person requesteda." It
could, therefore, mean the actual presence of the person for
the sake of others as well as one's influence. But the
imperative of gpp,p_§gpp, namely "Kao o kase" (impolite form)
or Epp_p_kashite kudasai mean "Come out with me for a minute"
or "I want you to come with me" respectively. The former
expression, 5§p_p_ggpp thus means a sure invitation to a fight

outside the room, or wherever, among the rough ones such as

street corner groups.

307
Of the occasions where the term 533.15 used to mean
one's honor, reputation and "face" as Goffman uses it, E22
21.9232.2.22£E (literally means "to put mud on someone's
face," for example, means to Spoil one's name, or to down-
grade one's reputation. Awaseru kgg‘gg_pgi, literally means

"have no face to face," kao-muke gs dekinai, literally means

i~- var
"cannot face," and miseru kao g2 nai, "have no face to Show," “1
all mean to be shame-faced. A common expression, o-kao g3 *-

(due to cwhoever's: face) means "thanks to twhoever’sn good

office, or influence." In Japanese interaction, in order not a} U

 

to make a person shame-faced, a certain request gets accepted

or a matter may be given special considerations. Kao o

" meaning, "to save

33

tateru (literally "to have face upright,
a person's face") is the prime concern in such a behavior.
Often such an action is based on a.fi££l relationship, either
as a paying back of indebtedness or a favor, i.e., a start

of a new‘gipl relationship. For example, person A speaking
to B in behalf of C where B is bound by a gipi relationship
to A (and B being the lower of the two), thus B cannot dis-
regard A’s request. A subordinate refusing a superordinate's
request would be most improper, and such action would be
unquestionably interpreted as embarrassing unless A's request

3%

was unreasonable. The person C usually would be in the
lower end of this vertical social relationship with A and B,

while A and B are either equal or A above B. This new

 

33

3“One has to be extremely tactful in such a case. When
A realizes that his request is not reasonable, he must withdraw
in a proper manner or he would be in a wrong face. The scene
of the Chairman and Asai toward the end in Sawako Ariyoshi's

Fushin pp Toki is a good example,

Infra , pp. 325-26.

308
action will bind C furthermore deeper with another layer of
22 in his gig} relationship with A, If A's request is ig-
nored, that would be 532 p tsubusu, to put a person A out of
countenance. A man of influence means 532 gp'kikp (whose
face is effective). And, in any case, the above C cannot
fail to live up to A's recommendation, for then C is in
fact spoiling Ais reputation by putting him in a position
where his integrity might be questioned.

As it has been discussed before, the term memboku is
perhaps closest in meaning to "face" as Goffman uses it al-
though not the same. A common expression memboku pi_kakawaru
(it is a concern of one's memboku) means one's desire to live
up to others' expectation of him as a person of his position,
social or professional or whatever. For example, one would
say that "I cannot lose this chess game, as it is a matter

' or "I must do well, after

of memboku as a senior player,’
all I represent my school's memboku. If I do not do well, my
school will lose face," and so on. The term memboku, thus,
is used usually in a positive sense, particularly with regard
to one's ability to successfully execute the pattern of ex-
pected behaviors that are in harmony with his role. One who
does not live up to what others expect of him would lose his
memboku and would become shame-faced. If the members of a
high school baseball team lose a game very badly in a tourna-

ment, particularly because of many errors, they really lose

memboku.35 The family who causes a fire which destroys

 

35A common phrase of apology is Memboku g3 arimasen
(literally means "There is no memboku").

 

 

309
some neighboring homes, will have no memboku, not only have
they failed to be good neighbors but they also caused so

much harm to others.36

In some occasions the words memboku and taimen can
be used interchangeably, Taimen (tai means body, men means
face or a mask) too is usually translated as honor, reputa-

tion, appearance, a good name or dignity. However, the word

 

taimen is normally used to refer to one's emotional need to

maintain a reputation worthy of the person's position in the

 

society. Thus taimen is very closely related to one's role “j
and expected behavior; and it carries a slight element of a:
vanity as it is usually concerned with correct appearance,
i.e., others' perception of self.
To maintain appropriate behavior patterns befitting
to one's name may be taxing at times. A village master, due
to his taimen, cannot forego a big wedding for his daughter.
In Tanizaki's novel Sazamgyuki an old distinguished family
cannot allow its daughters to marry any young man,37 but
only those whose background and qualification are suitable.
While the family is busy being so choosy about possible suit-
ors and concerned over taimen, Yukiko, a younger one, although
beautiful, is getting older and becoming less eligible. The
general rule that an older one ought to marry before a younger
one further complicates the matter. .A more illustrative case

‘was her sister Taeko, who finds herself a man, but because

 

36Traditionally it was said that if one caused a fire,
that family will not be forgiven for seven generations. Cf.,
'Yfiji.Aida, Nihon-jin pp_Ishiki Kfiza (Tbkyo: Kodan Sha, 19h?)

'pp. 131-32.

37Sawako Ariyoshi deals with this subject also in her
i o Kawa about Hana's suitors. (Tokyo: ShinchE Sha, 1963)

311
high school teachers and the high school itself. Namely
the school's taimen is jeapodized. Even today, the daughters
of fine families receive good training in music instruments,
such as 5253 or piano, and tea ceremony and flower arrange-
ment, for a very practical reason. In case something should
happen to her husband, she could support herself and child-
ren in a respected and refined profession.39 These were
probably the only professions that were refined enough for
a person of that strata, With the exceptions of highly pro-
fessional occupations such as lawyers, college professors,
physicians and alike. Otherwise one has to work at home
like the mother of Goichi in Bppfi pp_£ppi by Yamamoto YfizB.
She could sew kimono, which has been another good way to
earn some income but her husband, of samurai descent, was
too busy involving himself with law suits and did not pro-
vide for the family, and in addition, he meanwhile insulted
the kimono shop proprietor so that her source of income too
stopped, Then she had to glue envelopes at home to earn
a little money, a very difficult way to earn a very little.
Or, a middle-aged housewife who had no such acquired arts
to take students for private lessons had to find some sort
of very lowly jobs. Office jobs are not open for middle-aged
‘women. In Aya Koda's Nagareru, the heroine works as a maid
in a house of geisha. There is a scene where the mistress

of the house talks to her and says, "Who are you? You must

 

39Thus, an expression goes something like, "If one
does not have to make any practical use of the arts that are
acquired, she is lucky, but just in case of . . . ."

 

312
be well educated. . . ." The heroine's past identity is not
revealed except that she was a housewife, and now all alone,
but from her use of language and her manners she is obviously
from a fine family. Even her name Rika sounds too high-
brow for a maid that the mistress decided to call her O-haru,
a very common name for a maid, at first. For her family's
taimen she could not reveal her background at all, and kept rum?
silent,

This concept of taimen or memboku works in both ways,

 

that is, as mentioned before, not only a person in a specific ‘j
position is expected to have certain behavior patterns, he, '
in turn, can count on others to expect him to have that

quality so long as he holds that position. When the cold-

war was at its height, and McCarthyism and the red-scare

encircled the American scene in the early fifties, the

Chairman of the powerful NikkySso (Japan Teachers Union),

Mr. Kobayashi, was apparently viewed by Americans with sus-

picion for being a little too leftist. At any rate, when

he was asked if he would visit the United States if invited

(as there was a rumor that he did turn down the invitation

to the United States for a short visit),uo he answered that

he would not. He reSponded explicitly to the question "Why?"

by stating that the United States officials once did some-

thing to show their distrust of him. That is, they turned

down those whom Mr. Kobayashi had recommended for a visit

 

uoThe State Department invited many actual and potential
political and economic leaders of Japan to visit the United
States in this period. Those people who were invited included
many labor union leaders as well as corporation executives
and various local government officials.

313
to the United States earlier. "Why did they question my
integrity? I would not think of recommending anyone to be
included in such a list if I thought he mightbe harmful
to the U. 5.?" He had expected U. S. officials to assume
the sincerity of his choice and good judgement, and their
rejection of certain people among his recommendations meant

to him a slap on his face, and caused a loss of face. "If

 

the U. S, thought so little of me not to reSpect my integrity,

thus rejecting me as a person, why should I be received by
them as a guest?"l‘1
Thus any behavior which is contrary to what is
expected of a person in a given position would cause social
embarrassment, and at the same time it would constitute a
serious threat to face when some one does not accord treat-
ment which is expected by a person due to his position.

This standard is one of the basic elements in Japanese

social rituals.

Embarrassing,Situations
In the popular literature in the West, the Japanese
peeple are often portrayed as having a strong concern for
"face." This is partly due to the Samurai tradition of
treasuring and defending one's name by any means, including
death, although it was not the standard shared by every
Japanese. At any rate, in principle, the concept of face

and face-work are shared by most, if not all, societies.

 

ulAuthor's notes on an interview with Mr. Takeshi
Kobayashi for the research on student movement in post WWII

Japan, Tokyo. Spring 1955.

 

31b
Each society, however, may have its uniqueness in its con-
crete application and its precise meanings. The concept of
"face" must be interpreted within its cultural context.
Possibly it reflects very basic elements in the philosophy
of the given society, i.e., how one looks at and conceives
of himself in his relationship with others and the society.
An event which can cause a person to be in wrong-face in (Run?
one society may not be so considered in another society.
Different societies have their ways of correcting a situa-

tion when a loss of face occurred. The pride and dignity of

 

i. bl. '-.

the individual and how far can it be violated without causing
a serious situation or at how much cost it is defended are
all culturally determined. In some societies one may defend
his honor with his own life. Whereas in another society,

no insult or loss of face is enough to defend with death.

Or, among the Christians to take one's life, even in defense
of one's honor, is not acceptable.

Goffman talks of lack of social grace as a frequent
cause of social crisis, pulling boners, and so on. However,
in Japan, social rituals are so highly developed that so
long as one follows them there would be no embarrassing situa-
tions. And, most Japanese pe0p1e seem to follow social
rituals well. Hence the type of social crisis Goffman talks
about is relatively infrequent in Japanese interactions.

Even when such an offense occurs, it will not become a social
crisis either because (1) a ready standardized response is
available to handle the situation, or (2) other interactants

would "ignore" a violation of social rituals when it is due

315

to the offender's ignorance. Hence, in Japanese interactions,
two major categories of face-losing or embarrassing situa-
tions seem to be quite readily identifiable: (a) when the
offense is intended, and (b) when one fails to live up to

his usual standard of behavior (or expected behavior), al-
though these two categories are interwoven in many cases,
e.g., when secret harmful information is revealed.h2

It is obvious that it becomes embarrassing when one
cannot sustain his image with others. But, possibly, the
most embarrassing situation in a person's private life would
be caused by not by his lack of social skill but from being
exposed for having done something which he was not supposed
to do but had done, such as an illicit relationship, a broken
promise and so on, It is particularly true that scenes
dealt with in fiction as embarrassing situations are of this
type. With regard to the source of troubles, these situa-
tions are quite different from the embarrassing situations
caused by a lack of social grace, but as far as "rescuing
of the situation" is concerned, they share the same basic
principles of face-works as the latter.

In order to save such a situation, and to restore a
harmonious relationship, the offender has to gain back the
trust of the other. The offender must do something to
restore the face of the offended. The various ways in which

a harmonious relationship can be brought back are: (l) to

 

uzFor example, a barmaid Machiko "appealed" Asai's
superordinates to help her in getting a considerable sum of
money as a settlement from Asai, by revealing them of the
relationship between the two. AriyoShi, Fushin pp Toki,

PP. 367-82 e

 

 

316

prove that the damage was not intended, but was an unex-
pected outcome, and no ill-intention was there, or (2) to
convince the victim that what he thought had happened
actually did not happen, or (3) it was a joke.

At any rate, it is important that proper apologies
be presented to the offended. Otherwise the disharmony will
sustain itself until all the required face-work is completed.

One of the more complex situation is illustrated in
Inoue Yasushi's X§§p§_gpizp, where the three, Thkayuki, his
wifeAki, and Misako's cousin, the artist UojirB Tatsumi,
meet together, and Aki is questioning her husband if he was
with Misako in Kyoto. UojirB interrupts that instance of
awkward Silence and says "I am sure that did not happen,
If it did,I will not forgive Misako. Incidentally, we are

getting married, and will be leaving for France shortly . . .

This statement kept Takayuki from confessing everything, which

UojirB did not want Aki to hear, nor he himself wanted to
hear. This was UojirS's way of protecting Misako, whom he
had tolerated and cared for."3
An even more delicate situation involving face-work
is described beautifully by JunichirB Tanizaki in his ngp
where Kaname and his wife finally make a visit her father
in Kyoto to report that the couple is parting. Their
decision seems final but it was a dutiful call. It is

embarrassing all around. Kaname's wife expects her father

 

“BIn Chapter 1“, p. 619. On the other hand, Ariyoshi
in her Fushin no Toki deals with unsuccessful handling of
embarrassing situations.

 

317
to give her a lecture, which she sees inevitable and hence
willing to listen but not in front of Ohisa, father's
younger but a very old fashioned, doll-like in gentleness,
somewhat slow and dull mistress, who is of a humble origin.
Father talks first with Kaname. Ohisa, after bringing in
tea and oshibori, quietly disappears.uu And Misako too
quietly leaves while her father prepares his second puff of
kiseru (a traditional Japanese pipe) for upstairs. The two
male figures have a mutual feeling toward each other. The
father is embarrassed of his daughter's behavior but wishes
to prevent the final break-up, and asks Kaname to reconsider,
that is, if he can forgive her gpg; (illicit liaison).
Kaname defends his wife and says that it is not fair to call
her Epgi, for it was his fault that he allowed the situation
to develop. The father wants to have a quiet talk with his
daughter, with Kaname's consent, when he understood that it
was she whose mind was more set on the matter. Meanwhile,
Ohisa has been preparing dinner for the guests, but the father
and daughter are about to go to Hthei.u5 He claps his
hands and calls Ohisa, and asks her to make a reservation
for a nice quiet room. He gently adds, "Yes, two of us . . ..
I should not take all the guests away from your dinner, for
you have been working very hard." The good natured Ohisa
suggests that, then, Kaname too Should go to enjoy Hthei's

superb dinner. After all, she says, he is the loser who is

 

uh

This is a standard behavior based on a consideratien,
i.e., sasshi, which Y. Aida discusses as a characteristic
traditional Japanese behavior. Aida, pp. cit., pp. 85-100.

“5A known fine Japanese reataurant located in Nanzanji
with a serene beauty of its garden.

 

@-

318

going to miss out on that fine food. The social rituals
continue - Kaname responds to Ohisa by saying that he would
prefer to stay home, especially "After all," he says, "the
cooking talent of the hostess is just as good as Hthei's
chef." It is a delicate web of interaction with each ex-
change dealing with the sensitive subject which could very
easily become a social crisis. The flow of interaction is
sustained by the Spontaneous and successful execution of
social rituals in the most beautiful manner, and leaves no
bitter taste behind. This episode is possibly one of the
best illustrations how well even so complicated and possibly
poignant embarrassing Situations can be kept totally civil
and with no hostility. The properness of social rituals
simply comes very naturally to them. Kawabata's Meijin
(Ipp Master p£,§p), of course, too demonstrates the same
point most clearly.
Face-work Rituals for Less Lucky Ones:
NeutralizinggMeasures

Even if the rule of good conduct with regard to pro-
priety and good manners is not violated and no harmful or
illicit behavior is committed, still there would be some
occasions where one might lose face. That is, in spite of
one's best efforts he cannot succeed in everything that he
tries, especially in competition. He may do well, but others
do even better and thus win the competition. Such situa-

tions are rather common in Japanese life, for competition

is extremely high, for example, a series of school entrance

F 7

 

319
examinations that one has to go through. Obviously, every-
one cannot be the winners.
Burton R. Clark in his "The booling-out' Function in

"“6 discusses what he considers to be a

Higher Education
major problem of the democratic society. That is, the in-
consistency between encouragement to achieve and the realities
of limited opportunities that exist in such a society is

very problematic. Democratic societies not only need to

motivate achievement but also to mollify those denied it in

order to sustain motivation in the face of disappointment

 

and resentment. He points out that "In the modern mass demo-
cracy, with its large-scale organization, elaborated ideol-
ogies of equal access and participation, and minimal commit-
ment to social origin as a bases for status, the task becomes
critical."l‘7 This is, however, not a problem limited only

to a mass democratic society such as the United States. It
seems, in fact, in a society such as Japanese society, (and
not limited to recent years but going back to the Meiji era),"‘8
it has been equally as critical a problem although the basic
reason for the problem may have been quite different. In
other words, in Japanese society, extraordinary attention

has been paid to meeting this problem by regulating individual
conduct in such situations. This has resulted in adaptive

behavior patterns that are ritualized. This development of

~

#6
569‘5760
“71bid., p. 569.

American Journal 25 Sociology, Vol. 65 (1960). pp.

1“Of course, it is also crucial in a more stratified
society. There has to be a way to have people accept a social
differentiation based on ascribed status. The Japanese incli-

nation with regard to fate is, in a way, a neutralizing face-work.

320

ritualization and canalization of behavior pattern regarding
such a situation may be prompted by a high degree of competi-
tion and a large number of competent people available for
limited opportunities.“9

The Japanese educational system, particularly its
university, plays an important role in determining the future
of each individual in Japanese society. The university en-
trance examinations are open for those who qualify. It is
a free competition. And, universities, particularly those
of the highest rank, resist any form of bribery or special
favor. The wealth, status and so on, of parents are completely
disregarded (though this is not always so in the case of
second-rate private schools). As Chie Nakane points out
that admisSion to a university by succeeding in its entrance
examination places that individual firmly within a somewhat

caste-like system of the "successful ones." Among the students

 

“9A3 for the institutionally provided means in Japan
there are certain paradoxical but rather effective ways which
are set up to ensure the utilization of talent much more than
otherwise assumed by the Western observers. (There is an
assumption that a democratic society has the advantage of
utilizing talents among its members.) In Japan, however,
there is a traditional adoptive system, such as d3zoku 23p,
that helps some able person to become a member of more power-
ful family. Hence a drastic change in his life chances. Such
terms as yBshi (adoption), y3shi-engumi (adoption-marriage),
and even kogai (those who started to work for a particular
'family" since childhood), and life time employment immediately
after graduating from a school, all represent the widely
practiced custom of this general sort, whereby one comes to
identify with a certain group very closely as his own. Also,
there has been shosei system which was quite common in the
recent past: when a person became very successful, particularly
in politics, he was to accept several young men to live in
his home and go to a college. Usually they were chosen from
his native town or prefecture, thus can be considered his
juniors from his "clan." It worked as a private scholarship.
In addition, some became proteges of the sponsor, and became
very successful.

 

{MIX .9: acre-v .- 2‘ - ..
. t
|

‘

321
of the University of Tokyo, for example, "they stand on a
completely equal footing simply because they gained entry
into the University of Tokyo: and ever after they belong to
a kind of social clique as 'graduates of the University of
Tokyo'."50 Considering this, it is easy to see how intense
the competition for schooling is in Japan, But when there
are too many qualified people competing for the same thing,
to be good is often not enough in the Japanese society.
Hence the neutralizing face-work is quite necessary. Since
such a situation is very serious for the individuals con-
cerned, there are no specific phrases to show empathy.
However, there seem to be two general proper approaches
which are basic: to leave the person quietly,‘ppppplpp;pg
pkg, leave alone, based on the principle of sasshi (to place
oneself in that person's position and suppose his desires
and feelings):51 and if the topic does come up, to minimize
the sense of failure by attributing it to lack of‘pp, namely
pp gg'warukatta, which takes the blame off the person. For
example, "You are good, and you should have been chosen,
but somehow luck was not with you. . . . It could happen
to anyone." Use of any expression of sympathy, okinodoku
and kawaisd, are to be avoided, because it expresses pity
and not empathy, i.e., it implies the recognition of infe-
riority. Encouragement for the next occasion is more appro-

priate. All in all, the important philosophical factor

 

SOChie Nakane, Japanese Society (Berkeley: University
of California Press, 1970), p. 112. Cf. Aida, op, cit.,
pp. 109-11.

SISupra, pp. 185-86.

 

322
which helps the situation of having to face a "failure in
competition" is the Buddhist concept of akirame (resignation)

52 The concept of giving up something

as discussed before.

as fate, which is an old but very effective way of coming

to peace with the hard reality, is helpful in Japanese

society especially when it is institutionalized, The recog-

nition of the fact that those who failed are not all neces-

sarily inferior, though less lucky, helps to keep the suc-

cessful ones more humble and the unsuccessful ones with

less humiliation.53
When a failure is attributed to strong fate, a lack

of good fortune, etc., the embarrassment that accompanies

the failure itself would be softened, among those who did

not succeed there are some who were really good but less

fortunate, and those who really did not have the quality to

succeed. The latter case, in case of entrance examination,

etc.. is not too frequent, for there is an institutional

way through which the application itself is controlled.

That is, a school, or a teacher, would not recommend a person

lacking in quality to take the test, not only is it wasteful

but it does hurt the school's reputation as well (for they

maintain records of statistics on such results).

In short, there will be no stigma attached for the

failure when it is considered due to his lack of "good‘pp."

 

52

530ertain schools admit only after selection by drawing
the number of admission out of those who were originally
successful in passing the examination, e.g., Tokyo KyBiku
Daigaku(University)'s attached schools.

Supra e ppe 137-1‘5 e

 

m -.i -

 

 

323
This concept of pp (fate) is totally free of anyone's inten-
tion, such as God's will. And an ill luck can strike any
one at any time regardless of his deserving such a fate or
not. Quite contrary to a Western saying "If he is good, he
will make it," or "God is in my side," one to be able is far
from the total requirement of being successful. The reason
for the others' failure is not "because he is loved by God
less than us," nor "because he was not as good as us."

Absence of ideas such as those seen in late 19th cen-
tury American protestantism that "If one is God's favorite
child, He will make him successful and reward him with wealth,"
helps individuals to accept unfavorable outcome. Those who
were near enough to be successful can maintain their self-
respect. What is essential is "to do the best one can, and
then wait for fate," as an old proverb goes. If one does not
do his best, then he is at fault when he does not succeed.

His failure would not be seen so kindly, and in fact might
be seen as very deserving of a poor luck as the principle of
lpgg‘épfi, discussed earlier.5u

Interestingly, these concepts like akirame and a
strong inclination to attribute success or a failure to a
fate, and.ipgg‘§p§ need not conflict with each other. There
is a bad fate due to $252.§2§ and a bad fate which is simply
attributed as a lack of good fortune (pp g3 pgppi) and not
caused by épgg‘ggg. Even when it is attributed to lpgg‘§p§,

unless the person is known to have behaved poorly and hence

 

SusuEra. PP. 137-h1, Or may be seen as mibun fu-SEB
(not knowing one's own ability, in this case) and having
yabB (an inordinate ambition).

 

Is
‘ C
i

 

 

32h
believed to have caused the retribution, he is normally
seen as a mere victim of something his ancestors or his

previous being had done.

Thus reviewing Japanese social rituals dealing with

 

this type of a Situation, one would find that there are
abundant ways in which face-saving mechanisms are tactfully

r_l.
employed in interpersonal relationship. To experience a '3

defeat is in itself a face-losing situation, at least to

 

himself, and it brings negative effects such as loss of con-

fidence, envy, or even paranoic tendencies, if it is not 7 ”I
well attended and the damage is not kept to a minimum. In arii
general, the contribution that a person could make to the

society might be undermined by this alienation resulted from

a failure. To make such an experience less traumatic and

less damaging for him as well as for the total society, what

others can do at least is not to add any more harmful effects.

Others would try to minimize the importance of failure by

not bringing up the subject, or simply to attribute to pp.

Particularly those who are more fortunate can at least follow

such neutralizing rituals and to be humble. To violate such

social rituals would be considered most uncooth and improper

indeed. Actual examples of such rituals are easily found in

.many pieces of literature. The most basic expression in

response to a congratulatory remark is "Okage-sama de , . ."
‘which carries a definite tone of one's recognition of good
luck even when it is not explicitly mentioned, as discussed

earlier.55 Such a greeting contains in it one's gratitude

55Supra, p, 25%.

325
for the well-wishers and those who rendered help in some
way. Thus the credit is given to many people as well as
for a good pp. Hence, just to say "Thank you," in response
to a congratulatory remark is quite inadequate and would be
interpreted as arrogant and therefore improper.

This custom of neutralizing face—work regarding less
fortunate ones seems to prevent the need for social suicide
where one deliberately does something to terminate a chance
of future success or to delimit life chances because of his

fear for failure.

Face-work by Employing a Third Party

Much of Japanese interpersonal relationship is main-
tained in response to the social rituals and the shared
norms concerning one's face. Suppose two people become
hostile toward each other about a dispute. One of the
traditional ways of handling such a situation is to have
someone who can influence both to handle it. The disputing
individuals have to yield to the mediator once agreed upon,
because of the pressure from the arbitrator not to lose his
face and also the social pressure that goes with the custom.
If the arbitrator does not succeed then it means a definite
sign of incompetency in handling the situation, and inevitably
loss of his face would occur. Then, instead of one person
'with whom he was in trouble with, in the first place, the
person who refused the good office of the arbitrator has
two parties whom he has caused a loss of face. Since the

arbitrator's intention is assumed honorable and being

 

326
helpful, it would be most improper to cause the loss of his
face. A frequently used Japanese expression by the arbitra—

tor is watakushi pp kao p tatete (literally means "to keep

 

my face upright," which is often used in the manner of
pleading, like, "Trust me, I won't do you wrong, and you
know that. And if you refuse my request to accept the term
of settlement that I worked out, you are indeed causing me to
lose face." It is usually quite effective because, as a
plpjp, one does not like to cause others to lose face.

The arbitrator may be chosen and asked by either

disputing party or even by concerned others to "stand bet-

 

ween" (pppp'pp_ppppp). Ordinarily he is of a higher social
position than the disputing parties, hence he would have
influence over both parties. If one turns him down, he is
seen as clearly violating th°.fil£lo and would be seen as
rather disrespectful toward the mediator.

When a person accepts the responsibility of being a
mediator, it is understood that he is concerned about the
conflict, that he is a man of integrity, and that his judge-
ment should be listened to. If he makes an unfair demand
upon one party, he loses "face" in the eyes of the public.

That is, the image of him will have undergone a considerable

 

change and he will be henceforth perceived as a person with
no integrity or a person with poor judgement, hence not.
‘worthy of the amount of respect he had been receiving in the
past. Both conflicting parties are bound by‘gppi to the
mediator, because for a person higher in prestige to come

to talk to one's home is already a girl producing situation,

327
especially since the mission to settle a dispute is not a
pleasant one.
When a dispute advances this far, the only choice

a disputing party would have is to present his own case in
such a way as to make a favorable impression upon the media-
tor. The higher the social position of the mediator, the
greater the chances are that no one would dare to offend [‘*1
him by contradicting him, and thus he can exert his influence 1..
to settle a dispute. Most often the conflicting parties

have to leave the matter completely to the mediator's good

 

judgement, or to plead with him to come to consider his side __JJ
as closely as possible, but never to turn down his sugges-
tion completely, for it means an open defiance if not out
right disrespect, as mentioned before.56 Such an open de-
fiance would invite a harsh negative sanction from all others
and would be considered as'gppi-Shirazu (the person who does
not know gppl, or unappreciative one), or not being reason-
able and hard headed, or having no respect for the good man's
judgement. And, even if his non-compromising position is
understandable, he would still be criticized for‘gp‘gg

sugiru (beyond the limitation of being reasonable), and

 

might be considered as an eccentric or unreasonable. As it

in moderation) is a very important quality among the

 

56In some cases when the mediator is not fair, after
consulting with people around him to make sure, a disputing
member can appeal to another person for a help in settling
the whole matter. This person may have to deal with all
of the people involved. He may ask the original mediator
to entrust him with the matter, and face-work will become
most crucial.

328
Japanese. On the other hand, a gesture of compromise would
be sufficient to strengthen his position in a dispute, which
'would be taken not as his weakness but an expression of
appreciation for the good office of the mediator. Besides
it might also be taken as having the quality of gppy§57 and
being not small. Otherwise, in turn, the uncompromising
one, when the third party is already making an effort, will
become shame-faced in the eyes of others in the community
so much more than the mediator who failed.

This custom of using the third party as a go-between
has developed into a very important social ritual in Japanese
everyday life. It is a device through which most face losing
situations may be averted. One may interpret this custom
as one phase of the Japanese approach to handling a sensitive
matter,58 It may be a resultant practice out of the Japa-
nese emotionality, it is much easier for the third party to
handle a knotty problem involving the pride, memboku (face),
and feelings of the disputing parties. A direct confrontation
would certainly end in frustration (by withholding what one
feels about the other, for it violates the social code,
and would result in an open conflict when the social code

is not strong enough to control) or emotionalism. In either

 

57As discussed elsewhere, kanya (magnanimity, tolerance,
forgiveness, etc., the quality opposite to being small) is
one of the most appreciated quality of man in Japan, Supra,
Pp. 133-3“.

58An American reaction is usually "Why does he not come
to tell me that by himself?" But the use of the middle per-
son softens otherwise harsh Situations. Japanese social
code disapproves an exchange of ugly words, but it would be
difficult to avoid it in a direct confrontation where emo-
tionalism dictates.

 

7r
\

 

329
case, the psychological cost is too high.

In the famous novel Hototogisu, the mother of Takeo,
who is away in the Navy, did not come to visit her daughter-
in-law Namiko's father, a general. Yamaki, a friend of hers,
came to see him to bring the message from her that she
wishes Namiko's father to take ailing Namiko home. In this
case, no conciliation was sought, and hence the man who
carried the message for Takeo's mother was no social equal
to Namiko's father,59 In that situation there was nothing
to discuss, and an unpleasant direct encounter was evaded
by sending Yamaki who, in fact, is scheming to have his own
daughter marry Takeo after Namiko. Since the action of
Takeo's mother is very improper and unreasonable in anyone's
standard, no person of reasonable character would accept such
a mission, It was an embarrassing mission even for the
shrewd and vulgar Yamaki that he could not state the message
in front of Namiko's father. Namiko's father, a gentleman,
saved Yamaki's embarrassment by supposing the reason for
his visit, and said, "Is that what you came for? Fine, I
will send for my daughter and bring her back to our home."

In the Japanese tradition, there is more honor in doing

 

59Takeo's mother is the villain in the novel and the
fact that she allowed Yamaki to carry her message, rather
than properly asking someone of higher position, at least
equal to Namiko's father, to be the one in the middle, indicates
her lack of properness. Of course it is also observed as an
indication that she knew she was wrong and could not, and would
not, ask anyone of a high calibre to convey her demand. No
negotiation was necessary in this case. Hototogigp,by Roka
‘Tokutomi, was one of the most popular novels of Meiji, and
it first appeared as a series in Kokumin Shimbun in 1898 Fall
and 1899. Namiko's model was the'daughter of'Marshall Oyama,
then Lieutenant-general, whose personality is very much admired
in Japan.

 

 

 

 

330

something on one's own rather than being pushed in to doing
it. It is the uppermanship, and it puts the other person
in position of feeling very guilty and very much inferior.
In Goffman's word, Namiko's father scored a big point over
both Yamaki and Takeo's mother.

In case of a dispute where two parties are not speak-
ing to each other, the use of a mediator facilitates that
relationship to be mended or to have whatever necessary

business between them taken care of. In the famous RobB p_

 

Ishi, by YuzB Yamamoto, Goichi's mother is having a difficult
6O

 

time earning enough to support Goichi and herself meagerly.
She used to sew kimono before, which was a good work for
her, but this source of the work had been cut off suddenly
some time ago. The ppppp (the senior manager) of the kimono
store who used to bring the work to her stopped by one day,
and revealed that he could no longer supply the work because

her husband offended the kimono store proprietor, hence he

 

was told to cut her off from further work. It was a matter
of face, the ppppp explained to her, and suggested that her
husband should make a formal apology to the proprietor,
Someone influencial enough to her husband should Speak to him

and he would have to recognize his wrong, And that person

 

6OSupra, p. 311. It is a story of the family of a
former samurai class person who is having difficulty in adjust-
ing to the changing world and somehow became a "law-suit
fiend," spends his income on law-suits, dreaming of winning a
great sum of money as a result of one of the law-suits he
initiated, and does not even stay at home most of the time.

It originally appeared on Asahi Shimbun as a series, Jan. 1st
1937 to June 18th 1937, but terminated because of the pressure
from Army, Was continued on Shufu-pp-Tomo, a women's journal,
Nov; 1938 to July 19h0, but terminated again for the same
reason, and it was left incomplete.

331
must go to the store's proprietor in her husband's behalf.
Just a ritualistic apology would do, the ppppp says, then
he can take care of the rest of whatever might be necessary
for restoring her work. Otherwise the ppppp cannot do any-
thing to help her even though he would like very much to
help her.

Most certainly the custom of using a third party is
not unique in Japan, as Goffman talks about "Cooling the
Mark Out" and discusses that it would be easier for a person
to receive bad news if it comes from a person whom he respects.61
Also in the West there is the practice of using arbitrators
in disputes as well as the use of diplomats, etc.62 What
is unique in Japan, however, may be seen from the important
function of the go-between in everyday social and personal
life of the Japanese in their relation to conflict solving
with binding‘gipi relationship.

In summary, the use of the third person in conflict
solving is advantageous from the following points: (1) the
unpleasantness and negative consequences of a direct con-
frontation may be avoided, (2) increasing effectiveness in
bringing a solution, i.e., the weight of the person in the
middle contributes heavily toward a solution to a dispute
because of his prestige itself. He is often like a person
who has the authority to negotiate for both parties. (3)

from its advantage in psychological costs of those involved

 

61Erving Goffman, "On Cooling the Mark Out," Psy-
Oh_1at!2, V01. 15: Noe )4 (NOV. 1952): PP. “51-630

62Robert R, Blake, "Psychology and the Crisis of
Statesmanship," American ngchologist, Vol. h (1959). PP. 87-9“.

 

 

 

 

 

332
in disputes. Each party would feel much more comfortable
to be frank with the third party than with each other.63
The middle person's kindly listening to them would help both
disputing people emotionally, feeling that someone signifi-
cant in fact listens and understands his position. It serves
the function of "getting their mind off their chest." The
middle person is significant also in a sense that he can be
more understanding and objective, and hence better prepared
than those who are the opponents of the dispute, at least,
even discounting the advantages of differences in social
prestige. (b) for minimizing emotionality and an increased
objectivity of thinking. The third party can produce an
atmosphere which encourages humbleness (and hence one would
less likely to be stubborn or hard headed) in each of the
disputing parties. A certain amount of self-reflection is
necessary when talking to him. By trying to explain the
entire affair logically in order to get his sympathy and
understanding, one has to follow a good logical argument.
At least one has to try to do so. Also, his social prestige
being higher than the others, the middle person can speak
with a certain authority as representing general consensus
and good common sense judgement reflecting the social norms,
and by so doing can influence both parties easier. He can
'be so sympathetic to each of them that it would encourage

them to be less insecure or on the defensive. Hence a

 

63One confides in the person in tla middle as normally
the feeling of trust is there, for the person in the middle
ought to have the quality to be perceived as trustworthy and
faix'if'he is to be successful in bringing a gap between
the conflicting parties.

 

 

333

compromise can be reached easier than if the conflicting
parties were left alone. Often a compromise is imposed
upon the both disputing members by the one in the middle as
"a favor for me," or "for the sake of saving my 'face',"
making rejection doubly difficult.

There are also much happier occasions where the per-
son in the middle plays a crucial role. The nakoudo (the
middle-person cfor a marriage partner selection:), for exam-
ple, is an essential part of Japanese marriage whether it
may be arranged one or for a romantic-love type. In case
of the latter, the young couple would be needing a person
of some influence to gain their parents' consent and who can
also be the nakoudo or baishaku in their wedding ceremony.
For an arranged marriage, the process usually involves various
people, but it usually starts with an acquaintance or a
relative of the family of either the girl or the young man
bringing a possible candidate. First stage of selection is
normally done on paper, tsurisho, a document describing the
person's background and other information on his or her
family, with an accompanying photograph.6u At this stage
many candidates are screened out as not quite suitable. Only
when the both parties concerned are interested in each other
as the candidate for one's marriage partner, the person who

initiated would make an arrangement for omiai (an occasion

 

6”The degree of formality depends on the kakushiki
(see P. 306) of the families involved and the relationship
‘between the nakoudo and each family. In Kada's novel Sazanami
pp Nikki (about a mother and her daughter), 0-Kino, a former
servant married off from the family and has become very
.affluent as a kimono merchant's wife, comes to talk to Taoko,
the mother, about a young man who is exceptionally able but
.from a poor family. She does so with a proper apology (for
the young man's family's kakushiki is too low) and good

explanation why she might consider.

 

 

 

33b
"to see each other"). An ppipi often takes place in a res-
taurant or at the nakoudo's home when both parties are aware
of the occasion, but some cautious parents may have a pre-
liminary one at a concert hall or at a theatre and the young
girl may not be even aware of the fact that she is being
observed by a future husband candidate. This is to avoid
the girl being disappointed if she is to be rejected.

At any rate, each candidate or his or her family can
reject the other at any point with a proper excuse so that
the other would not feel hurt or too embarrassed. Again,
it is up to the nakoudo who conveys the message to the other
family, and each family can be very frank with the nakoudo.
The nakoudo presents a good enough and gracious excuse that
the family is not interested in pursuing the matter further.
There are many ritualistic excuses, such as, "The parents
really feel strong about your son, but somehow the daughter
is not ready. She looks like a big girl but she is just a
baby." Or, "It is of no personal offense, but she, for some
reason, does not want to marry a doctor." Or any esoteric
excuse of various kinds,65 such as attributed to the girl's
mood and girlish desire, too many brothers and Sisters to
look after (i.e., too many in-laws to be), or‘ppppp66 is

poor, but often avoiding the real reason for rejection.

 

65In Ariyoshi's Ki no Kawa, Hana's grandmother keeps
rejecting Hana' s suitors. The one whom everyone else thought
great too was rejected by her "because his residence is in
a wrong direction, against the flow of Ni River." In Inoue' s
Yfishfi Heiya, Misako keeps turning down every suitor because
she has a certain other person in her mind yet keeping it a
secret. Hence, her mother is caught in the middle.

66Compatibility(in the sense that their horoscope¢do or

do not match, or according to divination, etc.)

L

335

The same is true with the man's side rejecting the
girl. There are many usual excuses, such as "he wishes to

' when he actually does not

marry a girl without glasses,’
like the girl because she has bad teeth, etc. Often used
excuses include such things as "The other family is too good
in social standing. And it is said that unbalance (futsuriai)
is a cause of unhappineSs, and, therefore, we would like to
excuse ourselves from this match." Since there is a person
in the middle, a rejection can be handled without causing

any embarrassment to both parties, for the person in the

middle would convey the message of rejection in acceptable

 

terms.

Unlike the best man in the West, the nakoudo for a
Japanese marriage and wedding has a more permanent reSpon-
sibility, however, It is something analogous to what the
godfather is to a child in Christian societies, nakoudo
(usually a couple) becomes the persons responsible for the 7
well being of the newly wed: this relationship continues
so that the couple is not supposed to part without the con-
sent of the nakoudo (or baishaku-nin, who may or may not be
the actual one who arranged the marriage but the couple who
officiated in the ceremony as such), that is, the two families
troubled the nakoudo to give blessing and "to tie the pp
(relationship)" for the couple in the first place, therefore
untying of such a relationship without the nakoudo's consent
would be most improper, and considered as a willful insult
to the nakoudo. The nakoudo, or baishaku-nin, who is usually

older and socially higher than both families of bride and

 

336
bride-groom, normally takes up the responsibility of settling
the couple's family disputes and arguments, or some times
acts as a general counselor. That is, once a person accepts
the honor to be the nakoudo, whether actually initiating
the arrangement between the two or not,67 a specific gig;

relationship is established. And this giri relationship is

a very Specific one which includes the young couple's peri- 'r“*j
odic aisatsu visit (courtesy calls), and reporting of any Ll:

major event of family life, such as a birth of a child, or

moving, or a job change, and so on. A violation of such *' .1

 

custom would be viewed by others in the society as a very 7_Jj
serious personal offense against the nakoudo as well as
being the kind of people who do not know'gipi,(gppl shirazu).
The position of nakoudo, in Short, in the process of
locating a desirable partner for marriage is a good example
where various positions in the web of interaction serve to
soften any possible loss of face in the Japanese custom.
To use the third party is a very effective way of handling
delicate Situations as well as being a necessary standard
ritual which can be utilized to cushion a marital conflict

and other in-law relationship. Nakoudo can settle a conflict

 

67Some times, the person who actually introduced the
two families together in the first place may excuse himself
from the honor of being the official nakoudo. It would be
when the families of the young pair are in such high standing
that the person does not feel proper to occupy the honored
and responsible position as the official nakoudo,or baishaku-
ppp in particular. Or when the person is young. In such a
case, with a proper recognition, a person of greater influence
would be asked to be the baishaku-pip. This custom may be
closely related to the continuing function of the nakoudo
as well as the fact that the baishaku-pip couple at wedding
ceremonies are usually the same age group or older than the
parents of the bride and bride-groom.

337
or delicate situation with the least amount of loss of face
and with utmost feeling of sympathy to those concerned, as
a Japanese expression kppp p aradatezu-ni sumaseru (to settle

matters without stirring up rough waves), or maruku osameru

>.58

 

(csettle a dispute: without sharp corners Nakoudo, as
any other mediator, would feel good when he succeeds in

settling a dispute, for he receives reinforcement for his

"7
i .E'fi" J

good deed and also for his being the kind of person whose

virtue is great that others would listen to him and respect

 

his judgement. 3'
u. J

As for the quality which is expected of a successful

I V
I
.

arbitrator or the middle-person, as in any face-work, it
would be helpful if he were to have the particular quality
which enables the other interactants to feel comfortable
with him so that even otherwise embarrassing information
can be given to him with least embarrassment. An ability
to see situations clearly would be a strong asset, Most
importantly, both disputing parties must feel trust in the
mediator, otherwise a settlement will be most difficult,
hence, the quality of trustworthiness is essential.69

In conclusion, the frequent use of a middle-person

in Japanese interpersonal relationship prevents a possible

 

681n addition, the existence of nakoudo and its
related customs may encourage the couple to settle smaller
differences by themselves in order to avoid the embarrassment
of having to reveal their difficulty to nakoudo.

690f., Carl Rogers, "The Characteristics of a Helping
Relationship," in Warren Bennis and others, eds., Inter-
ersonal Qynamics (Homewood, Ill.: The Dorsey Press, 1968),
ppe 2 7-303e . . .

338
outbreak of hostility, and possible embarrassment. The
third person can mend existing hostility and make a rap-
proachment possible. Forming a new alliance with less dan-
ger of a loss of face depends on the effective use of the
third person as the mediator or go-between, In a way, this
characterizes the Japanese concern for neutralizing measures,
and the desire not to want to offend others. It is the
principle of sasshi, not wanting to cause others to lose
face, and at the same time, to avoid a situation where one's
own face may be threatened. The Japanese emphasis on verti-
cal relationship and the relativity of interaction pattern
is also fully utilized in this practice. To have someone
in the middle also works as a cementing effect, it seems,
in that it adds another gppp and pp relationship with that
person in addition to the already existing relationship.
As each‘glpp relationship is a reciplocal one, two people
become closer with each additional gpp; relationship. In
some cases, such an occasion may give an individual a chance
to pay back part of pp that he owed to the person in the
middle, e.g., when he reluctantly accepts the mediator's
request, and in other cases,‘yppp'ypppp. The use of third
party is merely an expression of the basic Japanese attitudes
regarding face. It may appear to be simply a conspicuous
way of "going about the business" of compromise, but it
seems to serve also as a safety valve allowing for the degree
of congeniality in interpersonal relationships that is

characteristically Japanese.

 

CONCLUSION

Sir Julian Huxley points out that much confusion
and many social problems may be caused by the failure of
existing human groups to ritualize their behavior adequately
or effectively in relation to the radically new psycho-

social Situations of today, and urges for new ritualiza-

 

tions adapted to new situations for today's changing
world.1 While the ritualization of social behavior would
serve as a mechanism for conserving existing types of
social relationships of a given society,2 it does seem

to serve also as a modifier and an agent for smooth
cultural change by stabilizing each stage of change. The

use of ritualization in revolutionary movements is well

 

known. In this sense, social rituals seem to be not
necessarily a contra—force to social change in general.
From these considerations, it seems quite clear that a
study of social rituals is rather crucial in the study of
social change.

In our everyday life we find many standard gestures

for expressing emotions representing one's feeling of

E

14-3“ rat ppe 2'3e

20f., Bert Kaplan, "Personality and Social Structure,"

iJl Theo in Anthro olo , edited by Robert A. Manners and
1David.xaplan (Chicago: Aldine, 1968), p, 319.
339

3&0
respect, approval, awsomeness, defeat, affinity, and so
on, There are social rituals which may be considered as
submission or appeasement rituals which enhance the
relationship between interactants so as to avoid potential
conflicts. Moreover, any social crisis has a potentiality
for disrupting a line of communication and also possibly
leading to inter or intra-group conflicts. In the case
of intra-group conflicts, the cohesiveness of the group
would be undermined and, in an extreme case, may threaten
the very existence of the group. The possible effects
upon inter-group conflicts are obvious. Thus, the properness
of behavior following social rituals is important for the
prevention of social crisis, and the application of a type
of social ritual relating to face-work is essential after
the threat of social crisis becomes eminent or has already
occurred to avoid escalation of conflict,

Accordingly, proper behavior and politeness are an
essential part of Japanese social relations, and are so
valued accordingly. This is supported by basic cultural
elements of the Japanese and expressed through social
rituals reflecting their psychological characteristics.

In other words, Japanese everyday social rituals are expres-
sions of the principal concerns of Japanese interpersonal
relationships. Reflecting history and tradition, social
rituals in Japanese interpersonal relationship contain a
hierarchy of principles which we might consider as the

cultural basis for much of the manifested overt behavior

 

 

3H1
patterns of the people. The mode of expression gives a
clue to basic Japanese psychological characteristics such
as a naturalistic, down-to-earth orientation, i.e., respect
for nature and for actuality, the conditionality of their
thinking and their "rejection of exaggeration and over
elaborate aspects of the civilization the rest of the world
represents,"3 and the concept of what is often called in

the West as "Oriental resignation" and the emotionalism

 

discussed in Chapter III. Some of the major guiding

 

principles for interpersonal relationships as expressions “J

of these psychological characteristics are the distinction

 

made between public and private matters, the relativity of
thinking regarding interpersonal relationship, and the
emphasis on vertical relationships. These are expressed
quite clearly also in their language, the usage of language
and honorifics in particular.

Most of the major concepts on interpersonal relation-
ships of the Japanese seem to stem from their historical
development under feudalism and its social codes. The
"familialism" of today is no exception. As Prof. Nakane
points out that there seems to be a definite continuity of
the basic social codes, although a certain degree of change
obviously occurred with regard to Japanese social structure
affecting social codes. Yet, the continued importance of
vertical relationship cannot be overemphasized. The

emphasis upon good manners, to discharge obligations well,

 

3Nyozekan Hasegawa, Nihon-teki Seikaku: The Jappnese

Chara te - A C 1t ral P file, translated by John Bester.
(Tokyo: Kodansha International, 1966), p. 11h,

3&2

to behave befittingly of one's station and role in the
relative position, and to behave properly for a given
situation, etc., are basic social codes of the samurai
throughout the feudal period, and are not only continued
today but extended to the general population,

While these basic social codes are very demanding p___
upon the individual, there are still other standard behavior - 1
patterns regarding various aspects of social life. The

distinction made between one's public and private spheres

 

of life results in rituals protecting one's privacy and “J.
the avoidance of otherwise psychologically burdensome, or ‘::"
harmful situations. In the Japanese interaction sasshi
(one's ability to place himself in the place of the other
and feel what the other might be desirous of) is regarded
essential, And this too provides the basis for some
interaction rituals.
Here, it may be reminded also that the basic belief
of the Japanese that one is born good places a heavy
responsibility and pressure upon those who do deviate.
Hence, to follow good social manners contains a self-
satisfying component, One Simply feels good to be good,
and knowing he is proper. While upward social mobility
requires a certain degree of behavioral change, this is
facilitated relatively easily through adopting proper
social rituals at each stage of life. This facility seems
to be more readily available to able men in positions where

standards of proper conduct are strictly applied but the

j 320

Specifics are easily acquired.

The specifics of social rituals, as dealt with
in Chapter V, i.e., the interaction patterns and canaliza-
tion of them, bring about certain con5picuously character-
istic qualities of Japanese social life. As interesting
quality of Japanese social rituals, for example, is the
extent to which social rituals enable a situation to move
along without the least disruptive incidence even when
some degree of disjunctive feelings are existing among
interactants. Whereas those who are considered mentally
ill or deviant, or "bad" people, are, at least in the modern
popular literature, also deviants from social rituals, The
highly appreciated quality of self-restraint and self
discipline are helped by the canalization of social behavior
patterns regarding proper expressions in that normally
there will be no excuse or opportunity for either interactant
to become overtly hostile without really violating social
rituals. One does not have to like another person, but must
maintain courtesy. Hence overt expression of anger can be
avoided in most ordinary situations, and the job gets done.
This, in turn, avoids the psychological damage that often
accompanies overt hostile behavior required in defense of
self esteem. In view of the assumed emotionality of the
Japanese, this aspect is quite important.

Accordingly, an outbreak of hostility or any other
face-losing situation that occurs from a deviation of

social rituals is more exceptional than ordinary in Japanese

 

 

3hh
everyday interactions. However, there are still various
situations where social rituals regarding face-work are
quite applicable and necessary. Moreover, a type of
neutralizing face-work ritual is quite obvious in Japanese
interaction, as there are various occasions where an
embarrassing or face-losing situation may occur without 7
being the fault of anyone. Inasmuch as this aspect of r: ”I

face and face-work is characteristically Japanese, this

study has been an attempt to reveal some of the social'

....I'J'L'Ls" d

 

and psychological implications of one culture's unique v].

approach to the canalization of social rituals. .;;;

APPENDIX

\ Fm—

 

 

APPENDIX
ANNOTATED LIST OF NOVELS USED‘

Agawa, Hiroyuki, Yamamoto Isoroku, 1966.
A novel about the life of Marshall Isoroku Yamamoto
who was killed in the World War II.

Akutagawa, Ryfinosuke, Akutagawa Rygposuke Shfi, 1953.
Works of Akutagawa, the author of Rasthon, and

Kappa,

Ariyoshi, Sawako. Fushin no Toki, 1968,
Roughly translated as "Time of Mistrust," deals
with episodes of husbands' infidelity.

, Kinokawa, 1959.
"Ki River," which runs south of Osaka and Nara, It
centers around the three generations of women of an

old established family in the Ni River region,

. KBkotsu no Hito, 1972.
Title means "A Person in Rapture,"

Dazai, Osamu, Ningen Shikkaku, 1950.
"Disqualified as Human Being," deals with a man who
considers himself a failure,

, Shay3, 19u7.

Available in English translation as Setting Sun.
The subject is a family in decline in the post WWII
period.

 

Harada, Yasuko. Banka, 1957.
"Elegy," a story about a somewhat unconventional
young woman's love for a middle aged man,

Hayashi, Fumiko. Ukigumo, 1950.
English translation is under a title Floating Clouds.
It is about an uncertain life of a woman and her
relations with men.

I"For the criteria for selecting titles, see pp. 6-7,
in Introduction.

3&5

 

 

¥ .
M

3H6

Inoue, Yasushi. Aru Gisakuka no Shfigai, 1951.
Story of an art forger, One of the earlier works of
the journalist—turned-writer whose special field was
fine art as a reporter.

, HyOheki, 1957.

One of the two veteran mountain climbers is killed
because a nylon rope was cut by sharp edge of icy
mountain. Title means "Wall of Ice,’ and centers
around the surviving companion,

 

. Shiroi Kiba, 1955.
"White Tusks," which is a metaphor for the heroine.
Intricate family problems about father, his young
second wife and her infidelity, and the heroine.

 

. Yfishfi Heiya, 1965.

Title literally means "The Melancholy Plain." A
young girl dreams of a virgin conception, She
rejects all young suitors and admires a married man.

 

Ishihara, Shintaro. Taiyo no rKisetsu, 1956.
"A Season of the Sun,r

 

, Shokei no Heyaf 1956.
TrThe Execution Room.’

, Haiiro no Kyoshitsu, 1956.
Title means "A Gra Classroom," All three novels
are about the "apr s guerre" youth of post WWII Japan.

Ishikawa, TatsuzU. h8—sai no Teiko, 1956.
"Resistance of a738-years Old, " about an average
middle aged man, .

, Ningen no Kabe, 1958.

A three volume work on Japanese Teachers' Union's
movement during the post WWII Occupation period, as
seen by rural school teachers.

 

_, Nozomi Naki ni Arazu, l9h7.
"It Is Not HOpeless."

 

Ishizaka, YBjirB. Hi no Ataru Sakamichi, 1958.
A long novel. WTThe Slope Where Sun Shines."

ItB, Sei. Hi no Tori, 195M,
"A Bird of Fire."

Kawabata, Yasunari. Izu no Odoriko, 1926.
A short story, available in English as Dancers of
Izu,

Maihime, 1950.
“AIDancer." Story about a ballerina.

 

 

3h?

. Meijin, 19h2.
It is a novel based on the g2 match between the
undefeated old Meijin (Master) and his challenger
in 1938 which lasted nearly 6 months. English
translation: The Master of Go.

 

. Senbazuru, l9h9.
It is a story of a bachelor whose life is complicated
because of his father's past and women. English
translation has the title: Thousand Cranes.

. Yama no Oto, 19h9.

Available in English under the title, The Sound of
Mountain. Winner of the Novel Prize for Literature,
1963.

 

. Yukiguni, 1937.
Translated in English: Snow Country.

 

Kikuta, Kazuo. Kimi no Na Na. 1953.
A heart warming romance of a young girl, by a radio
playwright.

KBda, Aya. Nagareru, 1955.
The life of a geisha household through the eyes of
heroine, a housewife who has to find a work as a
maid.

 

0 01:31:09 19570

Older sister remembers "Younger Brother," whose life
was not easy, but his last days suffering a terminal
illness were peaceful.

. Sazanami no Nikki, 1956.
Title means 1TDiary of Ripples,’ symbolizing a rather
eventless life of a mother and her daughter, and
their relations with people around them.

Mishima, Yukio. Kamen no Kokuhaku, 1950.
Translated in English: Confessions of a Mask. It
takes form of a young man‘s self portrait.

, Kinkaku-ji, 1956.
It treats the background of the Golden Pavillion's
arsonist. Translated into English under the title
The Temple of the Golden Pavillion.

. KinJiki, 1951.

Decadent intrigue in modern Japan. Translated under
the title Forbidden Colors.

 

. Shiosai, 195b,
Story of a strong but uneducated plain youth in a
poor fishing village. Translated into English as
The Sound of Waves.

 

 

3&8

Natsume, SBseki. Zenshu, l9h6.
Complete works of the giant of Meiji literary world,
including Kusamakura (a journey), Kokoro (mind, or

heart), and wagahai wa Neko de Aru (translated into
English under the title, I am a Cat).

Osaragi, Jir5. KikyB, 1950.
Translated as Homecoming. It portrays the contrast
between old and new Japan through the main character
who returns from a long stay abroad.

Serizawa, KBjiro. Ai to Shi no Sho, 1939.
"Book on Love and Death.”7

. Inochi Aru Hi, 19fil.
Roughly translated as 'Living Days,’ and, as the
above title, centers around love, death, and a long
struggle with illness.

Shishi, Bunroku, Jiyfi GakkB, 1951.
A humorous story quite typical of this author's works,
dealing with ordinary people in everyday life.

. Nobuko, 19h0.
Nobuko is the heroine's name. It is about a country
girl who comes to Tokyo as a teacher.

 

. Oba-san, 19hfi.
"Grandmother" is the center of this humorous story

depicting the brighter side of everyday life during
WWII.

 

Tanizaki, Junichiro. Kagi, 1957.
Translated in English as The Key. A novel centering
around an old man and his young wife.

. Sazameyuki, 19h9.

A novel about an old established Osaka merchant
family near extinction just prior to the WWII. The
main characters are the four sisters. Translated as
The Makioka Sisters, and also as Thin Snow.

 

. Tade Kuu Mushi, 1951. _
A man and his wife who is about to leave for another
man. Translated in English as Some Prefer Nettles.

 

Tokutomi, Roka. Hototogisu, 1897.
A tragedy of a young woman who became a victim of
her mother-in-law's scheme while her beloved husband
was in the Navy on the sea. Based on the life of
General Uyama's daughter.

Tsubota, JBji. Kaze no Naka no Kodomo, 1936.
Title may be translated as "Children in the Wind,"
and is a portrait of two children who are growing up
in the difficult time of WWII.

. “‘1

 

Emma. -.' V»
1‘ _

3H9

Yamamoto, Yfiza. Robb no Ishi, 19h1.
"Pebbles on the Roadside," a story of a mother and
her child. Because of suppression from the military
during and prior to WWII, the author left this novel
incomplete rather than submit.

Yokomitsu, Riichi. Kazoku Kaigi, 1935,
"Family Conference,“T deals with Tokyo and Osaka
stock exchanges, their competition,and opposition
with each other in general. A Tokyo merchant borrows
money from an Osaka merchant with a very high interest.

. Ryoshu, 1936.
TNostalgia of a young man abroad. Depicts the

sentiment of his and others' for their home country
while staying in Paris, and when about to come home.

 

 

Yoshimura, Akira. Kfinetsu ZuidB, 1967.
"A High Temperature Tunnel," is a novel based on the
most difficult and unique construction of a tunnel
necessary for building Kurobe Dams during WWII.

 

 

 

 

 

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