Themes in Chinese Psychology

Themes in Chinese Psychology Hong Kong Shue Yan University Australia • Brazil • Japan • Korea • Mexico • Singapore • S...

Author: Catherine Tien-Lun Sun

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Themes in Chinese Psychology Hong Kong Shue Yan University

Australia • Brazil • Japan • Korea • Mexico • Singapore • Spain • United Kingdom • United States

Themes in Chinese Psychology Catherine Tien-Lun Sun Publishing Director: Paul Tan Assistant Publishing Manager: Pauline Lim Senior Product Director: Janet Lim Senior Product Manager: Charles Ho Copy Editor: Deborah Berger-North Cover Designer: Meng Hui Lee Compositor: International Typesetters

© 2008 Cengage Learning Asia Pte Ltd ALL RIGHTS RESERVED. No part of this work covered by the copyright herein may be reproduced, transmitted, stored or used in any form or by any means graphic, electronic, or mechanical, including but not limited to photocopying, recording, scanning, digitizing, taping, Web distribution, information networks, or information storage and retrieval systems, without the prior written permission of the publisher. For permission to use material from this text or product, email to [email protected]

ISBN-13: 978-981-4227-93-3 ISBN-10: 981-4227-93-5 Cengage Learning Asia Pte Ltd 5 Shenton Way #01-01 UIC Building Singapore 068808 Cengage Learning products are represented in Canada by Nelson Education, Ltd. For product information, visit cengageasia.com

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Brief Table of Contents

PREFACE

xv

CHAPTER 1

Confucianism and Chinese Psychology

CHAPTER 2

Taoism and Chinese Psychology

CHAPTER 3

Buddhism and Chinese Psychology

CHAPTER 4

The Social Psychological Characteristics of Chinese Society 49

CHAPTER 5

Filial Piety: Social and Psychological Implications

CHAPTER 6

Yuan and its Psychological Implications for Relationship Management 91

CHAPTER 7

Face Management and Patterns of Communication

CHAPTER 8

Female Gender Roles and Gender Egalitarianism in China 135

CHAPTER 9

Chinese Emotions

C H A P T E R 10

Psychopathology and Psychological Wellness in China 177

C H A P T E R 11

Chinese Values, Beliefs, and Causal Attribution as depicted in Classical Chinese Fiction 203 KEY TERMS REFERENCES

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155

225 231

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Table of Contents

PREFACE CHAPTER 1

xv

Confucianism and Chinese Psychology 1 Introduction 2 Confucianism 2 Confucius: The Founder of Confucianism 2 An Overview of Confucianism 3 The Confucian Canon 4 The Analects 4 Mencius 5 The Doctrine of the Mean 5 The Great Learning 5 Important Tenets in Confucianism 6 Benevolence, Righteousness, and Propriety 6 Filial Piety and Loyalty 8 The Moralist and/or Gentleman 9 The Doctrine of the Mean 10 The Five Cardinal Relationships 11 The Mandate of Heaven and the Concept of Heaven 12 The Rectification of Names 13 The Combined Influence of the Tenets 13

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Table of Contents

Confucian Humanism 14 Social and Psychological Perspectives of Confucianism 15 The Cultural Identity of the Chinese 15 Confucianism and Social Identity Theory 15 Confucianism in Counseling and Psychotherapy 16 Confucianism and Economic Development 16 Confucianism and Modern China 18 Review Questions 19

CHAPTER 2

Taoism and Chinese Psychology 21 Introduction 22 Central Tenets in Taoism 22 The Notion of Two Worlds and One In-Between 22 Man and Nature 23 The Concept of Tao 24 The Concept of Wu Wei 25 The Contrasting States of Yin and Yang 26 The Five Elements 27 The Three Treasures 27 The Ultimate Aim of the Individual in Taoism 28 The Taoist Pantheon 29 The Taoist Canon 30 The Taoist System of Divination 31 Taoism and Counseling in China 32 Taoist Humanism 32 Review Questions 33

CHAPTER 3

Buddhism and Chinese Psychology 35 History of Chinese Buddhism 36 World Buddhism Today 36 Basic Premises of Chinese Buddhism 37

Table of Contents

The Four Noble Truths 37 Karma 38 The Wheel of Karma 38 The Six Paths of Transmigration 39 The Noble Eightfold Path 40 Buddhism and the Psychology of the Chinese People 41 Buddhism and Taoism 43 Buddhism and Confucianism 43 Integration of Confucianism, Taoism, and Buddhism 45 Review Questions 47

CHAPTER 4

The Social Psychological Characteristics of Chinese Society 49 Introduction 50 The Self in Chinese Culture 50 Ptolemian versus Galilean Views of Human Nature 50 The Social Orientation Model 51 The Person-in-Relations Model 54 The Operating Self and the Private Self 55 The Completion of Self through Interpersonal Relating 56 Chinese Views of Life 57 Beliefs 58 Psychological Beliefs 58 Social Beliefs 59 Environmental Beliefs 60 Values 61 The Hofstede Project and Related Research 61 The Schwartz Value Survey 64 The Chinese Value Survey 65

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Modern and Traditional Values 65 Humility 66 Culture and Values 66 Chinese Attributional Processes 67 Concluding Remarks 68 Review Questions 68

CHAPTER 5

Filial Piety: Social and Psychological Implications 71 Introduction 72 Reciprocity and Filial Piety 73 Origins of Filial Piety 74 The Four Books and the Five Classics 75 The Book of Filial Piety 75 Filial Piety and Pan-Filialism 76 Instrumental Value of Filial Piety 76 Components of Filial Piety 77 Traditional Components 77 Filial Attitude and Filial Behavior 78 Psychological Correlates of Filial Piety 79 The Cultural Philosophical Perspective 79 Child-Rearing Practices 79 Authoritarian Moralism and Cognitive Conservatism 81 Intergenerational Relationships 82 Differences between Traditional and Modern Concepts of Filial Piety 82 Elder Care 83 Intergenerational Conflict Management 84 Determinants of Filial Piety 85 Education and Socioeconomic Status 85 Age 85

Table of Contents

Gender 86 An Integrated View of Filial Piety 86 Is Filial Piety on the Decline? 86 Two Cultural Protocols of Filial Piety 87 The Dual Model of Filial Piety 87 Concluding Remarks 88 Review Questions 90

CHAPTER 6

Yuan and its Psychological Implications for Relationship Management 91 Introduction 92 Eastern and Western Views of Interpersonal Relationships 93 Unidirectional versus Multidirectional 93 Collectivist versus Individualist 94 Yuan across Cultures 94 The Meaning of Yuan 95 Yuan and Buddhism 96 Origins of Yuan 98 Common Expressions of Yuan 100 Categories of Yuan 101 By Duration 101 By Quality 102 By Type 102 Yuan and Passivity 103 Yuan and Relationship Management 104 The Importance of Yuan in Relationship Development 104 Socio-Psychological Functions of Yuan 105 Yuan Today 107 Conclusion 108 Review Questions 110

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CHAPTER 7

Face Management and Patterns of Communication 113 Introduction 114 The Influence of Confucianism on Face 114 How Face is Gained and Lost 116 Gaining Face 116 Losing Face 117 Face and Personal Ties 118 Hwang’s Face and Favor Model 119 Building and Maintaining Personal Ties 120 Confucianism and Personal Ties 121 Face and Facework 121 Chinese Concepts of Face and Personal Integrity 122 Goffman and Face 122 Cultural Aspects of Face and Facework 123 Face and Communication 124 Implicit or Indirect Communication 125 Listening-Centeredness 125 Relational Personalism 126 Politeness 127 Preservation of Harmony 129 Facing the Future 131 Review Questions 132

CHAPTER 8

Female Gender Roles and Gender Egalitarianism in China 135 Introduction 136 Female Gender Roles 136 Confucian Influences 136 Men for the Exterior and Women for the Interior 137 Devoted Wife, Dutiful Spouse, and Exemplary Mother 138

Table of Contents

Neo-Confucian Texts 139 Son Preference 141 Confucian Influence 141 Provision of Old-Age Security 141 The One-Child Policy and Son Preference 142 Evolution of the One-Child Policy 143 Issues of Gender Equality 144 In Education 144 In Marriage 145 In the Workplace 146 Cross-Cultural Differences in Gender Equality 147 Self-Esteem of Chinese Women 148 Self-Esteem from Chastity Norms 148 Self-Esteem and the Importance Placed on the Family 149 Evidence of Low Self-Esteem 150 The Future of Gender Equality in China 151 From the Old to the New 151 Hopes and Expectations 152 Review Questions 153

CHAPTER 9

Chinese Emotions 155 Introduction 156 What is Emotion? 156 Traditional Chinese Categories 156 Other Definitions 156 Culture and Emotion 158 Sociotypes, Beliefs, and Rules 158 The Universality of Facial Expressions 158 Universal Dimensions of Emotion 159 Cognitive Model of Emotions 161 Independent and Interdependent Construal of Self 162

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Emotional Regulation 165 Synopsis of Culture and Emotion 165 Characteristic Features of Chinese Emotion 166 Lexicon 166 Chinese Conception of Emotion 167 Emotional Moderation 168 Social and Psychological Functions of Emotion in the Chinese 170 Chinese Expression of Specific Emotions 171 Shame 171 Anger 172 Love 173 Other Emotions 174 Emotion and Health 174 Conclusion 175 Review Questions 176

C H A P T E R 10 Psychopathology and Psychological Wellness in China 177 Introduction 178 Traditional Chinese Medicine (TCM) 178 The Mind–Body Connection 178 The Legitimacy of the Somatization Claim 179 Taoist Influences in TCM 180 The Yellow Emperor’s Classic of Internal Medicine 180 Diagnostic Tools in TCM 181 The Soul/Spirit and Life Force in TCMM 181 The Association between the Emotions and the Viscera 182 Other Therapies in TCMM 183 Efficacy of TCM and TCMM 184 Psychopathology in China Today 185

Table of Contents

Koro 185 Neurasthenia 186 Depression 190 Suicide 192 Alcoholism 197 Drug Abuse 199 Conclusion 200 Review Questions 200

C H A P T E R 11 Chinese Values, Beliefs, and Causal Attribution as depicted in Classical Chinese Fiction 203 Introduction 204 The Great Tradition and the Little Tradition 204 Literature and Culture of the Ordinary People 205 Romance of the Three Kingdoms 205 General Background 205 The Virtue of Loyalty 207 The Virtue of Righteousness 207 The Virtue of Benevolence 208 The Virtue of Intelligence 208 The Dream of the Red Chamber 209 General Background 209 Mythical Backdrop 210 Women and Marriages 211 The Impact of Taoism and Buddhism 211 Literary Achievements 212 Values, Beliefs, and Causal Attribution 213 Journey to the West 214 General Background 214 The Main Characters as the Embodiment of the Chinese Personality 215 Taoism, Buddhism, and Confucianism 216

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Values and Beliefs 217 Outlaws of the Marsh 217 General Background 217 The Culture of Chivalry 218 Values and Beliefs 219 Synopsis 219 Collectivistic Tendencies 219 The Self in the Four Classics 221 Confucianism, Taoism, and Buddhism in the Four Classics 221 KEY TERMS REFERENCES

225 231

Preface

People of Chinese descent constitute about one quarter of the world’s population, so with increasing globalization, it is not surprising that the study of spoken (Mandarin or Putonghua) and written Chinese has been gaining popularity in American and European universities. The concept that if four individuals came together randomly, one would be of Chinese descent should be reason enough to generate interest in the psychology of the Chinese people. But is there in fact a body of knowledge known as Chinese Psychology? One point worth pondering is that perhaps the term “Chinese Psychology” is in itself an oxymoron, for it is an established fact that a Cartesian division of mind and body has no place in traditional Chinese medicine (TCM). However there are various affective, behavioral, and cognitive patterns that have been identified as being uniquely Chinese—for instance, the strict observance of the precepts of filial piety and the resultant tendencies towards authoritarianism and conservatism, the deep-rooted belief in yuan ( , dependent origination or fatalism) and the deterministic style of relationship management, and the somatization of mental conditions, to name just a few. Therefore the aim of this book is not to present a comprehensive psychological profile of the Chinese people, but to elucidate various themes that have traditionally been associated with the Chinese psyche. Chapters 1, 2, and 3 begin with an exploration of the influence of Confucianism, Taoism, and Buddhism on the Chinese culture. Then, against this philosophical backdrop, some major themes in Chinese psychology are examined in detail. Chapter 4 looks at some of the social psychological characteristics of the Chinese, such as the definition of the Chinese self and Chinese views of life. Chapter 5 examines the concept of filial piety, which is considered to be the most important virtue to be cultivated by a Chinese person. In Chapter 6, an important form of causal attribution, that of yuan or fatalistic determinism, is investigated. Chapter 7 attempts to establish the significance of face in the

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management of interpersonal relationships. Chapter 8 considers female gender roles and the issue of gender equality in China with reference to the impact of the one-child policy on son preference. Chapter 9 looks at the emotions of the Chinese and addresses issues such as the seeming impassivity of the Chinese face, the alleged suppression of emotions in the Chinese, and the influence of Confucian ethics on emotional expressivity. Chapter 10 explores the landscape of psychopathology in China by tackling the traditional holistic approach of the Chinese to health and examining the view towards psychopathology in traditional Chinese medicine. Issues such as neurasthenia, depression, suicide, alcoholism, and drug abuse are also discussed in this chapter. The book ends with Chapter 11, which veers away from the Great Tradition espoused in philosophies and empirical research and takes a Little Tradition look at the values, beliefs, and causal attribution of the Chinese outlined in classical literature. As previously stated, the themes included in this book do not constitute an exhaustive list, but have been chosen for their general interest. Students of psychology and readers who are keen to understand the Chinese mind will find this a useful sourcebook, giving them broad and meaningful insights. Study questions are posed at the end of each chapter to help students gauge their comprehension and to stimulate critical thinking. Additionally, there is a list of key terms at the end of the book for easy reference. For teachers of Chinese Psychology, teaching supplements, complete with detailed synopses of the chapters, suggested readings and activities, and optional responses to the study questions, are available. It is also hoped that Themes in Chinese Psychology will further encourage Chinese psychologists and psychologists interested in Chinese culture to work together to give more solid form and substance to the field of Chinese Psychology. Catherine T. L. Sun

CHAPTER

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CHAPTER CONTENTS Introduction

The Five Cardinal Relationships

Confucianism

The Mandate of Heaven and the Concept of Heaven

Confucius: The Founder of Confucianism

The Rectification of Names

An Overview of Confucianism

The Combined Influence of the Tenets

The Confucian Canon

Confucian Humanism

The Analects Mencius

Social and Psychological Perspectives of Confucianism

The Doctrine of the Mean

The Cultural Identity of the Chinese

The Great Learning

Confucianism and Social Identity Theory

Important Tenets in Confucianism

Confucianism in Counseling and Psychotherapy

Benevolence, Righteousness, and Propriety Filial Piety and Loyalty The Moralist and/or Gentleman The Doctrine of the Mean

Confucianism and Economic Development Confucianism and Modern China Review Questions

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INTRODUCTION China, Korea, Japan, Singapore, and Taiwan are generally referred to as Confucian societies. In addition to Confucianism, Taoism and Buddhism make up the triumvirate of philosophies that has the greatest impact on the psychology of the Chinese people. Confucianism and Taoism are indigenous to the Chinese culture, but Buddhism was imported into China from Central Asia in the second century BC. In what ways have these three schools of thought influenced the psychology of the Chinese? This and the following two chapters will examine the central themes in each of these schools and attempt to ascertain their influence on the mentality of the Chinese.

CONFUCIANISM Confucianism probably provides the most important system of values and institutions against which all affect, behavior, and cognition of the Chinese in both feudal and modern China have to be viewed, assessed, and comprehended. It is most likely not an exaggeration to say that all persons of Chinese heritage have been influenced by Confucianism to a certain extent, and many in fact pay homage to Confucian values and beliefs.

CONFUCIUS: THE FOUNDER OF CONFUCIANISM Confucius was born in either 552 or 551 BC in the small state of Lu in modern Shandong, of a family descended from the imperial house of Shang. He spent his life developing and propagating a philosophy of just and harmonious social relationships. He was constantly seeking employment in official positions in the government so that he could have the opportunity to put his philosophy into practice. Unfortunately, he did not have much success in this endeavor. It is quite certain that from about 495 BC he spent a number of years in enforced exile from his place of birth, wandering from state to state with a group of his disciples, conversing with feudal princes and hoping for a chance to employ his great talents. However, the last three years of his life, prior to his death in 479 BC, were spent in Lu on literary work and the instruction of his students (Needham, 1956/1972). Confucius lived during a period of history when there was constant strife between the feudal states. There was little law and order, and people generally lived in a state of chaos and uncertainty. Hence, one of the main tenets of his philosophy was to create social order and social harmony. Confucius has

An Overview of Confucianism

always been revered as a great educator who believed that the answers to most issues of humanity lay in being educated in the Way of Humanity. He promoted the notion that there should be no discrimination in education and that every person should have equal access to learning the Way. As a rhetorician, Confucius often used aphorisms and analogies to explain his ideas. Confucian education consisted primarily of instruction in its ethics, and was based on practical rather than theoretical reasoning. Confucius advocated that, in order to create benevolent governments, only those who were educated in the Way of Humanity ought to be employed in government. This paved the way for the creation of a class of scholar-officials and a feudal bureaucracy in the form of the mandarinate.

AN OVERVIEW OF CONFUCIANISM Confucianism is a system of moral, ethical, social, political and philosophical thought, a doctrine of this-worldly social mindedness (Needham, 1956/1972). It was ordained by Emperor Wu (Han Wu Di, 漢武帝) of the Han Dynasty (202 BC–AD 220) that it should be used as a system of government. Study of the Confucian classics became the core of the educational curriculum, and formed the basic syllabus of the government examination system, the ke ju (科舉). This was the beginning of the meritocracy which allowed those who passed the imperial examinations to become government officers, irrespective of their origins, bringing wealth and honor to their families. The ke ju is often cited as a symbol of social equity in feudal China. The imperial examinations lasted until 1905, immediately before the downfall of the Qing Dynasty. This model of meritocracy gave birth to the modern civil service in Europe and the world. A major restructuring of Confucianism was conducted during the Song Dynasty (AD 960–1279) to simultaneously refute and integrate elements of Taoism and Buddhism which were becoming influential. This led to the appearance of Neo-Confucianism, of which Zhu Xi (朱熹, 1130–1200) was the most important proponent. Zhu Xi believed that the Way (Tao, 道) of Heaven (tian, 天) was articulated in principled tenets (li, 理), and li was covered in energy (qi, 氣). Although li was pure in itself, when it was covered in qi, instinctual biological drives or libidinal energies were aroused, resulting in conflict. That is, Neo-Confucians agreed with the Confucian scholar, Mencius, that human nature was originally good, but became impure through libidinal arousal, so that action had to be taken to purify it. The action needed was called ge wu (格物), the investigation of things (Needham, 1956/1972). Ge wu can perhaps be likened to making the unconscious conscious, to increasing self-

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awareness, and to making moral and ethical choices for oneself. The notion of ge wu accentuates the non-passive nature of Confucianism and the importance of self-cultivation. Except for a short period of disparagement and repression during the Cultural Revolution in China from 1966 to 1976, the position of Confucianism as the leading philosophy in China has been uncontested. Since the 1980s, there has been a revivalist movement which has led to the birth of New Confucianism (also referred to as Neo-Confucianism). This movement attempts to reestablish the value of Confucianism in modern China in the face of social turbulence brought about by rapid modernization, globalization, and industrialization. Unlike Taoism and Buddhism, Confucianism does not have a priesthood or clergy with the express purpose of upholding, preserving, and propagating Confucian tenets or performing its rituals. The Confucian “priesthood” is made up of rulers, superiors at work, learned men, family elders, and people in positions of authority. Its institutions are those of the state, the school, the family, and the workplace. In this sense, the apparent absence of a priesthood or clergy has in fact ensured the permeation of Confucianism into every conceivable crevice of Chinese everyday life.

THE CONFUCIAN CANON The Confucian Canon of Four Books (Si Shu, 四書) that exists today was essentially compiled by Zhu Xi (朱熹, 1130–1120). These four books are the Analects (Lun Yu, 論語), the Mencius (Meng Zi, 孟子), the Doctrine of the Mean (Zhong Yong, 中庸), and the Great Learning (Da Xue, 大學). The main tenets of Confucianism are contained within these four books. The major translator of the four books was James Legge (1815–1897), although he employed a system of Romanization which is no longer used today.

The Analects The Analects (Lun Yu, 論語) are a record of the words and acts of Confucius and his disciples and of the many discussions between them. Of notable interest is Chapter 10, which contains detailed accounts of Confucius’s daily activities. The reasons for including this chapter in the Analects have never been made clear, but it is possible that Confucius and his disciplines wished to present Confucius as a mere human being who became a jun zi (君子, moralist/gentleman) through conscientious self-cultivation, and did not want later generations to deify him or to worship him as a demigod. Indeed,

The Confucian Canon

Confucius has always been regarded as a sage of the highest order, and has successfully avoided being deified. Although the chapters in the Analects are grouped by individual themes, some themes, such as filial piety and loyalty, are repeated in different chapters. The chapters appear to be arranged randomly, as one chapter does not logically follow from the previous one or flow into the next one. The Analects taught the basic values of propriety (li, 禮), righteousness (yi, 義), filial piety (xiao, 孝), and loyalty (zhong, 忠) around the central value of benevolence (ren, 仁).

Mencius Mencius is a collection of conversations between the Confucian scholar, Mencius, and the rulers of his time. The dialogues, which are long and accompanied by extensive prose, outline Mencius’s contention that human beings are born with an innate sense of moral righteousness. However, in the absence of proper cultivation, this innate sense of moral righteousness can become corrupt, but is restorable through good moral education and cultivation. The processes of corruption and restoration apply not only to common people, but also to rulers who can rule without benevolence. It is up to scholar-officials to bring rulers who have deviated from the path of benevolence back to the moral way. If such attempts fail, it is morally acceptable for these rulers to be overthrown. Mencius himself was a good example of the corruptibility of human nature, as his mother had to move house three times in order to ensure that, as a boy, Mencius was placed amongst neighbors with high moral and ethical standards.

The Doctrine of the Mean The Doctrine of the Mean (Zhong Yong, 中庸) is a collection of 33 short chapters and is attributed to Zi Si (子思), the grandson of Confucius. This book also constitutes a chapter in the Book of Rites (Li Ji, 禮記). The Doctrine of the Mean prescribes modes of thinking, behaving, and feeling that would lead a person to learn the right way to attain perfection, and is important in cultivating attitudes of moderation.

The Great Learning The Great Learning (Da Xue, 大學) contains a main text which is rather short and is attributed to Confucius. It also contains nine chapters of commentaries

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written by Zeng Zi (曾子), a disciple often praised by Confucius. The importance of the Great Learning lies in its many themes of Chinese philosophy and political thinking, which have been highly influential in Chinese thought. It associates action in self-cultivation with the attainment of social harmony and even world peace. A distinguishing feature of the Great Learning is that it defines tao (道) as the way of learning, which is different from the tao of Taoism (see Chapter 2 on Taoism). Through such a distinction, the Great Learning clearly positions Confucianism as being solely concerned with matters of this world, rather than the supernatural. The Confucian Canon of Four Books made up the core of the curriculum of ke ju (科舉), the civil service examination of the Ming and Qing Dynasties (1368–1911). This fact alone goes to show the extent to which Confucianism has influenced the moral and political thinking of government officials of China.

IMPORTANT TENETS IN CONFUCIANISM Living during a period when there was constant strife between feudal lords, Confucius’s main concern was to develop and propagate a philosophy of social order and harmony. He firmly believed that if benevolence was highly valued by all, there was a clearly defined hierarchy of power, authority, and positions, and each person was fully cognizant of his roles and rules of conduct, then order and harmony would naturally ensue and the Way of Humanity would prevail. To this end, Confucians preached and advocated a number of key concepts on humanity.

Benevolence, Righteousness, and Propriety The relationship between benevolence (ren, 仁), righteousness (yi, 義), and propriety (li, 禮) is clearly stated in the Analects, which said: “Benevolence is the characteristic element of humanity, and the great exercise of it is in loving relatives. Righteousness is the accordance of action with what is right, and the great exercise of it is in honoring the worthy. The decreasing measures of the love due to relatives, and the steps in the honor due to the worthy, are produced by the principle of propriety” (Legge, 1960a). Benevolence, which is also translated as humanity or human-heartedness, is an attitude which is at the roots of righteousness and propriety. Benevolence is considered to be the greatest of all virtues. The heart and core of benevolence lies in the love of another person (Guo, 2001). If people are able to regulate their behavior from the standpoint of showing love for others, interpersonal


harmony and social stability will follow. Benevolence, however, is not to be confused with acts of connivance or attitudes of permissiveness. The show of love in benevolence is compassionate and empathic, and is meant to bring out the best in others. It can be further divided into love of one’s family, loyalty towards one’s superiors, and respect for morally distinguished people. One of the highest compliments that can be paid to a Chinese person is to say that he/she has the aura of a benevolent person (ren zhe zhi feng, 仁者之風). Benevolence, as seen from the passage quoted above, cannot be understood or practiced without a firm grasp of the notions of righteousness and propriety. The spirit of righteousness is demonstrated by matching one’s action with what is right and proper, and the highest form of righteousness is to honor the worthy with one’s action. Righteousness denotes an innate sense of justice, and Confucianism teaches that Man is the noblest of all beings because Man has spirit, life, and perception, as well as a sense of justice. A person with righteousness is expected to adhere to what he/she deems to be right even in the face of seemingly insurmountable obstacles, including the risk of losing his/her life. The popular Chinese phrase yi bo yun tian (義薄雲天) is used to compliment a person by saying that his or her sense of righteousness is so high that it reaches the clouds. A well-known portrayal of propriety is the statue of three monkeys: the first with its right hand over its mouth, the second with its hands over its ears, and the third with its hands over its eyes, admonishing all not to look at, listen to, or say anything that is improper. In truth, the Confucian meaning of propriety covers a broad range of cognition and behavior, from simple politeness to ritual propriety to understanding one’s correct place in society. Ritual propriety clearly distinguishes the hierarchy in dyadic relationships through protocols and ceremonies, ensuring that each person knows his or her place in society and is fully conversant with what constitutes appropriate behavior. For instance, in traditional ceremonies of ancestral worship, women were not allowed to participate, and men presented their ritual offerings according to their seniority in the family. Another example is that in mainland China, it is considered polite and respectful to address those who are learned or who possess experience or expertise in a particular profession as “teacher” (lao shi, 老師). The observance of propriety has far-reaching consequences. For instance, Confucius was opposed to rule by law. He argued that under rule by law, punishment was meted out after the performance of the illegal act, and people behaved themselves out of fear of punishment rather than understanding why they should behave well. However, when people were taught propriety, they tended to internalize proper forms of behavior, and refrained from misbehav-

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ing for fear of shame and loss of face. He also contended that a society ruled by men cultivated in the ways of benevolence, righteousness, and propriety was far superior to one ruled by law (Hwang, 1995a). In modern parlance, this is essentially advocating the superiority of proactiveness over reactiveness. Proactiveness refers to the internalization of ethical values through moral education, whereas reactiveness refers to the possibility of legal sanction for infringement of ethical values. However, commingling morality and law can be extremely confusing for the common people, as legal decisions are based primarily on sagacious teachings and a sense of fairness or morality, rather than logical consistency. Consequently, the common people have come to rely heavily on and comply with the directives of those in authority for moral and legal guidance, further accentuating their dependence on and worship of authority. Practically speaking, there can be three functions of propriety (Cua, 1996). The first is “delimiting,” in that propriety strictly prohibits certain actions and sets boundaries of legitimate action. The second is “supportive,” in that propriety provides legitimate channels through which the agent can satisfy his or her needs and desires. The third is “ennobling,” in that propriety functions as a moral and aesthetic ideal to be emulated. The great emphasis on propriety in Confucianism prohibits and inhibits the open expression of thoughts and feelings, and is likely to be contraindicative to the development of critical and innovative thinking and individuality. The relationship between benevolence, righteousness, and propriety can be thus interpreted: propriety lies at the root of social stability, whereas righteousness dictates how resources are to be allocated. Between benevolence and righteousness, benevolence is the content, and righteousness is the context; between righteousness and propriety, righteousness is the content and propriety is the context. Behind propriety, there must be righteousness, because propriety without righteousness becomes ritualistic, and conveys affectations rather than true sentiments. Righteousness is also at the back of benevolence, because benevolence without righteousness leads to indiscriminate displays of love, care, and concern, and is disruptive to the social hierarchy upon which relational harmony is founded.

Filial Piety and Loyalty In an agrarian economy where the family is the basic unit of production, the maintenance of relational stability and harmony within the family is of the utmost importance. This maintenance is made possible primarily by a strict observance of the hierarchical structure within the family. To make such


observance voluntary, rather than obligatory, Confucians stress the importance of filial piety (xiao, 孝), lauding the expression of filial piety towards parents and the dutiful performance of rituals of ancestor worship as the unmitigated marks of a benevolent person. When filial attitudes, cognitions, and behaviors are consistently endorsed, respect for hierarchy and authority naturally ensues, and relational stability and harmony can be effortlessly maintained. Another reason for Chinese endorsement of filial piety rests in the notion of reciprocity as a universally accepted virtue. As China enters the era of industrialization and modernization, parent–child relationships appear to be upheld more by reciprocity than filial piety (Yeh & Bedford, 2003, 2004). The extension of xiao is zhong (忠), or loyalty to one’s ruler. Today, it is not uncommon to find employers who value the expression of filial piety by their employees to their parents, because employers believe that a person capable of filial piety is also capable of loyalty, and will therefore be more likely to remain loyal to his employer. In ancient China, loyalty was the equivalent of filial piety in a different dyadic relationship, that is, between ruler and minister, and was promoted to consolidate the power of the feudal lords. Contemporary psychologists are of the opinion that there are numerous negative psychological consequents of filial piety. For instance, it has been suggested that the endorsement of filial attitudes by parents is associated with low creativity, low cognitive complexity, and high rigidity in children’s learning. Furthermore, a link has also been established between filial attitudes and fatalistic, superstitious, and stereotypical beliefs (Ho, 1995). For a detailed discussion of filial piety, refer to Chapter 5.

The Moralist and/or Gentleman In the Confucian sense, a moralist and/or gentleman ( jun zi, 君子) is an exemplary man who is morally cultivated, ritually proper, filial, loyal, and benevolent, and is the culmination of Confucian self-cultivation. Confucius provides guidance to self-cultivation thus: “Love of knowledge is akin to wisdom. Strenuous attention to conduct is akin to benevolence. Sensitivity to shame is akin to courage. When humans understand these methods, they will then understand how to cultivate themselves” (Legge, 1960a). Self-cultivation is a lifelong endeavor, and there is simply no shortcut to becoming a jun zi. It is regarded as a necessary condition for the regulation and harmonization of relationships within the family (Ho, 1995). Self-cultivation for the ordinary people is referred to as xue zuo ren (學做人), or learning how to be a person, and entails a process of maintaining psychosocial homeostasis by

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accommodating one’s behavior to the preordained standards of one’s ingroups, society, and culture (Hwang, 1999). In a way, the first step in learning how to be a person is to be cognizant of what constitutes the common good, and be willing to submit one’s needs and desires to it. The standards of self-cultivation for scholars are far more stringent, and are embodied in the popular axiom xiu shen, qi jia, zhi guo, ping tian xia (修身、齊家、治國、平天下), which, in addition to encouraging scholars to cultivate themselves, also exhorts them to unify their families, govern their countries, and bring peace to the world. The most important moral principle for a jun zi to abide by is loyalty, not necessarily to the sovereign, but to the lifelong mission of practicing the Way of Humanity. Confucius himself was known not for his loyalty to any sovereign, but for his loyal commitment to preaching the Way of Humanity. To become a jun zi, an individual must demonstrate at least eight traits (Guo & Liu, 2001). These are: 1. 2. 3. 4. 5. 6. 7.

Demonstrate love for humanity. Possess a sense of honesty, integrity, and magnanimity in dealing with others. Be philanthropic towards the needy. Follow the Doctrine of the Mean and exercise moderation in all matters. Show determination and perseverance in following the Way of Humanity. Emphasize a sense of righteousness over personal gains and profits. Be frank, righteous, just and honorable, and willing to admit to faults and wrongdoings. 8. Be courageous in the pursuit of what is just and fair. A jun zi is the Confucian version of the ideal self, and is expected to remain sagacious on the inside and possess traits befitting a king on the outside at all times. This is referred to as the concept of nei sheng wai wang (內聖外王), literally meaning “inner sage, outer king.” The opposite of jun zi is xiao ren (小人), meaning a petty man who is only concerned with his own welfare and does not get involved in anything unless he stands to gain by it. Calling a person a xiao ren is highly insulting.

The Doctrine of the Mean In the Chinese lexicon, the Doctrine of the Mean (zhong yong, 中庸) is made up of two characters, zhong (中) meaning the middle, and yong (庸) meaning common or plain. However in Confucian teaching, the Doctrine of the Mean does not carry any connotation of being average or mediocre, or of not distinguishing oneself. In fact, this adherence to the mean or the middle


simply means that the individual should ascertain the most appropriate position in any given situation, and this position is not necessarily midway between two opposing poles. The Doctrine of the Mean does not ask the person involved to be non-committal or to compromise. On the contrary, once the mean or what is considered to be right has been identified, the individual is encouraged to hold on to it (Cheung et al., 2003). Hence, the Doctrine of the Mean is practiced firstly in accordance with social propriety, and secondly within the context of benevolence and righteousness. It provides guidance in both the presentation of self in everyday life and decision making in interpersonal situations, particularly those where there are conflicts of interest. In the presentation of self, the Doctrine of the Mean exhorts one to act in moderation. For instance, in terms of dress code, one should never dress flamboyantly, but should dress appropriately in accordance with one’s status and role, and as required by the occasion. Another example is in the management of wealth, in that one should never flaunt personal wealth in front of others, and should live neither extravagantly nor frugally. The same applies to knowledge, in that one must never consider oneself knowledgeable, but should always be receptive to learning. With respect to decision making involving other people, there are three things to take note of. Firstly, one is to see oneself as being entrenched in the social system, and hence one should adopt a broad perspective of matters that occur within this system. Secondly, in following the Doctrine of the Mean, one should be cognizant of the interpersonal dynamics at play and the possible effect of one’s decision on people within the same social system. Thirdly, one should always choose a course of action with the view of maintaining social harmony, even when such a course entails self-sacrifice, self-restraint, or selfdiscipline. Psychologically speaking, the Doctrine of the Mean demands a high degree of self-control, as Confucianism conditions individuals to respond not to their own needs, aspirations, and desires, but to the perceived social standards and obligations. Ostensibly, this might lead to a conflict between the private self and the public self, but Chinese people raised in the Confucian tradition are accustomed to sacrificing their private and small self (xiao wo, 小我) for the public and large self (da wo, 大我) (Ho, 1995; Yang, 2006).

The Five Cardinal Relationships Wu (五) means five, and lun (倫) is an abbreviation of lun chang (倫常), which means normal human relations. In Confucianism, the Five Cardinal Relationships (wu lun, 五倫) refers to the five dyadic relationships between ruler

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and minister, father and son, husband and wife, older and younger brother, and friends. Mencius prescribed the core value in each dyad as follows: “Between father and son, there should be affection; between sovereign and subordinates, righteousness; between husband and wife, attention to their separate functions; between elder brother and younger, a proper order; and between friends, friendship” (Legge, 1960b). Confucius dictated the social and ritual propriety to be practiced between each dyad. Generally speaking, the junior partner of the dyad owes strong duties of service and reverence to the senior partner, and the senior partner owes strong duties of care and benevolence to the junior partner. Relationships which are contradictory to or outside the parameters of wu lun are described as bu lun (不倫), or not normal, and hence not acceptable to society at large. It is strongly believed that if everyone stays within the dictates of the Five Cardinal Relationships, there will be relational harmony, and, by extension, social harmony and stability.

The Mandate of Heaven and the Concept of Heaven The Mandate of Heaven (tian ming, 天命) was a traditional Chinese concept used to legitimize the rule of kings, who were also referred to as Sons of Heaven (tian zi, 天子). In the Chinese lexicon, tian (天) means Heaven, and ming (命) means order, mandate, or command, so tian ming literally means the Mandate of Heaven. A person could not become a king without being blessed with the Mandate of Heaven, which in turn rendered the authority of the rulers absolute. However, Mencius specifically pointed out that Heaven would bless the authority of a just and benevolent ruler, but would be displeased with a cruel and unwise ruler and give the Mandate to someone else. Confucians also bestowed the responsibility of remonstrating with rulers who had deviated from the Way of Humanity on scholar-officials, and Chinese history is full of stories of loyal scholar-officials who risked or lost their lives pursuing this feat. The Mandate of Heaven was predicated upon the Concept of Heaven (tian ming guan, 天命觀). Confucians perceive Heaven as the absolute embodiment of authority and the perfect personality. Heaven has the ability to manage the norms of the Universe and to execute the rights of reward and punishment. The ultimate goal of self-cultivation for human beings is to become one with Heaven. The three attitudes towards Heaven are to experience it, fear it, and preserve it (Guo, 2001). The belief in the Mandate of Heaven and the Concept of Heaven indicates three phenomena: firstly, the Chinese ascription to an external locus of control;


secondly, the Chinese worship of authority; and thirdly, an inherent attitude of fatalistic determinism.

The Rectification of Names For Confucians, social disorder results from failure to perceive, understand, and deal with reality, which is in turn the result of failing to address matters by their proper names. Names, in Confucianism, connote roles and responsibilities. The rectification of names (zheng ming, 正名) signifies living up to one’s roles and responsibilities by being proper in one’s language and behavior, that is, observing social propriety. The importance of the rectification of names is evident in the extremely meticulous manner in which familial relationships are named. For instance, cousins from the paternal side are given the prefix tang (堂), and those from the maternal side are given the prefix biao (表). Maternal cousins are considered to be more remote than paternal cousins, as the latter have the same surname as oneself. If a maternal cousin and paternal cousin approach one for limited resources, one is expected to act properly and favor the paternal cousin. In terms of marriage, one may marry one’s maternal cousin, but never one’s paternal cousin, although the genetic proximity of the two types of cousins to oneself is the same. Confucians believe that with the rectification of names, propriety will be observed, sociopolitical order will naturally follow, and society will run on its own without any form of external control.

The Combined Influence of the Tenets The ideal Confucian scholar possesses the qualities of benevolence (ren, 仁), righteousness (yi, 義), filial piety (xiao, 孝), and loyalty (zhong, 忠). He observes social propriety (li, 禮) through the rectification of names (zheng ming, 正名), and regards self-cultivation as a lifelong endeavor. For this ideal Confucian scholar, becoming a jun zi (君子, moralist and gentleman) and paving the way to becoming one with Heaven (tian ren he yi, 天人合一) are the ultimate goals of self-actualization. In his actions, he abides by the Doctrine of the Mean (zhong yong, 中庸) and is instrumental in maintaining relational harmony in all spheres of his life. In terms of personality, the ideal Confucian scholar would, according to Wright (1962) possess these traits: 1. Submissiveness to authority—parents, elders and superiors. 2. Submissiveness to the mores and the norms (li).

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3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13.


Reverence for the past and respect for history. Love of traditional learning. Esteem for the force of example. Primacy of broad moral cultivation over specialized competence. Preference for nonviolent moral reform in state and society. Prudence, caution, preference for a middle course. Non-competitiveness. Courage and sense of responsibility for a great tradition. Self-respect (with some permissible self-pity) in adversity. Exclusiveness and fastidiousness on moral and cultural grounds. Punctiliousness in treatment of others.

From this description of the ideal Confucian scholar, it can be seen that Confucianism used relationship dominance to describe the essence of social behavior in China. Individuals have no importance in and by themselves. Their individual identities are entwined with the collective identity, and they are expected to attach primary importance to notions of reciprocity, interdependence, and interpersonal harmony (Ho, 1995).

CONFUCIAN HUMANISM The phrase ji suo bu yu, wu shi yu ren (己所不欲, 勿施於人), meaning “Do not do unto others what you would not do to yourself,” is a popular Chinese motto. From this, it is easy to see that the root of Confucian humanism lies in its concept of benevolence (ren, 仁), which is defined as love between two persons. Other popular Chinese mottos urge individuals to care for the elderly as they would their elders at home and to care for youngsters as they would their own children. Additionally, the rich, powerful, or privileged are expected to care for the less fortunate members of society. Indeed, however it is expressed, Confucian humanism always exhorts the individual to put the needs and wishes of others before his/her own, and there appears to be a deep-seated yet unspoken trust in the innate benevolence of people, a belief that when you take care of others, others will likewise take care of you. Confucian humanism is nonetheless further regulated by righteousness (yi, 義) and propriety (li, 禮) to ensure that one not only does what is right, but also does it in a proper way. For instance, if a Chinese family is starving, a proper thing to do is not to take them food, but to invite them to a sumptuous dinner on the pretext that you wish to celebrate your birthday with them. Although feeding the family is a benevolent act, and directly giving food to


them is the right thing to do, it is not proper because it does not take into account the issue of face.

SOCIAL AND PSYCHOLOGICAL PERSPECTIVES OF CONFUCIANISM The Cultural Identity of the Chinese Confucianism has been recognized for its indisputable role in shaping the cultural identity of the Chinese, and simultaneously held responsible for its contribution to the formation of the repressed personality of the Chinese and for various forms of social injustice in China. For instance, Confucian traits such as the inequality between genders, absolute obedience towards authority, respect for hierarchy, conformity to collective standards and demands, and suppression of emotions are deemed to be cultural blocks to creativity (Kim & Margison, 2005). Furthermore, a number of personality attributes including dogmatism, authoritarianism, high conformity, low creativity, and lack of independence have been found in people holding filial attitudes (Ho, 1994a, 1996). Wei-Ming Tu, a recognized authority on Confucianism, was aware of the accusations that Confucianism encourages familialism, authoritarianism, antiquarianism, passivity, submissiveness, and stagnation, but also argued that the Confucian emphasis on teaching and learning and mutuality might compensate for these flaws. In other words, while admitting to Confucianism’s complicity in the many forces of social injustice in China, one should also recognize its contribution to the formation and preservation of Chinese cultural identity (Tu, 1993).

Confucianism and Social Identity Theory The social psychological value of Confucianism in the realm of interpersonal relationships was elucidated by Hwang (1999), who began his treatise by first providing a rationale for the Confucian construction of the Way of Humanity. According to this rationale, the Universe is deemed to comprise Heaven and Earth, or the forces of yin (陰) and yang (陽). When males (the force of yang) unite with females (the force of yin), a second generation of human beings are born. This provides the foundation for structuring dyadic social relationships between fathers and sons, and sovereigns and subordinates. Further on, a discourse on the ideal arrangement of interpersonal relationships for ordinary people and for scholars was presented. It was argued

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that for ordinary people, the Confucian value of filial piety acts as a source of social identification, and for scholars, the value of loyalty serves the same function. The manifestations of filial piety (xiao, 孝) and loyalty (zhong, 忠) are guided by the spirits of benevolence (ren, 仁), righteousness (yi, 義), and propriety (li, 禮). From this foundation, it is evident that interpersonal relationships are assessed along the two social dimensions of intimacy–distance and superiority–inferiority. The favoring of intimates is termed benevolence, the showing of requisite respect is termed righteousness, and behaving in accordance with established norms is termed propriety. In a dyadic relationship, the person in the superior position is normally the resource allocator, and he/ she is expected to favor those closest to him/her. Respecting the superior as the resource allocator and favoring those closest to oneself are both righteous according to Confucian ethics. Therefore, it is postulated that the primary goal of self-cultivation in Confucianism is to engage the individual in a process of socialization whereby his/her personal identity becomes submerged under his/her social identity, and his/her personal desires are eliminated by following the Way of Humanity (Hwang, 1999).

Confucianism in Counseling and Psychotherapy There has been no significant effort to integrate Confucianism into counseling and psychotherapeutic work with the Chinese, although it is evident that the Chinese character is considerably affected by this school of thought. A possible explanation for this state of affairs is that counseling and psychotherapy originated in Europe and America, where individualism is obviously valued over collectivism, and therefore Confucianism, which advocates collective values, does not have an apparent place in these professions. However, models of counseling and psychotherapy indigenized to suit the needs of the Chinese personality could conceivably incorporate the value of benevolence in relationship counseling, the values of righteousness and the Doctrine of the Mean in assertiveness training, and the value of filial piety in family therapy, to name just a few possibilities.

Confucianism and Economic Development The rapid economic development of East Asian countries such as Hong Kong, Singapore, Taiwan, and Korea has been attributed to Confucian ethics. These include a socialization process within the family that emphasizes self-restraint, education, skills learning, and adopting a serious attitude towards work, family


and obligations; contributing to the collectives that one identifies with; showing respect for hierarchy and taking it for granted; and attaching importance to the complementariness in interpersonal relationships (Hwang, 1995b). It has been made clear that from the perspective of formal rationality, Max Weber (1968) was probably justified in claiming that Confucianism was not conducive to the development of industrial capitalism (and hence rapid economic development) in China (Hwang, 1995b). This is because formal rationality demands that one denounces all traditional obligations and focuses only on maximizing one’s gains, and is therefore a perfect antithesis to Confucianism, which emphasizes respect for hierarchy, relational harmony, and moral obligations. However, it has also been pointed out that because Confucian ethics are substantive in nature, their influence on economic development in China cannot be comprehended from the perspective of formal rationality, but a reasonable assessment can be made by examining the three central tenets of Confucianism, namely: 1. The Way of Humanity (ren dao, 仁道), from which the concepts of benevolence, righteousness, and propriety are derived to constitute the ethical system that regulates the dyadic relationships of sovereign–subordinate, father–son, husband–wife, elder and younger brothers, friends, and so on. 2. Self-cultivation in accordance with the Way of Humanity, in which lies an intricately defined system of self-cultivation where individuals are encouraged to diligently apply themselves to learn the Way, and to practice it assiduously. 3. Redeeming the world with the Way of Humanity, in that Confucianism encourages scholars to shoulder the mission of redeeming the world with the Way of Humanity by applying their knowledge of the Way in public affairs (Hwang, 1995b). On the basis of these tenets, it is argued that although Confucianism does not emphasize formal rationality, which is seen by Weber as essential to the development of industrial capitalism, the Way of Humanity it propagates is suffused with notions of diligent application to work. Furthermore, by propounding a collective perspective on life, Confucianism, on the one hand, encourages the individual to work hard, to be frugal, to save, and to pursue social resources for the primary purpose of meeting the needs of family members while, on the other hand, Confucians also expect the individual to be achievement-oriented to bring honor to himself/herself and his/her family. This attitude of working hard in pursuit of outward achievement, together with the adoption of formal rationalism by scholars who have had the opportunity to study abroad in the West, have been instrumental in the construction

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of economies that are characterized by hardworking people, and legal and administrative systems built on the basis of formal rationalism. It is therefore proposed that these elements form a framework explaining the rapid economic development of East Asian countries. Although the validity of this explanatory model has yet to be empirically tested, it is a reasonable conjecture to attribute fast economic development in China and other East Asian countries to the Confucian work ethic, the emphasis on meeting the material needs of family members and honoring self and family through achievement in the work place, and the willingness to import from the West systems of law and administration founded on formal rationalism. In fact, in an earlier discourse, the concept of a development-oriented “industrial Confucianism” comprising the three elements of meritocracy, group solidarity, and self-improvement was advanced (Vogel, 1991). Ascribing rapid economic development in East Asian countries to Confucianism is a way of attesting to the fact that Confucianism is not static, stagnant, or dead. On the contrary, it is still an integral part of the Chinese cultural identity, and has provided the Chinese with a much-needed competitive edge in the world today.

CONFUCIANISM AND MODERN CHINA As China has undergone the transformation from an agricultural society to an industrial and commercial one, there has been a concomitant shift from home-centeredness to organization-centeredness. With this shift, the values emphasized are now more likely to be professional achievement rather than Confucian benevolence, and social status that which is achieved rather than ascribed (Hwang, 1999 & 2000). It has also been found that as China has changed from an agricultural economy to an industrial economy, young people have gone outside their families to find work and become financially independent (Yang, 1988). This has substantially weakened the position of authority of the patriarch as resource allocator. Additionally, as more women have joined the labor force and became more involved in the financial decisions within the family, the superiority of men over women has also diminished. Yet, despite these changes in the content of Chinese familism, the cultural ideas about family, such as maintaining harmony and emphasizing interdependence, have prevailed. On a politico-philosophical level, it has been proposed that the Chinese government needs to legitimize its rule (Kang, 2006). However, it is not believed that liberal democracy can provide the answer, because concurrent evidence has not shown it to be consistent with economic growth, the eradication of

Review Questions

corruption, the purging of poverty, or political stability. Instead, the answer is believed to lie in the revival of a Confucian culture, because through this, benevolence can be reinjected into Chinese society, and a benevolent government will be born. The revival of Confucianism in China was further examined by Cha (2003). He pointed out that the two critical challenges faced by Confucianism were the popularization of Indian Buddhism in the twelfth century and the influence of the western representation of science and democracy in twentieth-century China. Neo-Confucianism arose during both periods to meet the challenges of Buddhism and westernization. In fact, in China today, it is estimated that 10% of the intellectuals are involved in a Neo-Confucian movement, making it a powerful social force. The position of twentieth-century Neo-Confucians is firstly that China needs to enter an era of modernization, although modernization does not necessarily mean westernization. In fact, it is inconceivable that a culture can be developed and modernized simply by replacing a traditional version with a modern one. Secondly, Neo-Confucians recognize that traditional Confucianism has become stale and stagnant and has lost its cultural vitality. However, what is needed is cultural revitalization rather than a complete uprooting, which is essentially an impossible task. This is because Confucianism is so embedded in Chinese culture that uprooting it would be tantamount to annihilating the Chinese culture. Thirdly, Neo-Confucians distinguish themselves from western scientific methodology by suggesting that they are focused more on the use of philosophical methods to seek ethical virtue, rather than on scientific truth. As such, Confucianism pours forth a paradigm of moral metaphysics that provides Chinese people with a perception of the ways of the cosmos, the relationship between Man and the cosmos, and an accompanying emotional experience. All these are essential for the Chinese in the development and sustenance of a cogent social identity, and by extension, the maintenance of relational stability and harmony.

REVIEW QUESTIONS 1. What, would you say, is the core value in Confucianism? Why? 2. What is the relationship between the values of benevolence (ren, 仁), righteousness (yi, 義), and propriety (li, 禮)? 3. What influence does the concept of the Confucian gentleman and moralist (jun zi, 君子) have on the Chinese mentality? Is this concept related to the value placed on humility?

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4. What does the Doctrine of the Mean entail with respect to the affect, cognition, and behavior of the average individual of Chinese descent? 5. In what ways does Confucianism promote interpersonal harmony? 6. How does Confucianism contribute to the relational identity of the Chinese? 7. Why has Confucianism always enjoyed a sturdier and more pervasive influence amongst the Chinese people than Taoism or Buddhism? 8. What is the perceived relationship between Confucianism and social identity theory? 9. The recent economic prosperity of China, South Korea, and Singapore has been attributed to Confucian ethics. Do you see any credibility to such an attribution? 10. How does Neo-Confucianism propose to meet the demands of the Chinese in the development and sustenance of their social identity?

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Taoism and Chinese Psychology


The Taoist Pantheon

Central Tenets in Taoism

The Taoist Canon

The Notion of Two Worlds and One In-Between

The Taoist System of Divination

Man and Nature The Concept of Tao The Concept of Wu Wei The Contrasting States of Yin and Yang The Five Elements The Three Treasures The Ultimate Aim of the Individual in Taoism

Taoism and Counseling in China Taoist Humanism Review Questions

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INTRODUCTION Taoism is a unique combination of mysticism, religion, and philosophy. As a system of mysticism, it is possibly the only one in that world that is not intensely anti-scientific (Needham, 1956/1972). Philosophically, Taoists are naturalists, and believe that human life is inevitably influenced by such natural events as the movement of the constellation of stars and changes in the weather. In this respect, Taoism has influenced many western philosophers and psychologists, such as Richard Wilheim, Carl Jung, Alan Watts, and Erich Fromm. As a religion, Taoism is indigenous to the Chinese and originated in China around 500 BC, and is still influential amongst Chinese today. Taoism has two origins: The first comprises the philosophers of the Warring States (approximately 476–221 BC) who were opposed to following the Way or Tao of Humanity as espoused by Confucians. These philosophers suggested that the Confucian way of life was far too contrived and constrictive, and believed that social harmony could not materialize without a profound understanding of the Way or Tao of Nature. The second comprises the amalgam of shamans and magicians who have existed in Chinese culture since ancient times, and have profoundly influenced aspects of Chinese life such as the practice of medicine, alchemy, nature worship, and demonology. Needham (1956/1972) explained that due to the lack of differentiation between science and magic prior to the seventeenth century, it was possible for the rational and philosophical aspects to be joined with the mystical and magical aspects to form the Taoist system of thought. Taoism stands in stark contrast to Confucianism, and rejects Confucianism’s basic tenets, such as emphasis on social propriety, hierarchical organization, and government rule by scholar-officials. Taoists believe that living simply in harmony with Nature and being free from the social encumbrances brought on by the pursuit of fame and fortune are the conditions most conducive to happiness and peace of mind.

CENTRAL TENETS IN TAOISM The Notion of Two Worlds and One In-Between In Taoism, there are two ideal worlds: this world in which humans reside, and the other-world to which humans aspire to ascend. The ideal this-world is one which is just, peaceful, and without wars and calamities. A Taoist achieves this ideal in two ways: by leading a simple, non-competitive, and non-contentious life; and through the strategic use of Taoist instruments of divination to accrue enough power and wealth to be in total control of one’s life.


The ideal other-world is the world of celestial beings. The ascension from this world to the world of celestial beings does not necessarily have to occur after death, but is attainable through ways and means such as the ingestion of elixirs of life, breathing exercises, internal alchemy, magical rituals, or the accumulation of effort and virtues, the last of which is possibly added as a concession to Confucianism. Taoism differs from other religions, such as Buddhism, in that it does not regard life as full of suffering and death as a form of release. Taoism views life as full of wonders, and death, which is a cessation of wonders, as painful. Hence, Taoists seek longevity, and defy ageing and dying through their various practices of self-cultivation. The Taoist believes that through careful cultivation, an individual can possess an ageless body. This belief has laid the foundation for the development of healthenhancing disciplines such as herbal medicine, acupuncture, acupressure, qigong, the martial art tai ji quan, medicinal cuisine, alchemical meditation, and so forth. In between this-world and other-world is the realm of demons and ghosts. In terms of demons, Taoists believe that if a tree, plant, flower, or animal is able to stay alive for hundreds of years, then it has absorbed the vital energy of the sun and the moon, and has acquired demonic powers. As for ghosts, zombies, vampires and the like, Taoists have a complete system of capturing, taming, and annihilating them. The Taoist notion of two or three worlds has infiltrated the minds of many, as exemplified not only in the rituals performed in funeral homes and Taoist temples, and rites of passage of the underworld, but also through the popularity of movies, video games, and dramas with other-worldly themes.

Man and Nature Taoists are particularly concerned with the relationship between Man and Nature. In Chapter 25 of the Tao Te Ching (道德經) (Chan, 1963), it is stated that Man should follow the way of the Earth, the Earth should follow the way of Heaven, Heaven should follow the way of Tao, and Tao should follow the way of Nature (ren fa di, di fa tian, tian fa dao, dao fa zi ran, 人法地, 地法天, 天法道, 道法自然). Taoism considers the human being to be one of the phenomena that exist in the Universe which came into being spontaneously through the interplay of cosmic forces that operate in accordance with the principle of Tao (道). These cosmic forces coexist, and may simultaneously be in contradiction or codependent. Ancient Taoists believed that the human body was homologous to the Universe, and that human life was just a microcosm existing within the macrocosm of the Universe. The microcosm, nonetheless,

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was a perfect reflection of the macrocosm. Hence, a harmonious relationship between Man and Nature was to be cherished, and as a microcosm, Man was supposed to follow Tao. All beings in the Universe were equal, and human beings were by no means the most superior creatures. In modern Taoism, this macrocosm–microcosm concept is revealed in the fact that the composition of any object or being can be reduced to a combination of yin–yang polarity, or the Five Elements of metal, wood, water, fire, and earth. The human heart, liver, spleen, lungs, and kidneys correspond to fire, wood, earth, metal, and water respectively. A person with an inflamed kidney is likely to be considered to have too much yang energy, but instead of working on the kidney directly, the herbalist might choose to reduce the activity level of the liver. This indicates a relatedness or holistic approach to life, a belief that all objects and beings in Nature are interdependent. It also permits the coexistence of Taoist and Confucian principles within the Chinese mentality, as both schools of thought emphasize harmony, although Taoism is more about harmony between Man and Nature, whereas Confucianism is more concerned with interpersonal harmony.

The Concept of Tao Tao (道) refers to the order of nature, the way in which the Universe works. In Chapter 1 of Tao Te Ching (Chan, 1963), it is said that “The Tao that can be told, is not the eternal Tao. The name that can be named, is not the eternal Name” (dao ke dao, fei chang dao. ming ke ming, fei chang ming, 道可道, 非常道。名可名, 非常名。). Tao is perhaps to be experienced and lived, and not to be described because of the inherent limitations of language. “The sage is to imitate the Tao, which works unseen and does not dominate” (Needham, 1956/1972). Thus, Taoism represents a naturalistic pantheism which emphasizes the unity and spontaneity of Nature. If Tao is indescribable, how can Man discern the ways in which Tao works? A possible answer lies in the reference to Taoist temples as kuan (觀), a Chinese word meaning to look at or to observe. Hence, in calling Taoist temples tao kuan (道觀), there is the obvious intimation that the way to understand Nature is to engage in scientific and systematic observation. If one follows this line of thinking, taking into consideration the fact that science and magic were inseparable before the seventeenth century, it is reasonable to expect that there might be a scientific foundation to the Taoist system of divination. The observation of Nature, the learning of the ways of Nature, and the imitations of these ways all require passivity and receptivity. This stands in direct opposition to the Confucian approach of active management of


interpersonal relationships, which requires domination, control, calculation, and even manipulation. Taoist philosophers launched bitter and violent attacks on Confucianism and the feudal system which Confucianism sought to uphold, harmonize, and protect. In particular, Taoism emphasized that human beings could not be regarded as the center of the Universe, or as the most superior of all creatures, as espoused by Confucianism. Taoism was opposed to the whole notion of hierarchy and the differentiation of society into classes, believing that since in Nature, no one thing is greater or smaller than another, this ought to be the case in human society. Taoists sought a cooperative society where people carried out their activities communally and in accordance with traditional customs. It was believed that in such a society, where people were mutually dependent on each other for survival, and where people did not seek to dominate or control each other, peace, harmony, and stability would naturally prevail (Needham, 1956/1972). However, the history of mankind seems to indicate such a state of being to be in contradiction to human nature, and western theories of psychology, be they psychoanalytic, humanistic, behavioral, transpersonal, or cognitive, would render this Taoist ideal of human existence unnatural and unrealistic.

The Concept of Wu Wei Needham (1956/1972) disagreed with most sinologists’ interpretations of wu wei (無為) as inaction or inactivity. Instead he believed that wu wei indicated an attitude of not engaging in any activity which was contrary to Nature. He further referred to wu wei as a lawless and primitive form of peasant life whereby human beings tend to prosper in the absence of interference from the rulers, just as plants tend to flourish in the absence of interference from human beings. When one follows the attitude of wu wei, one permits matters to work out by themselves in accordance with their intrinsic principles. Hence, the seemingly oxymoronic expression of “acting without action” (wei wu wei, 為無為) can be interpreted as not acting against Tao and/or acting in accordance with Tao. The concept of wu wei has been likened to the attitude assumed by the facilitator of an encounter group utilizing Carl Roger’s Person-Centered Approach, that is, doing nothing, being genuine and natural, and allowing the individuals to develop spontaneously (Hermsen, 1996). In terms of economic development, the notion of market Taoism as opposed to market socialism for China has been promoted in the belief that non-interference (wu wei) from government would permit market forces to weed out the weak and retain the strong, thus producing a robust economy (Dorn, 1998).

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The concept of wu wei is contingent upon the belief that human beings “naturally” move towards integration, not disintegration; assimilation, not dismantlement; harmony, not chaos; and self-actualization, not self-depletion.

The Contrasting States of Yin and Yang In nature, events and matters always exist in pairs of contrasting states, e.g., male and female, hot and cold, wet and dry, darkness and light, and solid and fluid, and these states are referred to as yin (陰) and yang (陽). Yin has no meaning in the absence of yang, and vice versa. This concept is best demonstrated by the taijitu (太極圖) (see Figure 2.1) in which the yang is represented by the white tadpole and the yin by the black tadpole, but the yin and yang are also simultaneously present in each other. Generally speaking, yin is associated with properties such as darkness, softness, passivity, sluggishness, coldness, being cognitively-oriented, and being withdrawn or inhibited, whereas yang has the properties of brightness, hardness, activity, liveliness, hotness, being action-oriented, and being forward or aggressive. Yin and yang are constantly interacting and competing with each other, and from this interaction and rivalry, change becomes a constant in the Universe. Nature, however, has to ensure that change does not lead to atrophy, and in this regard, it effects a dynamic balance between the polarities of yin and yang. Man is a microcosm reflecting Universe the macrocosm, and in this sense, Man has to find a balance between the yin and yang both within and outside himself.

Figure 2.1

The taijitu


These notions of change as a constant in the Universe and the dynamic balance between yin and yang are perfectly reflected in the tajitu, which is regarded as an unqualified exemplar of naïve dialecticism (Peng, SpencerRodgers, & Nian, 2006). The circle represents a holistic state of being that has no beginning or end, the tadpole-shaped symbols simulate continuous movement or change, and contradiction is reflected in the white eye in the black tadpole and the black eye in the white tadpole. The symbol makes sense only when appreciated as a whole, just as human discourse only makes sense when multiple points of view are taken into consideration. The yin and yang and the taijitu represent a perennial quest for a state of equanimity, equilibrium, or homeostasis in Man’s relationship with Nature, in interpersonal relationships, in mental and physical health, in wealth management, in politics, and in all other walks of life. This state is dynamic, not static, and it comes about not through manipulation or interference, but through acting in accordance with Tao. In this sense, the typical Taoist is not the stereotypically passive and receptive individual, but is vigilant, observant, and open to change.

The Five Elements Apart from yin and yang, balance is also sought in the Five Elements (wu xing, 五行), which was developed to describe changes in Nature. The Five Elements of metal, wood, water, fire, and earth interact with each other either through inhibition or enhancement. The concept of the Five Elements is used extensively to explain and predict natural phenomena such as changes in weather conditions, astronomical movements, tidal changes, and geomantic patterns. In the classic Chinese novel, Romance of the Three Kingdoms, the sagacious Zhuge Liang (諸葛亮) could create myths such as being able to “borrow” the easterly winds because he was fully conversant with the Taoist system of divination and could accurately predict weather conditions. The Five Elements are also used to describe organs of the human body and their physical and psychological functions. Some of the most important principles in traditional Chinese medicine (TCM) are centered around an understanding of the mutually inhibiting and enhancing qualities of the Five Elements (see Chapter 10 for more details on TCM).

The Three Treasures The Three Treasures (san bao, 三寶) represent the three virtues advocated in Taoism. They are ci (慈), meaning compassion and kindness; jian (儉),

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meaning restraint, economy, or moderation; and bu gan wei tian xia xian (不敢為天下先), meaning not daring to be the first. Ci entails loving others and the world as one would treasure one’s own existence. Jian entails having an attitude of simplicity, living a simple life, and having simple desires. Bu gan wei tian xia xian refers to an attitude of non-competitiveness and of humility, of learning from the experience of forerunners and enjoying the fruits of this learning. A person in possession of the Three Treasures is compassionate, acts in moderation, shows humility, and does not seek to distinguish himself. In this sense, Taoism appears to endorse the Confucian values of benevolence, the Doctrine of the Mean, and humility. Such a person would follow a life of simplicity and spontaneity, in harmony with Nature. Being steeped in the ways of spiritual Taoism, he/she would seek self-transcendence and would attempt to hide his/her true self from public view by acquiring a state of selflessness or insipidness. There is a popular saying among practitioners of spiritual Taoism that the truly experienced Taoist can make himself/herself invisible in a city, while the less experienced Taoist can only become invisible in a mountain (da yin yin yu shi, xiao yin yin yu shan, 大隱隱於市, 小隱隱於山). According to this view, Taoism fosters psychological decentering because of the presence of the notion of selflessness, and equality because of the merging of the self with Nature and the resultant absence of any I–Thou distinction (Ho, 1995).

The Ultimate Aim of the Individual in Taoism The ultimate aim of a Taoist is to achieve material immortality. Taoists firmly believe that it is possible to arrest or reverse the process of ageing, and to stay young forever. This belief stimulated the development of the techniques of alchemy in early China. Taoist alchemy can be differentiated into internal and external alchemy. Internal alchemy primarily includes meditation techniques, visceral gymnastics, sexual practices, diet, and breathing exercises. External alchemy is involved with the notion of spagirism, the making of pills of immortality. Taoists are known to be in possession of a plethora of formulas, and indeed, modern pharmacological techniques have been employed in the production of pills of longevity for commercial distribution. It is not uncommon to see a whole range of such products in an average pharmacy in China, and this attests to the influence of Taoism in the everyday life of the Chinese. To achieve material immortality is to become a hsien (仙), an immortal or celestial being, and to do so, the body must be prepared by a lifetime of Taoist practices (Needham, 1956/1972). The individual must also acquaint himself/

The Taoist Pantheon

herself with the principles of geomancy or feng shui (風水) in order to live in harmony with Nature and to gather the vital energy of the Universe. Today, these techniques are still taught by Taoist masters and studiously practiced by their students. With regard to the Toaist practices mentioned above, Taoist gymnastics in the forms of tai ji quan (太極拳, literally “supreme ultimate boxing”) and tai ji jian (太極劍, literally “supreme ultimate swordplay”) are widely practiced not only in China but worldwide. There are innumerable schools of Taoist gymnastics, all purporting to integrate movement with principled breathing. Breathing exercises are commonly referred to as qigong (氣功), and focus upon the gathering of vital energy from the Universe through rhythmic breathing and movements. There are many schools of qigong, and qigong masters teach specific techniques to enhance health, control weight, and overcome chronic illnesses. In recent decades, the alleged health effects of qigong have been subjected to empirical research. Taoist meditation uses guided imagery to direct the flow of vital energy (qi, 氣) inside the body. The claimed effects of Taoist meditation include deep relaxation, increased vitality, and reversal of the process of ageing. In Taoism, the loss of seminal fluids is believed to be counterproductive to the achievement of longevity. However, sexual intercourse between a man and woman is considered to be vital for balancing the yin and yang energies. Hence, there are numerous Taoist manuals instructing men on how to attain sexual pleasure without losing their seminal fluids. In terms of diet, it is common practice for Chinese families to use herbs with medicinal indications in their cooking. In the southern provinces of China, such herbs are frequently used in the making of soup, and in the province of Sichuan, partaking of such medicinal cuisine is also a very popular tourist activity. The availability of a wide spectrum of Taoist health-enhancing techniques and the Taoist belief in the achievability of immortality probably contribute to an increased degree of internality in terms of the locus of control of the Chinese, and higher internality has been found to be related to better social adjustment, higher self-acceptance, and emotional maturity.

THE TAOIST PANTHEON Traditional folk religion in China is polytheistic. The deities are arranged in a hierarchy, and some are officials, such as prime ministers or officers-in-

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charge of different functions, while others are warriors, such as generals or heads of military divisions. Deities, like officials in a bureaucracy, may be appointed or retired and promoted or demoted, and some deities are exalted human beings. The head of this hierarchy of deities in popular Taoism is the Jade Emperor (Yu Huang Da Di, 玉皇大帝), whilst in intellectual Taoism, Lao Tze (老子) and the Three Pure Ones (San Qing, 三清) are deemed to be at the top of the Pantheon. The Three Pure Ones are Yu Qing (玉清, literally “Jade Pure”), the Celestial Being of Primordial Beginning; Shang Qing (上清, literally “Supremely Pure”), the Celestial Being of Numinous Treasure; and Tai Qing (太清, literally “Utmost Pure”), the Celestial Being of Virtues and Ethics. Religious Taoism is inundated with deities and celestial beings (hsien, 仙), each with his/her own unique personality. Unlike the bodhisattvas of Chinese Buddhism, the celestial beings in Taoism are generally unconcerned about human suffering. It would appear that Taoists believe that there is a natural course for all things, and that no one should interfere with or deviate from this course. They also believe that the ascension from this-world to the other-world and the achievement of immortality is the result of personal effort, which can neither be replaced nor transferred. In religious Taoism, there are two types of Taoist monks (dao si, 道士). One type renounce their families, live in Taoist temples, are vegetarians, do not shave their heads or faces, and wear their long hair in braided buns. These monks spend much of their time observing Nature and cultivating the Taoist techniques of immortality. The second type are allowed to marry and have families and eat meat, and many earn their living by performing Taoist rituals.

THE TAOIST CANON Tao Te Ching (道德經), which contains the teachings of Lao Tzu (see Chan, 1963), and the Classics of Nan Hua (南華經), which contains the teachings of Chuang Tzu (see Watson, 1964), are regarded as the two main classical texts of Taoism. In emulation of the Buddhist Canon (Dazangjing, 大藏經), which contains over 5,000 texts, the Taoists produced the Taoist Canon (Dao Zang, 道藏), which contains over 1,500 texts. However, Taoist masters usually refer only to the classics which are relevant to their teaching, ignoring those which are not. Therefore, two students of Taoism trained by two different masters may have significantly different interpretations of Tao and of the techniques to be employed in order to achieve immortality.

The Taoist System of Divination

THE TAOIST SYSTEM OF DIVINATION From the Taoist interest in Nature, an elaborate system of divination has been developed, which includes: 1. The repeated shaking of three coins inside a dried tortoise carapace to arrive at a combination of triagrams as depicted in The Book of Changes (I Ching, 易經) and to provide a prediction on the basis of the combination. This form of divination is very popular and widely used by fortune-tellers. 2. Astrology and the drawing of horoscopes to indicate the future. 3. Chronomancy, which is related to Chinese astrology, in which lucky and unlucky days of the year are determined. At the end of each lunar year, a large number of books on chronomancy are published detailing the fortunes of people born under different birth signs. These books are, without exception, enthusiastically received. 4. Geomancy (feng shui, 風水), that is, the arrangement of the architecture and adornments of the houses of the living and the tombs of the dead in order to bring about health, wealth, and happiness to the living. In any community populated by people of Chinese descent there will probably be resident feng shui masters. Bookstores in these communities usually carry a wide variety of publications on geomancy, and the past two decades have witnessed an increasing number of books and magazines on the subject written in English. Feng shui masters who are held in high esteem may charge consultation fees of up to US$100 per square foot. 5. Physiognomy, that is, the telling of an individual’s fortune by examining his physical appearance and facial characteristics. Generally speaking, every Chinese person knows something about physiognomy and is inclined to stereotype people he/she is meeting for the first time accordingly. 6. Oneiromancy, which is the interpretation of dreams, not as part of psychoanalysis, but as the divination of things to come. 7. Glyphomancy, in which an individual asking about his future is told to write down a Chinese ideograph randomly, after which the interpreter will provide him with a forecast regarding his future based not only on the actual ideograph, but also on the way in which it is written. This system of divination remains popular in Chinese societies, particularly among the less educated and the elderly. In addition, chronomancy and geomancy are now readily received by people from all walks of life. Reliance on divination to assuage feelings of anxiety, uncertainty, and insecurity has contributed to Taoism being held responsible for enhancing the superstitious

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attitudes of the Chinese. Yet, in the absence of readily available psychological counseling services, this system of divination has probably fulfilled certain psychological needs.

TAOISM AND COUNSELING IN CHINA Taoism could be useful in producing an indigenous model of counseling in China, and there are five Taoist principles that could be used in counseling (Cao, 2004): 1. Understand Nature’s rhythm, and flow with this rhythm in a natural and noninterfering manner. It is suggested, from clinical experience, that striving for perfection irrespective of one’s capabilities can lead to feelings of anxiety and frustration. When one flows with Nature, such striving will automatically cease, and peace of mind will then ensue. 2. Do not do anything which is likely to bring harm to oneself, to others, or to society, and do not be competitive in one’s actions. Poor interpersonal relationships and interpersonal conflicts are sources of psychological discomfiture. When one abides by these two Taoist axioms, the quality of interpersonal relationships will improve, and relational harmony will successfully dissipate any psychological discomfiture. 3. Moderate one’s materialistic cravings and be reasonable in one’s expectations. Unrealistic pursuit of power, fame, and fortune is harmful to one’s mental health. Moderation is the key to mental health. 4. The ideal way to face life is to maintain peace of mind, observe things objectively, think carefully, and predict the course of change and the accompanying consequences. This is the optimal way to achieve psychological equilibrium. 5. Be self-aware, and assess oneself realistically. Self-awareness is considered to be of strategic importance in the restoration of mental health in many schools of psychotherapy. Taoism advocates that by being self-aware, one will have the courage to overcome difficulties rather than evade them.

TAOIST HUMANISM The main principles of Taoist humanism can be summarized as an attitude of non-interference with the true nature of things; being open-minded and tolerant; assuming a “water” personality by maintaining a non-competitive profile, while remaining powerful enough to be helpful to others; showing a high regard for females, especially mothers; acting in moderation and avoiding extremes;

Review Questions

adhering to societal values and maintaining an active interest in the welfare of others; and, demonstrating a love of peace (Lee, 2003). Confucianism dominates Chinese social life, but Taoism is equally important in Chinese mental life (Needham, 1956/1972). In an analysis of Chinese folklore and proverbs, it was found that the influence of Taoism was in fact more evident, in particular the Taoist notions of change, connection, compromise, covariance, context, and contradiction (Peng, Spencer-Rodgers, & Nian, 2006). Confucianism is more concerned with social propriety and the social sanctions for violations thereof, whereas Taoism emphasizes the pursuit of personal happiness. Confucianism relegates the individual to the role of a cog in the wheel of family and social life. In Taoism, there is no such demarcation, and all creations in nature are deemed equal in status and importance. Confucian life is very restrictive, but the lifestyle encouraged in Taoism is free from worldly encumbrances. These differences indicate that Taoism addresses the concerns of the individual to a much greater extent than Confucianism, therefore it is not surprising that Taoism is more appealing to the Chinese mentality. Furthermore, when examined with reference to the paradigm of the Great Tradition and Little Tradition espoused by Redfield (1956), it is apparent that in feudal China, Confucianism belonged to the Great Tradition of the theologians, philosophers, and learned men. On the other hand, Taoism (particularly as a folk religion) fell within the parameters of the Little Tradition of the common people, who had not had the privilege of receiving a Confucian education, as this was accessible to only the highest stratum of society. Additionally, Taoism has within its arsenal a full array of techniques to assist the average man to meet the challenges, anxieties, and uncertainties of daily life. Hence, the influence of Taoism on Chinese mental life inevitably exceeds that of Confucianism. Therefore the understanding of Taoism, and particularly its role as a folk religion, is an important prerequisite to opening the door to Chinese psychology.

REVIEW QUESTIONS 1. What are the core values of Taoism? In what ways are they “core”? 2. Why is Taoism a unique combination of mysticism, religion, and philosophy? 3. The literal translation of wu wei (無為) is inaction. However, the Taoist definition of wu wei seems to mean something entirely different. What is this definition and is it in any way analogous to Carl Roger’s unconditional positive regard?

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4. Describe the cosmological view in Taoism. 5. The Taoist way of life has often been described as passive, indulgent, or even indolent. Given your understanding of Taoism, are these descriptions apt? 6. What is the psychological significance of the Taoist belief in the immortality of the human body? 7. What does the widespread use of Taoist methods of divination tell you about the Chinese conception of Nature? 8. What are the major differences that you can discern between Taoism and Confucianism? 9. Counseling is a tradition which originated in the West. In what ways can Taoism be utilized to create an indigenous form of counseling in China? 10. In what ways is Taoism responsible for the Chinese being labeled as superstitious?

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CHAPTER CONTENTS History of Chinese Buddhism World Buddhism Today Basic Premises of Chinese Buddhism The Four Noble Truths Karma The Wheel of Karma The Six Paths of Transmigration The Noble Eightfold Path

Buddhism and the Psychology of the Chinese People Buddhism and Taoism Buddhism and Confucianism Integration of Confucianism, Taoism, and Buddhism Review Questions

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HISTORY OF CHINESE BUDDHISM Buddhism arrived in China in the second century BC as a consequence of the initial contacts between China and Central Asia following the opening of the Silk Road. The Silk Road is an interconnected series of trade routes through various regions of Asia, mainly connecting Chang’an (today’s Xi’an) in China with Asia Minor and the Mediterranean. It extends over 8,000 kilometers (or 5,000 miles) across land and sea. Towards the end of the Han Dynasty, China was thrown into a state of chaos and unrest. The perception of life as filled with endless suffering and the suggested path of enlightenment to end the suffering were concepts readily embraced by the common people, and this led to the rapid development of Buddhism in China during this period. In fact, the attraction of Buddhism in China has been explained by putting forward the notion that, in the traditional agricultural economy of China, the livelihood of most people was subject to the whims of Nature. Consequently, it was common for people to feel psychologically entrapped and overwhelmed, with little hope of escape. For officials in the government, the rule by man over rule by law created an ominous sense of insecurity and the fatalistic feeling that one had no control over one’s own life. Thus, the promises of enlightenment and transcendence advanced by Buddhism were gratefully received by both officials and commoners. During the Sui (隋朝, AD 581–618) and Tang (唐朝, AD 618–907) Dynasties, Buddhism was in full bloom as it went through the process of assimilation and integration with traditional Chinese thinking and developed into a religion which accommodated the needs of the Chinese. Although the first translation of Buddhist scriptures began during the Han Dynasty in AD 67, the bulk of the translation and the organization of these scriptures was mainly undertaken during the Tang Dynasty (Ch’en, 1972; Liu, 2006; Zhang & Xiang, 2005).

WORLD BUDDHISM TODAY Three schools of Buddhism exist today: 1. The Theravada School, which is the only surviving form of early Buddhism. It is also known as Hinayana Buddhism or southern Buddhism, and is practiced mainly in Sri Lanka, Myanmar, Thailand, Laos, and Cambodia. The ideal of Theravada Buddhism is to be released from suffering and to attain personal enlightenment. Hinayana schools are mainly concerned with the salvation of the individual (Needham, 1956/1972).

Basic Premises of Chinese Buddhism

2. The Mahayana School, also known as eastern Buddhism. The majority of scriptures used by this school are in Chinese, and this school is dominant in China, Taiwan, Japan, Singapore, and Vietnam, as well as other Chinese communities worldwide. Mahayana Buddhism goes beyond the traditional Theravada ideal to elevate Buddha to a Godlike, omnipotent, and omnipresent status. It has also created a pantheon of bodhisattvas who are devoted to the ultimate salvation and enlightenment of all living beings. A central theme in the Mahayana School is the pursuit of liberation from the world of phenomena (Needham, 1956/1972). Although Chinese Buddhism is commonly referred to as Mahayana, there are actually two other streams of Chinese Buddhism. Firstly, there is the Chan (禪) method, which rejects all sutras, shuns philosophy, and relies heavily on mystical faith, and believers are expected to engage themselves in intense and prolonged reflection and introspection. Secondly, there is the Pure Land Sect (Ching Tu Tsung, 淨土宗), which exhorts individuals to dedicate themselves to devotional practices, because it is the only way through which they can hope to be reborn in the Pure Land of the West (Xi Fang Ching Tu, 西方淨土), where they can learn about Nirvana. 3. The Tibetan School, which is also known as northern Buddhism, and is practiced primarily in Tibet, Mongolia, and Bhutan.

BASIC PREMISES OF CHINESE BUDDHISM The basic premises of Buddhism are contained in the Chinese Buddhist Canon (Dazangjing, 大藏經), which comprises the total body of Buddhist literature. It has 5,320 individual texts.

The Four Noble Truths The “facts of life” according to Buddhism are contained in the Four Noble Truths (si di, 四諦). The first truth is that the unenlightened life is one of suffering, and the events that bring suffering include birth, ageing, illness, death, merging and bonding with what is unpleasant, separation from what is pleasant, and not getting what one wants. The second truth is that suffering originates from greed, ignorance, and craving. The third truth is that freedom from suffering (i.e., the state of Nirvana) is attainable through the cessation of greed, ignorance, and craving. The fourth truth is that to stop suffering and to attain Nirvana, one has to follow the Noble Eightfold Path.

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The Four Noble Truths have been likened to the psychotherapeutic process of making a diagnosis, discovering etiology, deciding on treatment goals, and designing a treatment plan.

Karma Yin yuan (因緣), known as karma in Sanskrit, is at the root of the creation and development of all matters. According to Chinese Buddhism, the seeds of karma are sown at birth, as all individuals are born with desires and impulses which cast them into states of ignorance and obscurity (wu ming, 無明). When a person covets something, he brings vexation upon himself and accumulates karma. Karma is understood to be produced by all of our behaviors, feelings, and thoughts, each of which inevitably leads to a consequence. We are what we are because of the karma that we have produced in the past (Niwano, 1980). Karma can be major or minor, good or bad. To extricate oneself from the Wheel of Karma, one has to rise above the state of ignorance and obscurity through moral cultivation and the practice of Buddhist doctrines. On a behavioral level, one is directed to accumulate good karma and thoroughly banish bad karma. On a somewhat deeper psychological level, the concept of karma beseeches us to assume responsibility for our behavior, affect, and cognition. In this sense, Buddhism is colored by ethical vigor and moralistic teaching (Yeh, 2000). In China, the ethical vigor and moralistic teachings espoused in Buddhism are far more influential than the Buddhist doctrines, largely due to the impact of Confucianism and the emphasis placed upon moral cultivation and observing social propriety.

The Wheel of Karma The whole vicious cycle of rebirths and their fates is termed the Wheel of Karma or the Twelve Yin Yuan (shi er yin yuan, 十二因緣). The twelve components of the cycle, listed in order of the stages of an individual’s development, are: 1. Ignorance, resulting from the perplexity and bafflement carried over from one’s previous lives. 2. Karma, both good and bad, also carried over from previous lives. 3. Consciousness, in which the individual in his/her spiritual form is towed or dragged by his/her ignorance and karma to impregnate a mother’s womb.

Basic Premises of Chinese Buddhism

4. Mind and body, referring to the formation of the heart (mind) and body of the fetus, specifically to the fifth week of development when body parts such as the hands and feet are formed. 5. The six senses, namely the development of sight, hearing, smell, taste, and so on. 6. Contact, referring to the period from birth to around 3 or 4 years old, when the person is in contact with the world, but lacks comprehension. 7. Sensation, referring to individuals aged from around 5 or 6 to around 12 or 13, who are able to differentiate good from evil, and who have likes and dislikes which cannot be classified as cravings. 8. Craving, referring to individuals between the ages of 14 or 15 and 18 or 19, who are starting to crave worldly possessions. 9. Grasping, in which, with the gradual intensification of craving, the individual starts to grasp things to make them his/her own. 10. Coming into existence, in which the pursuit of worldly possessions produces karma, both good and bad. 11. Birth, in which an individual is cast by his/her karma into the Six Paths of Transmigration (see below). 12. Old age, sickness, death, and all miseries, in which the cycle continues in the next life with the body maturing, decaying, ageing, and dying, and again being born into ignorance. The Wheel of Karma starts and ends in ignorance, and awareness is the only key one can use to extricate oneself from the cycle. Awareness can be brought about through Buddhist mindfulness practices (Fromm, 1994), and these have been incorporated into a variety of psychological treatments.

The Six Paths of Transmigration Life for the unenlightened, according to Buddha, is an ever-revolving process of suffering. An unenlightened individual is caught within the wheel of rebirth, with death in one life signifying birth into another. The life one is born into is determined by one’s karma, and there are six possible paths leading to six distinct realms, known as the Six Paths of Transmigration (liu dao lun hui, 六道輪迴). The six paths are: 1. Beings in Hell (di yu dao, 地獄道), leading to the lowest and worst of all realms of being, a destination for those who have accumulated a great deal of bad karma. This realm is fraught with incessant torture and aggression.

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2. Hungry Ghosts (er gui dao, 餓鬼道), leading to the realm of hungry spirits, characterized by terrible cravings and eternal starvation. 3. Animals (chu sheng dao, 畜生道), leading to the realm of animals and livestock, characterized by ignorance, stupidity, and servitude. 4. The Asura (a xiu luo dao, 阿修羅道), leading to the realm of the Asura or Ashura, who are demigods. The Asura are powerful, prone to violence, and cantankerous. Like humans, the Asura are partly good and partly evil. Anger, jealousy, and constant fighting dominate the realm of the Asura. 5. Humans (ren dao, 人道), leading to the human realm, in which beings are both good and evil. Although enlightenment is within their grasp, most are blinded and consumed by their cravings and desires. 6. The Deva (tian dao, 天道), leading to a realm of heavenly beings that hold godlike powers. Some Deva reign over celestial kingdoms, but most live for countless ages in splendor and happiness. Being in power and living in pleasure may sometimes blind the Deva to the world of suffering, and fill them with pride and arrogance. However, since they are also part and parcel of the world of suffering, they grow old and die as well, and may be reborn into any one of the Six Paths. The concept of the Six Paths of Transmigration has been integrated into religious Taoism, and Taoist monks utilize a special formula to discern the path a deceased person has entered. The ethical vigor espoused in Chinese Buddhism has led many to utilize the notion of the Six Paths of Transmigration as motivation for doing good and accumulating good karma, and as an admonition against doing evil and accumulating bad karma.

The Noble Eightfold Path To extricate oneself from the Wheel of Karma, to transcend all suffering, and to attain Nirvana, one must follow the Noble Eightfold Path (ba zheng dao, 八正道), comprising the following eight elements: 1. Right speech, namely to speak truthfully in a mild and non-exaggerated manner. 2. Right actions, that is, to act with integrity, and avoid hurtful and harmful actions. Right actions include precepts such as refraining from taking life, refraining from theft, refraining from sexual misconduct, refraining from lying, and refraining from becoming intoxicated with drugs or liquor. 3. Right livelihood, that is, to live in such a way as not to bring harm to oneself or others, either directly or indirectly.

Buddhism and the Psychology of the Chinese People

4. Right effort, in which one makes efforts to improve oneself. 5. Right mindfulness, that is, to have the mental capacity to see things clearly for what they are. 6. Right concentration, meaning to be aware of one’s inner reality, without any cravings or aversions. 7. Right thoughts, meaning to steer one’s pattern of thinking in the right direction. 8. Right understanding, that is, to understand reality for what it is, not what it appears to be. It is of interest to note here that there is no clear definition of what constitutes “right,” apart from a general admonition of not doing harm. This is somewhat reminiscent of the Taoist concept of wu wei (無為), and creates significant opportunities for the many possible interpretations of the Buddhist doctrines and scriptures. To summarize, this world that we know, according to Buddhism, is but a mid-way station, a watering hole, or at best a training ground situated on the path to Nirvana. The most important goals for Buddhists are to recognize life for what it is, to replace ignorance with awareness, and to disengage from the Twelve Yin Yuan or Wheel of Karma. Endorsing this worldview is tantamount to admitting that all is for naught. Such an admission may either produce a state of equanimity or ignite a profound sense of existential anxiety, depending on the overall disposition and needs of the individual concerned (Gethin, 1998; Welch, 1967; Yeh, 2000; Zhang & Xiang, 2005).

BUDDHISM AND THE PSYCHOLOGY OF THE CHINESE PEOPLE The exact number of Buddhist temples in China is unknown, but in the capital city of Beijing alone there are more than 700 temples. In mainland China, it is estimated that there are over 50,000 Buddhist monks. These are two indicators of the influence of Buddhism in the life of the Chinese people. Buddhism has primarily influenced the psychology of the Chinese people in four ways: 1. Beliefs in karma (yin yuan, 因緣) or dependent co-origination. Yuan beliefs constitute the crux of causal attribution in the Chinese, particularly in the realm of interpersonal relationships. The original concept of karma was not invested with notions of predestination. However, when Buddhism was imported into China and became enmeshed with Confucianism and Taoism, karma became colored by elements of predestination. The deep-rooted belief

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in karma is consistent with the avoidance of conflict and the maintenance of harmony in interpersonal relationships advocated by Confucianism. It is also viewed as being responsible for the passive and submissive attitude of the Chinese in relationship management (see Chapter 6 which examines karma and its impact on relationship management in greater detail). 2. Enhancement of ethical vigor. The concepts of karma and the Six Paths of Transmigration were originally put forward to describe the cycle of incessant suffering and to exhort people to seek enlightenment. Yet, armed with the notions of retribution and reciprocity inherent in the Chinese culture, these concepts assumed an additional dimension of reward and punishment. Consequently, some people do good deeds for the purpose of accumulating positive karma, viewing it either as currency to be exchanged for rewards such as longevity and good fortune, or as a way of counterbalancing wrongdoings. 3. Denunciation of worldly concerns. Greed, ignorance, and craving create suffering, and Buddhism promotes the denunciation of all worldly concerns to gain spiritual solace. This is consistent with the Confucian Doctrine of the Mean, in which modesty in affect, behavior, and cognition is highly acclaimed. Modesty is sometimes construed as repression and is said to lead to such phenomena as cognitive conservatism and low emotional expressivity. 4. Delivery from suffering. By laying down in detail the Noble Eightfold Path, Buddhism positions itself as the guiding beacon in the ocean of suffering (ku hai ming deng, 苦海明燈). This beacon is available to all, irrespective of individual differences such as race, ethnicity, power, and position; and redemption of the soul can happen the instant one decides to follow the beacon, as is illustrated by two popular sayings: “Hell is only one thought away from heaven” (yi nian tian tang, yi nian di yu, 一念天堂, 一念地獄) and “The instant the butcher lays down his knife, he attains Buddhahood” (fang xia tu dao, li di cheng fo, 放下屠刀, 立地成佛). These are enlightening and positive messages, and in fact Buddhism provides psychological remedies for the anxiety, sense of disequilibrium, and feelings of displacement suffered by contemporary intellectuals in China in a number of ways. These include the provision of philosophical guidance, involving a process of repositioning life’s quests from the unrelenting pursuit of external achievement to the attainment of perfection of the soul, and the cultivation of Buddhist affect to experience love and gratitude towards all beings in Nature and to give more and take less. Buddhism also provides a framework for the building up of internal resources to aid the management

Buddhism and Confucianism

of stress; advocates the implementation of ethical standards by exercising forbearance and experiencing joy in giving; and promotes the adoption of a Zen lifestyle by emphasizing the simplicity, purity, and spirituality of life (Cai & Huang, 2006).

BUDDHISM AND TAOISM Both Buddhism and Taoism endorse a non-contentious approach to life, albeit for different reasons. Buddhism equates contentiousness with craving and the consequent accumulation of karma and entanglement in the cycle of suffering, whereas Taoism advocates an oneness between Man and Nature, in which contentiousness is an anomaly. Chinese Buddhism also differs significantly from Taoism with respect to the former’s concepts of ethical vigor and moral righteousness. In Taoism, everything exists in Nature for a reason. Taoists see the complementariness in objects and matters and do not make clear demarcations between what is moral and immoral, or right and wrong, so Taoism is essentially characterized by a lack of ethical vigor. For a Buddhist, the aim of this life is to gain awareness in order to be extricated from the Wheel of Karma. For a Taoist, the aim is to attain immortality so that one can continue to enjoy life. It has been suggested that Taoists appropriated the Buddhist concepts of karma and rebirth with the exception that, for the Taoists, karma is transmitted from one generation to the next, whereas in the Buddhist tradition, the transmission is on an individual basis (Ch’en, 1972). It has also been intimated that the success of Buddhism as a religion in China spurred Taoists to transform Taoism into a religion (Ch’en, 1972). Many Taoist texts were borrowed and copied from Buddhist sutras, and, in imitation of the bodhisattva (the all-loving and compassionate being), the Taoist created a class of celestial beings known as tian zun (天尊).

BUDDHISM AND CONFUCIANISM There are similarities between Buddhism and Confucianism. For instance, the ultimate goal of self-cultivation espoused in Confucianism is the creation of a moral society founded on the principle of benevolence, whereas the route to Nirvana or the Land of Buddha advocated in Buddhism is reachable through the cleansing of one’s mind and acting morally. Buddhism and Confucianism are therefore similarly person-centered and reality-based, and focused on

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self-actualization through being a person of high morals, with the eventual goal of creating a harmonious society inhabited by mutually accommodating individuals (Zhang, 2006). However, there are also many areas of potential and real conflict between Buddhism and Confucianism (Yeh, Arora, & Wu, 2006). These include: 1. Differences in approach. Buddhism views the world as illusory, with the only certainty being the state of Nirvana. Confucian scholars are more concerned with maintaining social stability and interpersonal harmony. Buddhism deals with the macrocosmic aspects of existence, and Confucianism with the microcosmic. In the transmission of knowledge, Buddhism takes a more dialectical approach, whereas Confucianism is more prescriptive. 2. Diametrically opposite views of life. In Buddhism, life is viewed as being filled with pain and suffering. To extricate oneself from endless suffering, one must forsake worldly concerns to pursue religious practice. In contrast, Confucianism advocates the adoption of a positive and achievement-oriented attitude towards life, and suggests that nothing is impossible as long as one perseveres in one’s endeavors. This is illustrated by the famous adage stating that “difficult tasks do not exist: with perseverance one can grind an iron rod into a sewing needle.” 3. Different moral destinations. The ideal state in Buddhism is total enlightenment, absolute stillness, and the attainment of Nirvana. In Confucianism, it is the achievement of sagehood, which is regarded as the highest state of intellectual and moral development. Furthermore, in Confucianism, selfcultivation is closely tied to ideals of creating a stable and harmonious collective. 4. Different conceptions of karma, retribution, and reciprocity. In the Buddhist context, karma is accumulated by the individual, who, according to the amount and nature of his karma, is then cast into one of the Six Paths of Transmigration or rebirth. In Confucianism, the family is the basic unit for the transmission of retribution and reciprocity, that is to say, the consequences of the good or evil deeds of ancestors are borne by the descendants. 5. Different means of livelihood. Buddhist monks do not work for pay. They believe that a life stripped of material trappings is most conducive to religious practice, therefore they live on alms given voluntarily by other people. Buddha himself begged for alms. Buddhist monks also believe that by asking for alms, they are assisting almsgivers to cultivate positive karma. This practice is antithetical to the traditional Chinese virtues of hard work and perseverance. Begging for alms is viewed as being lazy and unproductive, and has been a point of attack by advocates of Confucianism.

Integration of Confucianism, Taoism, and Buddhism

6. Differences in dress codes. In Confucian societies, dress codes are instrumental in signifying hierarchy and seniority. In the Buddhist tradition, monks are required to dress in simple styles and colors, and a properly dressed monk always leaves his right shoulder bare. This is totally unacceptable in traditional Chinese societies, where propriety is emphasized. 7. Different views toward the abandonment of worldly concerns. Buddhist monastic orders demand that monks abandon all things worldly, including their families and friends. In Confucianism, the prolongation of the family line is of the utmost importance, and the most unfilial act is not to bear sons. These practices are in direct contrast to each other. 8. Authority and ancestral worship. Confucian societies place great importance on hierarchical relationships, emphasizing loyalty and filial piety towards rulers and elders. In the Buddhist tradition, the status of the Buddha is substantially above and beyond that of any worldly ruler, so Buddhist monks do not pay homage to rulers and are not allowed to pay their respects to their elders at home. Such an orientation is unthinkable in traditional Chinese society. These differences between Buddhism and Confucianism have always provided obstacles to the spread of Buddhism in China, where Confucianism has a sturdy and pervasive influence.

INTEGRATION OF CONFUCIANISM, TAOISM, AND BUDDHISM Confucianism breeds a relational self, whereas in Taoism, the self (the microcosm) and its environs (the macrocosm) are perfect reflections of each other, hence there is no self–other distinction. As for Buddhism, to extricate oneself from the Wheel of Karma and to attain the state of Nirvana, the self’s cravings must be extinguished so that self-transcendence can be experienced following the evolution of a higher level of consciousness. These conceptions of self are in deep contrast with the Euro-American conceptions of the self, which are characterized by self–other boundaries, personal control over life, and an independent construal of self (Ho, 1995). Although the basic premises of the three philosophies of Confucianism, Taoism, and Buddhism differ significantly, in the everyday life of the Chinese it is evident that integration has taken place and an eclectic approach has developed. An interesting example of this eclectic approach can be found in the rites and rituals performed in Chinese funeral homes. It is very common for Chinese families to employ the services of Buddhist monks to recite scriptures to deliver their dead relatives from bondage, while simultaneously requesting

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the presence of Taoist priests to perform elaborate rituals to open the doors to hell so that their dead relatives are not trapped inside. The families see no contradiction in doing this, and the Buddhist monks and Taoist priests, both steeped in the Confucian teaching of maintaining social harmony, behave cordially towards each other. Another example can be seen in Taoist and Buddhist temples, where Taoist deities and bodhisattvas are found in close proximity to each other and worshippers indiscriminately pay their respects to all present. Zeng (1994) referred to the Chinese personality as an integration of the Confucian, Taoist, and Buddhist conceptualizations of the ideal self. Confucianism advocates benevolence and propriety for the creation of a utopian world. Taoism advocates following the way of Nature to transcend the ordinary, and Buddhism advocates the extrication from the Wheel of Karma to arrive at the state of Nirvana. The personality that has evolved from the influence of these philosophies can be characterized as “Confucian advancement, Taoist withdrawal, and Buddhist concealment” (jin ze ru, tui ze dao, yin ze fu, 進則儒、退則道、隱則佛). This means that the individual is able to seek advancement when the tides are with him, and make the best of circumstances as per Confucian advocacy; retreat or withdraw when the tides are against him, as is consistent with Taoist non-contentiousness; and use the downtime for reflection and self-improvement, ultimately becoming a recluse or hermit when he has decided to forsake worldly concerns to seek Buddhist Nirvana. This integration has come about because in Confucianism there is apparently a chasm between the ideal self and real self, and following the Confucian way creates too much constriction, repression, and frustration. Taoism, through promoting the concept of inaction or non-interference (wu wei, 無為) and following the Way of Nature, provides much-needed psychological relief. Chinese Buddhism, by assimilating the salient aspects of Confucianism and Taoism, assists the individual to see life as a training ground for the perfection of the soul (Cha, 2003). Therefore, it can be said that the three philosophies address the different needs of the Chinese. Confucianism prescribes the rules of conduct and the values that are to be emphasized in interpersonal relationships, with the eventual aim of producing social harmony. Taoism describes the relationship between Man and his environment and provides guidance, solutions, and solace through its elaborate system of divination and alchemical traditions. Buddhism deals more with existential anxiety, and provides a system of spiritual understanding and cultivation focusing on the extinction of human cravings, leading to the abnegation of the self and extrication from the Wheel of Karma. Thus, a

Review Questions

comprehensive approach to the psychology of the Chinese people has to take into account the salient aspects of all three philosophies.

REVIEW QUESTIONS 1. Examine the basic premises of Buddhism. Does a unifying theme exist? 2. Is it true that Chinese Buddhism is characterized by ethical vigor and an emphasis on moral teachings? How so? 3. What is the psychological meaning of suffering in Buddhism? 4. What is the psychological significance, if any, of the Four Noble Truths and the Twelve Yin Yuan? 5. Is it justifiable to say that Buddhism advocates a denunciation of thisworldliness? 6. How has Buddhism influenced the psychology of the Chinese? 7. Can Buddhism provide psychological solace for the intellectuals of China? How? 8. What are the major differences between the Buddhist and Taoist world views? 9. Cite the major differences between Buddhism and Confucianism. 10. In what ways have the Chinese people been able to amalgamate Confucianism, Taoism, and Buddhism in their everyday dealings with life?

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4

The Social Psychological Characteristics of Chinese Society


Values

The Self in Chinese Culture

The Hofstede Project and Related Research

Ptolemian versus Galilean Views of Human Nature

The Schwartz Value Survey

The Social Orientation Model

The Chinese Value Survey

The Person-in-Relations Model

Modern and Traditional Values

The Operating Self and the Private Self

Humility

The Completion of Self through Interpersonal Relating

Culture and Values

Chinese Views of Life

Concluding Remarks

Beliefs

Review Questions

Psychological Beliefs Social Beliefs Environmental Beliefs

Chinese Attributional Processes

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CHAPTER 4 The Social Psychological Characteristics of Chinese Society

INTRODUCTION The Chinese have been described as possessing a national character of social orientation, which has been defined as a somewhat complex behavioral syndrome. This syndrome comprises such features as conforming to social norms, adopting inoffensive strategies in interpersonal dealings, submitting to social expectations, and submitting to authority. When Chinese people are compared with those from other cultures, they have been found to be lacking in autonomy, aggression, and extroversion, and to exhibit excessive submissiveness, conformity, subservience to authority, and susceptibility to the influences of those more powerful than themselves (Hwang, 1987). In this chapter, we will examine the Chinese conception of self to evaluate whether there is any credibility to the “social orientation” claim. This is followed by an exploration of the Chinese view of life to provide a glimpse into plausible explanations for the alleged submissiveness, conformity, and subservience often observed in Chinese individuals. Furthermore, the values, beliefs, and attributional patterns of the Chinese are investigated to give a clearer profile of the Chinese character. Lastly, the Chinese national character is compared with known dimensions of culture to shed some light on where the Chinese stand when juxtaposed with other cultures.

THE SELF IN CHINESE CULTURE Ptolemian versus Galilean Views of Human Nature The Western and Asian views of human nature have been contrasted in the Ptolemian and Galilean paradigms (Hsu, 1985). The Western concept of personality is rooted in individualism, and represents a Ptolemian view of the individual standing alone against the world. The individual’s core of complexes and anxieties constitutes his/her personality, and the nature and quality of his/ her interpersonal relationships are regarded as indicators of these complexes and anxieties. Hence, a person in a Western culture who goes out of his/her way to please others may be considered to be suffering from a strong sense of inferiority or a pronounced fear of abandonment. On the other hand, the Asian concept of the person (ren, ) positions the individual within a matrix of relationships, with all individuals in the matrix working to maintain a dynamic equilibrium. This Asian concept is likened to a Galilean view of human nature, which sees the individual as entrenched in a social network. What is of importance in the Asian culture is the maintenance of interpersonal harmony within the social network, and the individual’s complexes and anxieties are judged in terms of the roles they play in such maintenance. These complexes


and anxieties are not regarded as constituting the core descriptors of an Asian individual’s personality. Thus, a person-pleaser in an Asian culture is probably considered as a good team player who supplies the necessary lubricant to ensure that the wheels of his social network turn smoothly. Along the same lines, it is apparent that Chinese psychosocial homeostasis is strongly rooted in a kinship system, and that this reliance on immediate kinsmen for intimacy (which includes the three elements of verbalized communication, emotional support, and mutual receptivity) makes it unnecessary for them to look beyond this boundary to seek the meaning of life. Consequently, the Chinese have not customarily developed secondary groups outside their kinship system, nor have they been known as world travelers, explorers, or conquerors. Additionally, there is a clear demarcation between kinsmen and strangers, with each group given remarkably different treatment from the other, as described in Hwang’s (1987) face and favor model (see Chapter 7 for the synopsis). The features characterizing the entrenchment of the kinship system in Chinese culture have been elaborately outlined in the theory of social orientation (Yang, 1995) which is said to be the key to systematically understanding the social psychological functioning of the Chinese.

The Social Orientation Model In explaining his social orientation model, Yang began by describing the life sphere as being composed of two systems, the person and the environment, which are constantly interacting and interpenetrating. The relationship between the systems can be autonomous, whereby the person tends to grow by incorporating and taking charge of the environment, or homonomous, whereby the person attempts to fit into his environment, and in the process loses his individuality. Social orientation refers to the situation where a person is strong in his homonomous trend and weak in his autonomous trend (Yang, 1995). There are four modalities in Chinese social orientation, which are described below. Familistic orientation. The first modality in Chinese social orientation is familistic orientation, which focuses on the family, rather than the individual, as the basic functional unit. Familistic orientation is characterized by six features, each of which diminishes the importance of the individual: 1. Emphasis on lineage prolongation and expansion, in which male children who carry on the family line, are much more valued than female children. This inevitably constitutes one of the major sources of gender inequality.

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2. Family harmony, which is emphasized to the extent that the individual is expected to sacrifice personal goals for family goals. Exemplary sacrifices are glorified and even sanctified. 3. Family solidarity, in which family members are expected to stay together to form a common front against the outside world. For instance, if one family member commits a crime, the other family members are expected to cover up for him to protect him from being prosecuted and punished. If anyone within the family decides to opt for righteousness over family solidarity, he/she will be considered a traitor and frowned upon. 4. Family prosperity, in which individuals within the family share the common goal of bringing material and non-material benefits to the family. 5. Family honor, in which individuals are expected to bring honor to the family, or at least not to tarnish it or bring shame to the family. 6. Pan-familization, in which people extend their familistic values, ethics, habits, and experiences to quasi-familial organizations such as the workplace. In a Chinese company, it is not uncommon to hear workers addressing each other as sisters, brothers, aunties, or uncles. Relationship orientation. The second modality is relationship orientation, which is characterized by five features emphasizing the importance of the self in relationship to others, rather than as an isolated entity. These are: 1. Relational formalism, whereby the Chinese define social status in terms of relations and themselves by their social roles. 2. Relational interdependence, in which the two roles in a dyadic relationship are seen as complementary, and subjective and objective psychological equilibrium must be maintained. Subjective equilibrium refers to the sense of fairness felt by the role actors, whereas objective equilibrium refers to the sense of fairness felt by bystanders observing the interaction between the two role actors. 3. Relational harmony, in which two parties involved in an interaction are expected to abide strictly by some prescriptive code of conduct to avoid the possibility of any anxiety caused by disharmony. 4. Relational fatalism, which involves a belief that the occurrence, duration, type, and final outcome of a relationship are somehow predetermined. The individuals in the relationship are expected to accept it passively, without complaining about it or fighting against it (see Chapter 6 for a detailed discussion on fatalistic determinism). 5. Relational determinism, in which relationships are divided into three categories, namely those between family members (jia ren, ), familiar others (shu ren, ), and strangers (sheng ren, ). The dominating


principle in dealing with family members is that each person is responsible for acting in accordance with his/her prescribed role. For familiar others and strangers, the principles of face and favor prevail, and these are precisely elucidated in Hwang’s (1987) model, in which he lays down the general principles of respecting the superior and favoring the intimate. Authoritarian orientation. The third modality is that of authoritarian orientation, which is characterized by three features, all of which are offshoots of a patriarchal and hierarchical culture. These are: 1. Authority sensitization, which describes the Chinese sensitivity and acquiescence to authority of all sorts. When a Chinese person meets another person, he automatically assesses whether that person’s authority is higher or lower than his. He will then pattern his behavior on the basis of this assessment. 2. Authority worship, which refers to two things: firstly a complete, uncritical, and habitual faith in a person identified as an authority; and secondly, the assumed extension of that person’s authority from one area to another. For instance, a medical practitioner who has been identified as an authority on matters related to sickness and health can also be regarded as an authority on financial planning. 3. Authority dependence, which explains the total obedience observable when a Chinese individual is in the presence of authority. This obedience may also be mixed with feelings of awe and respect, causing the individual to be verbally and behaviorally awkward. This awkwardness is often looked upon favorably, as it is an indication of the individual’s respect for authority. On the contrary, a person who behaves naturally and confidently in the face of a recognized authority is likely to be considered arrogant and disrespectful. Other orientation. The fourth modality is other orientation, characterized by four features highlighting the Chinese people’s concern with face, possible rejection and ridicule by others, and the need to be accepted by ingroups. These features are: 1. Being constantly aware of other people’s opinions, in order to preserve similarities and reduce differences between themselves and others. Chinese people, in general, have a strong aversion to appearing different from their neighbors. 2. Maintaining a strong conformity with others by suppressing uniqueness, creativity, and originality for fear of being ridiculed, rejected, punished, or criticized.

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3. Having a deep concern about social norms, which represent other people’s consensus of opinion, so as to avoid punishment and receive positive reinforcement. 4. Having a high regard for reputation, to the extent that more emphasis is placed upon learning to become a person than learning to do something well. This is consistent with the general importance placed upon face management, as well as the Confucian emphasis on lifelong self-cultivation in order to become a moralist and gentleman. In more recent discussions, it has been suggested that under the impact of modernization, Chinese people have become less socially oriented and more individually oriented, meaning that they are less concerned with facilitating relational harmony, and more concerned with facilitating their psychological functioning as independent, autonomous, and self-sufficient individuals (C. F. Yang, 2006). The extent to which this is happening has yet to be ascertained by empirical evidence.

The Person-in-Relations Model Since social behavior occurs in a relational context, the strategic units of relational analysis ought to be either person-in-relations, which focus on the behavior of the person in different relational contexts, or persons-in-relation, which focus on the interpersonal exchanges of persons in a given relational context (Ho, 1998). In fact, it is suggested that the predominantly Western view of the individual as fully autonomous and endowed with free will is an idealized version of human existence that does not correspond to reality. On the basis of this rationale, a system of classification of interpersonal relationships that identifies examples of the person-in-relations has been proposed (Ho, 1998). This classification system consists of fourteen categories: kinship by blood; connection by birth; nationality; political authority; subjugation by military conquest, slavery or colonialism; social class; office or employment; residential location; institutional affiliation; social connection based on ascription; tutelage, apprenticeship or guardianship; professional consultation; companionship, affection, or sexual attraction; and situational, temporal, or chance encounters. However, this system is not exhaustive, and also includes culturally and socially defined relationships. Historically, interpersonal relationships have always been of paramount importance in shaping the personality of the individual and giving meaning to his life. This position is probably valid for all cultures, but particularly so for Confucian societies like China, Japan, and Korea, where relational harmony


is highly valued. Hence, the more appropriate approach to understanding the Chinese self is to see it as a relational self. To put it differently, the Chinese self cannot be sufficiently understood without reference to his/her interpersonal relations, including relations to ingroups and to society at large. The individual’s self-identity is defined primarily by his/her network of interpersonal relationships, and not so much by his personal attributes. For instance, it is not unusual to refer to a person’s various relationships when making social introductions: “He is so-and-so’s son,” “He is married to so-and-so,” or “He works for so-and-so,” instead of referring to the person’s personal attributes. It would seem that in a Chinese society, who you are related to defines you more than the personality attributes that you possess.

The Operating Self and the Private Self It is implied that the Chinese self is a composite of a large self (da wo, ) and a small self (xiao wo, ) (C. F. Yang, 2006). The large self is the operating self and refers to the group which a person identifies with and represents, and the small self is the private and distinct self which is normally kept away from public scrutiny. The study of this composite self involves the close examination of three aspects. The first aspect concerns the process of conflict resolution between the large self and the small self. The collectivity one identifies with may make demands that are at odds with the wishes and desires of the self. For instance, a person’s family may demand that he/she becomes a doctor while he/she wants to be a painter. The process of conflict resolution involves the gradual relinquishing of the small self to make room for the large self, and ultimately the person is expected to set aside his/her aspirations of becoming a painter and study medicine instead. The second aspect focuses on the process of social comparison, from which an individual comes to realize how well he/she is doing in his/her pursuit of the Confucian ideal of jun zi ( , a moralist/gentleman), or how adequately he/she is resolving the conflict between his/her large self and small self. The more a person becomes a jun zi, the more he/she is inclined to relinquish his/her small self for the sake of satisfying the large self. The third aspect concerns the self-esteem acquired as one comes to realize that, by relinquishing one’s small self to embrace the large self, one is indeed on one’s way to becoming a true jun zi and attaining sagehood. The notion of sacrificing the private self to complete the operating self (xi sheng xiao wo, cheng quan da wo, ) is well known and widely endorsed. The concept of the large self and the small self further illustrates the supremacy of collectivity over the individual in Confucian culture. This is

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achieved not through negative sanctioning, but rather by inspiring each follower to becoming a jun zi, the highest Confucian ideal.

The Completion of Self through Interpersonal Relating For the Chinese, the self is more often than not de-emphasized, and correspondingly, the notions of other-orientation and the interdependent self are inseparable (Gao, 1996). The interdependent self, as espoused by Markus and Kitayama (1991), derives its self-esteem from the ability to restrain self, and to adjust to and maintain harmony with the social mores. It includes others within its boundaries because the self is defined by its relations with other people in specific contexts. The interdependent self is responsive and attentive to others and expects others to reciprocate. Hence, conformity is highly valued and rewarded. The interdependent self and other-orientation expressly make the Chinese self incomplete, and therefore there is an intrinsic urge to seek completion through interpersonal relations. Since, in Chinese culture, the family provides the prototype for all social organizations, family relationships also provide the prototype for all social relationships and interpersonal relations. The three key factors in interpersonal relations are: 1. Feelings (gan qing, ), referring to a wide range of positive feelings between two individuals, including mutual support, sympathy, empathy, friendship, and non-sexual love. Gan qing conveys an unmistakable sense of interdependence between people, and also converts the expression of love into the offering of help, care, and concern. 2. Human feelings (ren qing, ) and reciprocity (bao, ). Human feelings can be given or taken as interpersonal resources, and the notion of human feelings carries the connotation of giving or accepting a favor. When one gives a favor, it is within the parameters of social propriety to expect that it will be reciprocated at some time, and when one accepts a favor, one should feel indebted and look for opportunities to reciprocate as soon as possible. Human feelings and reciprocity act simultaneously as lubricants and coagulants within a social network. 3. Face (mian zi, ). It is of great importance to the Chinese self-in-relations to gain and not to lose face, and as far as possible, to give others face and not cause them to lose face (see Chapter 7 for a detailed discussion on face).

Chinese Views of Life

CHINESE VIEWS OF LIFE The Chinese term for fate (ming yun, ) is made up of two ideographs, ming ( ), meaning life, and yun ( ), meaning luck or auspiciousness, and fortune-telling is known as suan ming ( ). There are many systems of Chinese fortune-telling. Most of them take into account the year, month, day, and time of birth, each of which comprises two idiographs, and which are collectively known as the Eight Characters (ba zi, ). In Chinese culture, fortune-telling is not an activity restricted to the less educated or the less fortunate; in fact, even the well-educated or the scientifically-minded often resort to it. Fortune-telling can even be construed as a form of psychotherapy, as most fortune-tellers are quite adept at allaying anxieties by identifying positive aspects of a dire situation. From a philosophical perspective, six interpretations of fate can be identified (Lu, 1995): 1. Confucius ( ) advocated that the cultivated person must know his limitations, and live his life according to the Way of Humanity without protestation. This is referred to as zhi ming ( ), literally meaning to know one’s life. This means that one should not aspire to things beyond one’s limits, and should live contentedly, accepting what life has to offer. However, it does not entail being passive or pessimistic, as a person should also take advantage of all that is on offer to live life to the fullest. This point is further clarified in Mencius’ position. 2. Mencius ( ) advocated that although there are limits to an individual’s life, he should still make every effort to live life to the fullest, and always stand up and be counted. This viewpoint is known as li ming ( ), literally meaning to let one’s life be upstanding. 3. The Taoist philosopher Zhuang Zi ( ) advocated that since a person’s fate cannot be changed, one should adopt an attitude of acceptance. This sort of attitude can be simultaneously pessimistic and optimistic: pessimistic if one becomes passive, and optimistic if one makes the best of any situation. Zhuang Zi’s approach to life is known as an ming ( ), literally meaning to be at peace with life. 4. Xun Zi ( ), another Confucian philosopher, differentiated between the will of Nature and the will of Man. Nature has its own modus operandi, irrespective of social and political conditions in the world, but Man can predict, utilize, and control certain environmental changes. Xun Zi advocated the concept of free will, and believed that each person should determine his own values, meaning, style, and direction in life. This viewpoint is

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referred to as zhi ming ( ), literally meaning composing or controlling one’s life. ), founder of the philosophical school of Mohism, did not accept 5. Mo Zi ( the concept of fate. He advocated that a person should fight for his rights and privileges, despite what life seemingly holds for him. He believed that success comes with effort. Mo Zi’s point of view is known as fei ming ( ), literally meaning denying or rejecting fate. 6. Lie Zi ( ), a Taoist philosopher, advocated that fate is neither subjectively nor objectively fashioned, but is fatalistically determined. His viewpoint is referred to as su ming ( ), commonly translated as fatalistic determinism. By amalgamating these six points of view, it may be surmised that a Chinese individual approaches life by learning about his limits, yet simultaneously making efforts to extend or breach these limits. When he finds that the odds are stacked against him, he might either assert himself and fight against the odds or assume an attitude of acceptance and wait for an opportune moment for a riposte. Additionally, it is of interest to note that the Chinese are not generally concerned about the meaning of life. In fact, Hui (1988) reported that over 40% of his Chinese subjects had never pondered the meaning of life, and the others had only done so when their life circumstances were deemed to be unsatisfactory. Perhaps for the Chinese, the meaning of life exists inherently within their different views toward life, and need not be independently pondered.

BELIEFS The beliefs of the Chinese can be categorized as psychological, social, and environmental, and are discussed below.

Psychological Beliefs These are concerned with characteristics of the individual, and are related to his or her functioning and well-being. Overall, the Chinese, under the influence of Confucianism, hold the belief that human beings are essentially benevolent, and that benevolence can be enhanced through conscientious self-cultivation. This belief in the importance of self-cultivation probably contributes to the emphasis placed on education in Chinese society. For instance, it has been

Beliefs

found that labeling therapeutic groups as training courses or programs is a more effective way of encouraging participation and involvement, as most people believe in the benefits of being educated, but few endorse the need for therapy (Chan & Palley, 2005). On beliefs about death, Hui, Chan, and Chan (1989) observed that Chinese beliefs are a composite of five factors. The first factor is colored by Taoism and Buddhism, and relates to notions of animism and an afterlife; the second is a belief in a just world which holds different destinations for the virtuous and evildoers; the third is a naturalistic belief which simply suggests that life ends with death and that there is nothing beyond death; the fourth is a belief in an immortal soul, which suggests the persistence of the soul after death, but does not entail notions of reincarnation; and the fifth is the Protestant belief which suggests that believers will go to Heaven and non-believers will be punished. This composite of death beliefs is indicative of the impact of westernization on traditional beliefs. A third psychological belief often associated with the Chinese is the alleged tendancy towards somatization of those suffering from psychological problems, and it is the most researched health belief. As more is understood about traditional Chinese medicine and the Chinese conceptualization of emotional processes, this belief is being reevaluated. For a detailed discussion of the somatization tendency, refer to Chapter 10. A fourth psychological belief concerns the locus of control in the Chinese. Leung (1996) contended that the externality (i.e., the belief that reinforcements or rewards are under the control of external factors) of the Chinese is contextspecific. For instance, in terms of academic failure, the Chinese exhibit more internality (i.e., the belief that reinforcements are under the control of the individual) than Westerners, and this is probably related to a less positive selfconcept. This view is in line with the position taken by Crittenden (1996), who pointed out that, in cross-cultural studies on academic achievement, Chinese students do not differ from others in rating effort as the most important, followed by ability, task difficulty, and luck. Chinese students are generally internal in locus, and are less self-enhancing (i.e., attributing failure internally and success externally) than their American counterparts. This is probably related to the value placed on humility and moderation.

Social Beliefs Social beliefs guide individuals to interact effectively with others in their social environment. The Chinese abide by the Confucian belief that human beings are by nature benevolent, and therefore moral education is much more

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important than legal systems to keep behavior in check. The imposition of rules and regulations is often met with resistance, as Chinese people feel that such imposition is an insult to their ability to self-manage. Hence, Chinese society has been characterized by a lack of objective and consistent legal systems, and the importance placed on relationships (guanxi, ) or social networks (guanxi wang, ) to accomplish objectives. In China, it is sometimes lamented that without recourse to such relationships, nothing gets accomplished. Guanxi has become the currency of social exchange, and is characteristic of the collectivistic tendencies of the Chinese. As a consequence of the reliance on relationships, the beliefs in reciprocity and retribution are indigenous to the Chinese. In terms of reciprocity, the Chinese belief in what is often referred to as fatalistic determinism (yuan, ), and the attribution of the formation, quality, and dissolution of interpersonal relationships thereto, is especially interesting. For instance, it has been suggested that belief in fatalistic determinism makes the Chinese more passive in relationship management, and that such belief is akin to self-fulfilling prophecy. For a detailed discussion about fatalistic determinism, refer to Chapter 6. Although essentially negative, to the Chinese, the concept of retribution (bao, ) also carries positive connotations in its association with filial piety, the Confucian precept of honoring one’s parents and ancestors. For example, the Chinese place utmost importance on ancestral worship and rever the burial sites of their ancestors. Those who go to great lengths to tend to these burial sites are regarded as being filial and are expected to be rewarded with fame and fortune. On the contrary, those who neglect to care for their ancestors’ burial sites, or knowingly permit their desecration by others, are reportedly doomed to a life dogged by bad luck. Hence the well-known saying, “good bao comes to those who do good, and evil bao comes to those who do evil.”

Environmental Beliefs These beliefs help individuals to function effectively in their physical environment. The Chinese attempt to control their physical environment by the practice of geomancy or feng shui ( ). Chinese societies are distinguished by the widespread belief in geomancy, and this is indicative of how the Chinese perceive their relationship with Nature and the environment in general. Feng shui literally translates as wind and water, and is a supernatural belief that, through the deliberate placement of objects, positioning of architectural features, and so on, it is possible to achieve harmony with the environment

Values

and consequently improve one’s wealth, health, and interpersonal relationships. Although belief in geomancy is often labeled as superstitious, it is in no way restricted to the less educated or less privileged. Hui (1988) found that the most ardent advocates of geomancy in Hong Kong belong to the higher socioeconomic status. In truth, very few people dare to erect buildings without first consulting a feng shui master. While the belief in geomancy is indicative of primary control (i.e., attempting to change the environment), when dealing with an environment where human factors are involved, the Chinese believe that secondary control (i.e., adjusting oneself to fit the environment) is a more effective way to attain their goals than primary control. Therefore, if a Chinese person is unhappy about his/her conditions of work, he/she will make an effort to adjust himself/ herself to these conditions or simply quit his/her job, rather than approach decision makers to request changes. He/she is inclined to see himself/herself as changeable and the environment (including the decision makers) as more or less stable. Another important environmental belief of the Chinese is the tendency to view the world in terms of absolute certainty or uncertainty, with no other probable alternatives in between (Leung, 1996). This can be termed a nonprobabilistic worldview, and is deemed to stem from the extensive use of intuition as opposed to reliance on analyzing objective facts and figures.

VALUES The Hofstede Project and Related Research Hofstede (1980) administered a survey of 32 items investigating perceptions, personal goals, behavioral intentions, and beliefs, and found that the Chinese in Hong Kong and Singapore exhibited similarly high power distance and low individualism, low uncertainty avoidance, and medium masculinity ratings, and that the Chinese in Taiwan exhibited medium uncertainty avoidance. Power distance reflects what occurs in a group or organization when differences in power are perceived. Specifically, it reveals the extent to which the less powerful members accept that power is unequally distributed within their group, and the resultant interpersonal relationships that are formed. High power distance, noted in Chinese societies, indicates awareness and unquestioning acceptance of the unequal distribution of power, and respect for hierarchy. Uncertainty avoidance reflects the degree to which people feel threatened by ambiguous situations and have created beliefs and institutions to avoid these.

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The low uncertainty avoidance in Hong Kong and Singapore indicates the presence of deep-seated beliefs and formal institutions in the Chinese culture. The medium uncertainty avoidance in Taiwan is probably attributable to the more volatile struggle between the political parties, and the conflict between the traditional and modern way of life. Masculinity and femininity form the ends of a bipolar continuum. A masculine culture values success, money, and material things, and a feminine culture values quality of life and caring for others. A masculine culture also tends to differentiate gender roles more clearly than a feminine culture. Medium masculinity in Chinese societies denotes diminishing inequity between the genders brought about by the increasing participation of women in the labor market. Another bipolar continuum is contained within the two extremes of individualism and collectivism. Since this continuum is the most researched dimension of culture, it bears more detailed examination. Collectivism. Collectivism tends to be high in communities that are tightknit and simple. It is characterized by interdependence among members of the ingroups, prioritizing group goals over one’s own, shaping one’s behavior in accordance with ingroup norms, and behaving communally. People in collectivistic cultures belong to groups by birth or marriage, and they prefer equal distribution of resources, believing that equality is more conducive to group solidarity, harmony, and cohesion (Triandis, 1989). They are notably concerned about relationships, and the status of the relationships is reflected in the emotions entrenched within those relationships. Satisfaction with life appears to depend on approval by others. In terms of child rearing, parents are concerned about obedience, reliability, and proper behavior. Communication in collectivistic cultures is usually indirect or ambiguous, and aimed at maintaining relational harmony and saving face for all concerned. Collectivism can be further distinguished into vertical and horizontal forms. Vertical collectivism is highlighted by a readiness to submit to authority and to endorse conventionalism. Horizontal collectivism emphasizes empathy, sociability, and cooperation (Triandis, 1989). Chinese collectivism is probably the vertical form because of the importance placed upon authority and hierarchy in the Confucian tradition. People in collectivistic cultures are focused on their social obligations. They see their environment as more or less fixed, and it is up to them to fit in. For instance, if they do not like the family they are married into, they adapt to fit in anyway and do not readily see divorce as an option. The term collectivism is used at the cultural level, and the corresponding term at the individual level is allocentricism. Allocentrics are concerned with interdependence, sociability, and family integrity. They are close to their

Values

ingroup members, and take into consideration and are responsive to the needs and wishes of ingroup members. They also tend to be ethnocentric, making clear distinctions between their ingroups and outgroups, being generally positive towards the former and negative towards the latter. The Chinese are clearly allocentrics. Individualism. Individualism is the polar opposite of collectivism, and can also be distinguished into vertical and horizontal forms. In vertical individualism, there is generally a high level of competitiveness, and one is expected to excel in order to climb the hierarchical ladder. In horizontal individualism, a person is expected to be independent, self-reliant, and unique (Triandis, 1998). Individualistic cultures are much less concerned with relationships, but are concerned with achieving justice. They prefer equity because it is seen to be compatible with growth, development, and profitability both at the individual and societal levels (Triandis & Suh, 2002). People in individualistic cultures become members of a group through choice or effort. In terms of child rearing, parents are primarily concerned with promoting independence, self-reliance, and creativity (Triandis, 1998). The term individualism is used at the cultural level, and the corresponding term at the individual level is idiocentricism. Idiocentrics are self-reliant and competitive, and they emphasize uniqueness, hedonism, and emotional distance between self and all others. People in individualistic cultures take a flexible view towards social obligations. They see themselves as more or less stable, and the environment as changeable. For instance, if they do not like the school they are in, they transfer to another school instead of trying to make adaptations to fit in. Compared to people in collectivist cultures, those in individualistic cultures enjoy higher self-esteem and are more optimistic. Collectivism versus Individualism. Idiocentrics and allocentrics exist in both collectivist and individualist cultures. It is estimated that in collectivistic cultures (such as China), about 60% of the people are allocentric, and in individualistic cultures (such as the United States), about 60% are idiocentric (Triandis & Suh, 2002). People from individualistic and complex cultures are more motivated when they are presented with choices, and their motivation tends to increase with success. People from collectivistic cultures are more intrinsically motivated when choices are made for them by authority figures. Their motivation tends to increase with failure because failure urges them to improve themselves by seeking a better fit between themselves and their environment. There is a famous saying in China that failure is the mother of all success.

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The individualist–collectivist polarity can be put to better use in understanding culture by identifying native terms and concepts that describe and illustrate the individualist–collectivist orientations (Lu, 1998). In Chinese culture, the collectivist orientation is best illustrated by the Confucian value of yi ( ), which can be taken to refer to a composite of righteousness, loyalty, and benevolence, whereas the individualist orientation is exemplified in the Mohist value of li ( ), which means benefits, gains, or profits. These two values underpin the achievement of collective and individual goals respectively. A survey shows that in modern China, the value of righteousness appears to be on the decline, and correspondingly the value of benefits has become more dominant (Lu, 1998). This demonstrates that there is indeed a strong relationship between modernization and individualist orientation. In other research, adolescents in mainland China were found to show a preference for values related to personal competence and effectiveness, while their counterparts in Taiwan, where Confucianism has been the mainstay of moral education, have continued to be people-oriented and value interpersonal relationships (Yuan & Shen, 1998).

The Schwartz Value Survey Schwartz and Bilsky (1987, 1990) identified seven culture-level types. These are: 1. Conservatism, which refers to a preference for stable ingroup relations where the self derives its meaning as being part of a collectivity that is embedded within the traditional order. 2. Harmony, which refers to a protective and appreciative relationship with Nature. 3. Egalitarian commitment, where interpersonal morality is embraced in lieu of egocentric concerns. 4. Intellectual autonomy, which emphasizes the pursuit of cognitive freedom. 5. Affective autonomy, which refers to personal desires for pleasure and stimulation. 6. Mastery, which refers to energetic self-assertion to control social and physical environments. 7. Hierarchy, which refers to the importance of power and ranking in social affairs. Based on this classification, it was found that the mainland Chinese were especially high on mastery and hierarchy, low on egalitarian commitment,

Values

and average on conservatism and autonomy, leading to the conclusion that the mainland Chinese placed emphasis on entrepreneurship within a matrix of highly regulated relationships. It was therefore proposed that mainland China could not be considered a collectivistic society, because typical collectivistic societies, such as Singapore, are high on conservatism and hierarchy, and low on mastery and autonomy (Schwartz & Bilsky, 1990). This finding was reviewed in relation to another piece of research, in which 9,995 sayings popular in mainland China were analyzed (Ho & Chiu, 1994). Out of these, 458 were judged to be relevant to the individualist– collectivist bipolar continuum, and further examination revealed that although there were more sayings which affirmed collectivism than individualism, more sayings affirmed individualism than negated it. Thus, the mainland Chinese could not be considered to be a pure collectivistic society.

The Chinese Value Survey A deliberately ethnocentric value inventory, the Chinese Value Scale (CVS) was put together by a number of scholars (Chinese Cultural Connection, 1987). From the 40 values surveyed, four dimensions of cultural values were extracted, namely social integration, human-heartedness, Confucian work dynamism, and moral discipline. It was found that Chinese people from Singapore, Taiwan, and Hong Kong were low on social integration, high but scattered on Confucian work dynamism, scattered on human-heartedness, and medium on moral discipline.

Modern and Traditional Values Making the assumption that advertising messages are based on cultural values, Zhang and Harwood (2004) performed a content analysis of television advertising in China to examine the interplay between various types of cultural values. They categorized these values into three types: 1. Traditional values, denoting the importance placed on family, tradition, filial piety, education, patriotism, and health. 2. Modern values, denoting the importance placed on modernity, beauty/youth, pleasure-seeking, success/status, materialism, and environmentalism. 3. Utilitarian values, stressing product quality and effectiveness. They discovered that utilitarian values stressing product quality and effectiveness were the most frequently used, followed by family values and modernity. Their

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content analysis also revealed a significant degree of hybridization of modern and traditional values. A representative example was a commercial showing two grandparents, two parents, and a child happily sharing a breakfast of cereals. The happy multigenerational family reflected the importance placed upon family solidarity and harmony, whereas the cereals-for-breakfast was evidently an indication of acceptance of modern and Western values of health and nutrition. Another study of the intermingling of modern and traditional values, in this case in relation to death cognition, was conducted by Hui, Chan, and Chan (1989), which also indicated that the Chinese endorse a mixture of Chinese and Western values.

Humility One of the qualities most valued in a Chinese person is humility, because of the function it serves in enhancing group harmony. Humility can be demonstrated by the factors to which people attribute their successes and failures. A humble person tends to attribute failures internally, to factors such as his lack of competence, and attribute successes externally, to factors such as getting help from others or luck. However such people can be labeled as self-effacing, and may be regarded as being more likeable but less competent than others. It should also be noted that the Chinese are not always humble or self-effacing. When they are in competitive performance situations, for instance, they can behave in a self-enhancing manner to support the integrity of their own groups (Bond, Leung, & Wan, 1982).

Culture and Values McCrae, Costa, and Yik (1996), in their study on the structure of the Chinese personality, put forth the notion that perhaps culture does not affect personality at all, and that adults in most cultures have developed ways of coping with life that are simultaneously consistent with group values and express their personalities. This position is built on ongoing empirical research demonstrating that there are certain personality traits, such as the neuroticism, extraversion, openness, agreeableness, and conscientiousness of the Five-Factor Model (FFM), which are common to people from all cultures. Chinese subjects, however, have sometimes (but not consistently) been observed to score notably higher on conscientiousness and lower on extraversion. Observable differences might be attributable to styles in presentation. For instance, Chinese subjects are more likely than Americans to be modest in responding to seemingly selfenhancing statements.

Chinese Attributional Processes

An even more radical position was taken by Bond (1996), claiming firstly, that the Chinese demonstrated more similarity at the cultural than the individual level, and secondly, that a set of values common to all Chinese is not identifiable. At the cultural level, the Chinese were found to value hierarchy and discipline, whilst at the individual level, they were found to value identification with their ingroups. However, contradictory findings were obtained by Cheung and Kwok (1999). It was found that students in China and Hong Kong shared a common orientation toward Chinese culture (Confucianism and collectivism), although the former came from an economic structure based on a planned economy and market socialism, whereas the latter came from a market economy operating under a laissez-faire policy.

CHINESE ATTRIBUTIONAL PROCESSES Crittenden (1996) pointed out that there are four dimensions underlying perceived causes. The first is locus, which refers to the degree to which a person believes that the cause is internal or external to himself; the second is stability, which refers to whether the cause is viewed as stable or variable; the third is controllability, which refers to the degree to which the cause can be controlled at will; and the fourth is globality, which refers to the range of influence of the cause. In terms of attribution for achievement, it was found that Chinese students attribute academic achievement (in descending order) to ability, effort, task difficulty, and luck. Ability is classified as internal and stable, and effort as internal and variable. Task difficulty is classified as external and stable, and luck as external and variable. According to this ranking, Chinese students’ attribution for achievement would appear to be more internal than external, and more stable than variable. In terms of attribution for interpersonal affiliation, the concept of karma (yuan, ), which is indigenous to the Chinese and involves beliefs about predestination, has been indicated (e.g., Yang, 1982; Yang & Ho, 1989). Karma is external, variable, uncontrollable, and global in influence. In this respect, it may be said that the Chinese tend to be passive in seeking, maintaining, and managing interpersonal affiliations. It has also been suggested that belief in karma may be related to the learned helplessness of the Chinese, but more rigorous research has to be conducted to discover the nature and strength of the relationship. For a detailed discussion on karma (yuan, ), refer to Chapter 6.

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CONCLUDING REMARKS The Chinese are known to be socially rather than individually oriented, They are also known to prioritize group goals over personal goals, place a high premium on interpersonal harmony, value interdependence, and respect hierarchy, yet research has shown that the Chinese do not represent a pure form of collectivism. This is because Chinese societies in places such as mainland China, Singapore, Taiwan, and Hong Kong are at different stages of social, economic, and political development. The influence of Confucianism in Taiwan, for instance, has been enduring, but in mainland China, Confucianism was denounced after the Communist takeover in 1949, and particularly so during the Cultural Revolution. It is only during past decade that the New Confucianism movement has taken root. Therefore, it is conceivable that the present-day Taiwan is more Confucian and hence more collectivistic than mainland China. Perhaps a useful way to study the social psychological characteristics of the Chinese is to first gain an understanding of the philosophies of Confucianism, Taoism, and Buddhism, which have influenced Chinese culture for over 5,000 years. With this grounding, one would be more aware of Chinese views towards self, others, life, and Nature, and thereby possess a macro framework of understanding of the Chinese mentality. Additionally, with the advent of globalization and modernization, one should also bear in mind the nature and extent of the hybridization of the old and the new, and understand how traditional ideologies are continuously being reinterpreted to stay current, meaningful, and useful.

REVIEW QUESTIONS 1. Why is the Chinese concept of a person (ren, human nature?

) a Galilean view of

2. Is there a unifying theme in the four modalities of the social orientation model? What is it, and in what sense is it unifying? 3. In what way is the model of person-in-relations useful in understanding the Chinese self? 4. What is the relationship between the private self (xiao wo, operating self (da wo, )? 5. Are the Confucian and Taoist views of life in contradiction?

) and the

Review Questions

6. Describe the major psychological beliefs of the Chinese. ) say about the 7. What does the belief in geomancy (feng shui, relationship of the Chinese with their physical environment? Is there a noticeable ascription to primary versus secondary control? 8. Describe the value orientation of the Chinese. In particular, can mainland China be described as a collectivistic society? 9. How are traditional and modern values coming together in China? 10. How do the Chinese attribute failure and success? How does the humility norm come into play?

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Intergenerational Relationships

Reciprocity and Filial Piety

Differences between Traditional and Modern Concepts of Filial Piety

Origins of Filial Piety The Four Books and the Five Classics The Book of Filial Piety Filial Piety and Pan-Filialism Instrumental Value of Filial Piety Components of Filial Piety Traditional Components Filial Attitude and Filial Behavior Psychological Correlates of Filial Piety The Cultural Philosophical Perspective Child-Rearing Practices Authoritarian Moralism and Cognitive Conservatism

Elder Care Intergenerational Conflict Management Determinants of Filial Piety Education and Socioeconomic Status Age Gender An Integrated View of Filial Piety Is Filial Piety on the Decline? Two Cultural Protocols of Filial Piety The Dual Model of Filial Piety Concluding Remarks Review Questions

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INTRODUCTION A person who holds strong filial attitudes and is highly filial in his behavior is sometimes referred to as an er shi si xiao (廿四孝) or literally a “twenty-four filial piety” person. For example, a husband who tries to satisfy his wife’s every whim might jokingly be referred to as an er shi si xiao husband, or a mother who will do anything for her children may be admiringly described as an er shi si xiao mother. The origin of this phrase lies in the most widely read book on filial piety, entitled the Twenty-four Filial Exemplars (Er Shi Si Xiao Gu Shi, 廿四孝故事), written by Kuo Chu Ching (郭居敬) during the Yuan Dynasty, while he was mourning the death of his father. The following are some typical anecdotes from the book: • In an impoverished family where food was scarce and there was not enough to feed everyone in the household, a man had to choose between feeding his infant son and his elderly mother, and decided to fulfill his filial duties by committing filicide. • A stepmother asked her filial son to get her fresh fish during winter when the lake was frozen, so the filial son took off his clothes and lay naked on the ice, attempting to use his body warmth to melt the ice in order to get to the fish. • An 8-year-old boy could not bear the thought of his parents being attacked by hordes of mosquitoes at night, so he tried to alleviate their suffering by lying naked on their bed in the hope that the mosquitoes would feed on him and leave his parents alone. • A filial son’s father was taken ill. To help him come to a more definite diagnosis, the doctor told the boy to taste the excrement of his father, which he did without question. • A filial daughter-in-law fed her toothless mother-in-law with her own milk every day, which helped her live to a ripe old age. • A woman fell sick and asked her son to make her some soup with fresh bamboo, but as it was winter, fresh bamboo could not be found. The filial son, in utter despair, burst into tears in the woods, and his tears caused an eruption in the frozen ground, from which arose fresh bamboo. These stories illustrate the extent to which filial piety was observed in feudal China, but they have remained popular today. Are similar filial attitudes still held? Have there been changes in filial affect? What are the values revealed by filial behavior today? These and other issues on filial piety will be examined in this chapter.

Reciprocity and Filial Piety

RECIPROCITY AND FILIAL PIETY The concept of reciprocity is universal in that most people, in return for the love, care, and concern they receive from their parents, feel some sense of obligation to care for them, particularly in their old age. In societies historically influenced by Confucianism, however, such as China, Japan, and Korea, filial piety encompasses a far broader range of beliefs, attitudes, and behaviors than the simple fulfillment of reciprocal obligations. The uniqueness of filial piety to the Chinese is revealed in several ways. Firstly, it is regarded as the most important ethical value of the Chinese, and is deemed to be at the root of all virtues. In fact, in most Chinese societies, unfilial acts are probably considered to be more heinous than robberies and murders. Secondly, subscription to filial piety defines Chinese intergenerational relationships, which are characterized by respect for authority and hierarchy, and obedience of the young toward the old. Thirdly, subscription to filial piety extends beyond the family to most superior–subordinate interactions, including those of teacher–student and employer–employee (Ho, 1996). Filial piety, including filial cognition and filial affect towards one’s ancestors, is also seen to operate as a biological linkage allowing people to communicate across time and space, because it provides a sense of bonding for people sharing the same ancestry. Furthermore, filial piety works as a transmitter of culture, as inherent in filial attitudes and filial behavior is the need to obey and learn from one’s ancestors (Isay, 2005). Filial piety has been studied extensively by philosophers, economists, historians, scholars of classical texts, and sinologists, but its psychological aspects have not come under as much scrutiny. Valuable guidelines have been offered regarding how filial piety might be researched, and one important suggestion is that, from the perspective of social psychology, filial piety should be examined at three levels: the cognitive, the affective, and the conative or intentional (Yang & Yeh, 1995). The reason for suggesting this is that over time, with the dramatic changes in the social, economic, and familial structures of Chinese societies, there has been growing dissonance between the three levels of filial piety. For instance, in a study of Chinese immigrants to the United States, it is contended that although filial piety is still valued, its behavioral components have undergone vast changes (Lin, 1985). The younger generations are more willing to contribute towards fulfilling the material comforts of their parents, but are less willing to accommodate the wishes of their parents in matters related to personal freedom and development. Somewhat contradictory evidence has been found in that, in terms of filial obligation, respect for and maintenance of social contacts with older family members are rated much higher than providing health care and financial

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assistance (Ng et al., 2000). In a study of the contradiction between values and performance, it was concluded that although most people regard caring for the elderly as an expression of filial piety, they do not perform physical care of the elderly and are diverse in performing symbolic care (Lam, 2006). It is therefore probable that the cognitive, affective, and conative levels of filial piety, as espoused in the original Confucian teachings, are no longer in vogue today, and have been replaced by other filial beliefs, feelings, and behaviors that are construed as being more in line with current social and economic conditions. Kagitcibasi’s (1989) model of family function postulates that with urbanization, industrialization, and increased affluence, there has perhaps been a shift from material to emotional interdependence in families, and that this can possibly provide another perspective to the changes in filial behavior and the observable dissonance between filial attitude and filial behavior. In the Confucian tradition, filial piety is the most important virtue to be cultivated in an individual. In fact, as will be seen later, filial piety is considered to be the cornerstone of one’s moral character-building. Conceivably, shifts in filial beliefs, attitudes, and behavior are likely to have intensive and extensive bearing on the areas of psychological functioning, child-rearing practices, intergenerational communication, elder care, and so on. In this chapter, we will examine the philosophical origins of filial piety, delineate the components of filial piety, reflect on the social, economic, and political importance of filial piety in premodern China, discuss the importance of filial piety in the social and psychological functioning of the individual, highlight the changes in the overall landscape of filial piety, and postulate what the future holds for filial piety in the face of urbanization, industrialization, and globalization.

ORIGINS OF FILIAL PIETY Filial piety is a Confucian concept. Nowadays, the two most commonly used Chinese terms for filial piety are xiao shun (孝順) and xiao jin (孝敬), both of which embody attitudes of obedience and reverence towards one’s parents, elders, and those in authority. However, in its original conception, filial piety encompassed a much broader range of values, attitudes, and behaviors. For instance, both Confucius and Mencius took the view that filial piety (xiao, 孝) was a display of benevolence (ren, 仁) which in the broadest sense can be interpreted as love between two persons as well as a display of righteousness (yi, 義), and that honoring and caring for one’s parents was one of the most righteous things to do in Confucianism.

Origins of Filial Piety

The Four Books and the Five Classics The authoritative texts on Confucianism are referred to as the Four Books and the Five Classics (Si Shu Wu Jing, 四書五經). Filial piety (xiao, 孝) is discussed extensively in two of the Four Books, namely the Analects (Lun Yu, 論語) and Mencius (Meng Zi, 孟子), and also in the Book of Rites (Li Ji, 禮記), one of the Five Classics. In the Analects, Confucius clearly states that filial piety is more than providing for one’s parents. He says, “Filial piety is taken to mean providing nourishment for parents, but even dogs and horses are provided with nourishment. If it is not done with reverence for parents, what’s the difference between men and animals?” (Legge, 1960a). The Book of Rites states three important components of filial piety: respecting one’s parents; bringing no dishonor to parents and family; and taking good care of parents with good food, soft clothes, a warm room, comfort, and peace. Hence, filial piety has always been much more than the simple provision of material comfort, as it entails doing so with a reverent attitude for the purpose of bringing honor to one’s parents.

The Book of Filial Piety The Book of Filial Piety (Xiao Jin, 孝經) was written around 400 BC, and a much referred-to translation is provided by Chen (1908). The opening chapter presents these statements about filial piety: • It is the root of all virtues. • All moral teachings stem from it. • Every hair and every inch of our skin are received from our parents, and the fundamental expression of filial piety rests with our making sure that we do not bring harm to our bodies. • The ultimate and eventual expression of filial piety is when, through following the course of filial piety, we have established our character, earned lasting fame, and glorified our parents. • Filial piety begins with the service of parents, progresses to the service of the ruler, and becomes complete with the establishment of the character. The Book of Filial Piety describes how filial piety is to be observed by the ruler, the princes of states, the high ministers, the inferior officers, and the common people. It also lays out the affect, behavior, and cognition that are deemed appropriate for the expression of filial piety. The essence of this presentation is that when filial piety is observed and diligently practiced, there will be respect for authority, followed by order, conformity, and harmony in

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the family, community and state. Filial piety is thus an antidote to anarchy, and following the path of filial piety has significant political value. Seen in this light, the implications of filial piety are not restricted to the family, but in fact extend to the economic and political arenas.

Filial Piety and Pan-Filialism The foregoing view of filial piety is termed pan-filialism (Yang & Yeh, 1995), a notion which suggests that filial piety is the cornerstone of traditional Chinese social structure. Through empirical research, it has been further demonstrated that, irrespective of the rate and degree of societal changes, in Hong Kong and Taiwan, filial piety continues to be regarded as an important (or even the most important) moral value. In these countries, to be praised as filial is deemed socially desirable, and being a filial son or daughter is a constituent component of one’s ideal self. From a philosophical point of view, filial piety denotes a reverential attitude of gratitude and compliance expressed not only to one’s parents and grandparents, but also to one’s origin, roots, resources, and tradition. Tradition is particularly important, as it is believed to hold the knowledge and wisdom essential for survival. The Chinese are taught at an early age never to betray their tradition, and never to forget their origin and resources. Being filial is to heed these teachings, and in this sense, filial piety is an integral part of the Chinese deference for tradition (Isay, 2005; Nuyen, 2004). Rather than taking a narrow and micro view of filial piety, this philosophical position presents a broader and more encompassing perspective of the social and psychological roles filial piety plays as an instrument of cultural transmission.

Instrumental Value of Filial Piety From an economic perspective, filial piety has significant instrumental value (Wing, 1995). The traditional agrarian economy in China was built on a foundation of family production units. When production and productivity were based around the family, there was every incentive to maintain harmony and order within the household. Such harmony and order was brought about by Confucian teachings, which emphasized the family as the primary center around which an individual’s life revolved. The family was also regarded as a vital ethical unit in the Confucian ethical system. Underpinning this system was the concept of filial piety, which defined intergenerational relationships, with special emphasis placed on respect and obedience of the young toward the old. In the traditional multigenerational household, filial piety was the cement

Components of Filial Piety

binding the family together in a stable and harmonious state, individuals’ roles were defined according to their positions on the hierarchical ladder, and the authority of the elders was never challenged. Stability and order reigned in these households, enabling the establishment of the family as the basic economic unit of production in feudal China. As China has gradually progressed from an agrarian to an industrial economy, the importance of the family as a basic unit of production has diminished. However, businesses, like land, tend to be family-owned and passed from generation to generation. The role which filial piety plays in the management of family-owned businesses should be a subject of interest to researchers.

COMPONENTS OF FILIAL PIETY Traditional Components The Chinese idiograph for “filial” is 孝 (xiao), and is made up of two radicals: the upper radical is 老 (lao, old), and the lower radical is 子 (zhi, son). This character graphically depicts a younger person carrying an older person. In an expansion of this theme, a study analyzing the content of writings on filial piety lead to the conclusion that traditionally, filial piety is composed of 15 items: love and respect for parents, obedience towards parents, rational counsel for parents to prevent them from committing immoral acts, treating parents in accordance with ritual propriety, inheriting parents’ career or business, glorifying parents’ name, remembering and revering parents, entertaining parents, not causing parents to worry, attending to parents’ needs, providing physical and emotional sustenance to parents, loving and caring for oneself, ensuring that the family line is carried on, burying parents in accordance with ritual propriety, and conducting ancestral worship in accordance with ritual propriety (Yang & Yeh, 1995). From this list, it can be deduced that a filial person is expected to construct his/her life around the needs, desires, proclivities, and aspirations of his/her parents, and that, true to the nature of collectivistic societies, interdependence is valued. Filial piety has also been viewed from two other perspectives: the behavioral and the emotionally-oriented (Sung, 1995, 1998). The first was measured in terms of sacrifice for parents, responsibility towards parents, and repayment of debt to parents, and appears to be more authoritarian and reciprocal in nature. The second was measured in terms of maintenance of family harmony, love, and affection for parents, and respect for parents, and is affective in nature.

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Filial Attitude and Filial Behavior From the viewpoint of social psychological research, it is deemed to be more appropriate to treat filial piety as a composite concept comprising filial attitude and filial behavior (Yang & Yeh, 1995). Figure 5.1 is a representation of this composite concept. Filial attitude is said to comprise filial cognition, filial affect, and filial intention, and it is proposed that they are influenced by the interaction of three factors, namely: the intensity and method of socialization; the parents’ personalities, behavior, and other characteristics; and the offspring’s personality, behavior, and other characteristics. Such interactions impact the level of filial intention, but the translation of intention into behavior is contingent upon the ability (including financial, intellectual, and physical) of the offspring to carry out filial acts, as well as whether the concurrent environment supports the performance of these filial acts (Yang & Yeh, 1995). To take an example of an article on filial piety from the archives of a popular magazine, Reader’s Digest, the May 2006 issue of the Chinese edition reported on a survey conducted in China, Hong Kong, and Taiwan (www. readersdigest.com.hk). The results show that six behaviors are considered to be filial in nature, and these are (in descending order of importance): caring for parent’s livelihood, providing financial support to parents, taking the time to ask after parents, honoring parents by achieving success in one’s career, complying with parents’ wishes, and the prolongation of the family line. The foregoing exposition on the traditional and modern conceptualizations of filial piety unequivocally demonstrates that in Chinese societies, the emphasis has always been placed on the family or the collective rather than

Filial Attitude

Filial Behavior

Filial cognition Filial intention

Filial behavior

Filial affect

Figure 5.1

Levels of Filial Attitude and Filial Behavior

Psychological Correlates of Filial Piety

the individual, and, as will be shown, the impact of filial piety is still quite far-reaching today.

PSYCHOLOGICAL CORRELATES OF FILIAL PIETY Two perspectives are useful in evaluating the effects of filial piety on the psychological functioning of the Chinese; one is cultural philosophical, and the other concerns child-rearing practices.

The Cultural Philosophical Perspective From the cultural philosophical perspective, it is noted that traditionally, in the family and educational and sociopolitical institutions, there has always been hierarchical ranking, and a respect for hierarchy and authority is inherent in the practice of filial piety. The Book of Rites (Li Ji, ) sets out in explicit detail the roles and concomitant behaviors of each position on the hierarchy. It is important for an individual to act in accordance with propriety, as this is the first step towards becoming a moralist (jun zi, ), the highest level of achievement in self-cultivation. A person is judged not on the basis of personal attributes such as talents and capabilities, but on how well he has abided by moral and ethical precepts. Since filial piety has always been extolled as a basic building block of the moral and ethical values in Chinese culture, to become a jun zi, one must first learn how to be filial.

Child-Rearing Practices So how does a person learn to be filial? This can best be deduced by examining the child-rearing practices of Chinese parents. Traditional maternal and paternal roles in child rearing are distinctively different (Ho, 1987). The paternal role has basically been that of a provider, educator, and disciplinarian, whereas the maternal role has been that of a protector and nurturer. It has always been the filial responsibility of fathers to educate sons in accordance with the prevalent codes of social and moral conduct, with the eventual aim of producing filial sons to carry on the family tradition, while the business of nurturing children has been assigned entirely to mothers. Thus, Chinese fathers have never been expected to tend to the emotional and psychological needs of their children, and as a general rule, fathers tend to be emotionally distant from their children. Since fathers are irrefutably the official head of the household, the overall child-rearing

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picture in Chinese families is one that pays attention to moral standards, strict discipline, and the production of filial children, rather than the psychological, developmental, and emotional needs of the children. In a sense, attitudes in parenting are shaped by subscription to the precepts of filial piety. These attitudes then translate into child-rearing practices and patterns of socialization characterized by authoritarian moralism, which has a direct bearing on the cognitive development of children. Empirical evidence has further shown that filial attitudes are associated with traditional child-rearing patterns of overcontrol, over-protection, demands for proper behavior, and harsh discipline, and inhibition of independence, self-expression, and creativity in children (Ho, 1994a, 1996). Subscription to the precepts of filial piety is significantly related to the placing of more emphasis on strict discipline and less emphasis on developing a child’s creativity, self-mastery skills, independence, and expressivity. There seems to be some mystical belief that a well-disciplined and hence a wellbehaved child has a better chance of becoming successful in life. Although in intergenerational comparisons, a significant reduction in authoritarianism in child rearing has been noted in the younger and better-educated parents, Chinese parents on the whole are still easily alarmed by expressions of aggression in their children, and they demonstrate overt concern about impulse control (Ho & Kang, 1984). Studies based on the classification of parenting into authoritative and authoritarian styles (Baumrind, 1967) have revealed that mothers who value socio-emotional development are inclined to adopt authoritative practices, which consist of sensitive responses to the child’s needs and abilities, as well as reasonable and appropriate parental expectations (Rao, McHale, & Pearson, 2003). Chinese mothers are less inclined to use authoritative practices, believing that attention to socio-emotional development in children is likely to inhibit the acquisition of filial behavior and academic achievement. Therefore, Chinese mothers who value filial behavior and academic achievement tend to use authoritarian parenting, which consists of power-assertive, prohibitive, and punitive strategies. Children reared under authoritarian parenting have been found to be more self-oriented, to have lower self-esteem, and to harbor negative attitudes towards the world (Chen, Dong, & Zhou, 1997). Chinese parents tend to cite filial piety, academic achievement, and proper behavior as attributes of the ideal child, and these are emphasized in Confucian teaching (Shek & Chan, 1999). It was found that only one-third of the parents surveyed referred to personal development traits such as emotional maturity, emotional control, emotional expressivity, and pursuit of happiness as characteristics of the ideal child. This suggests that many Chinese parents have yet to realize the importance of personal growth and development.

Psychological Correlates of Filial Piety

To summarize, there is overwhelming evidence that Chinese parents tend to place an inordinate amount of emphasis on building up their children’s moral character, particularly with respect to becoming filial sons and daughters. When precepts of filial piety are internalized by the individual, an authoritarian personality is likely to be formed (Ho & Lee, 1974). The common component ideas of authoritarian submission, authoritarian aggression, and conventionalism have been found in both filial piety and authoritarianism (Ho, 1994b). Based on this commonality, the twin concepts of authoritarian moralism and cognitive conservatism have been utilized to link the cultural and external precepts of filial piety with the internal and psychological functioning of the individual.

Authoritarian Moralism and Cognitive Conservatism Authoritarian moralism comprises two Confucian components (Ho, 1994b). One is the hierarchical ranking of authority in the family and educational and sociopolitical institutions, and the other is the way in which individuals are primarily judged in terms of moral precepts. When teachers and parents, whose authority is deemed absolute, place overriding emphasis upon the development of moral character through education, they tend to be moralistically rather than psychologically oriented in their treatment and rearing of children. Emphasis is placed on impulse control, rather than on encouraging the expression of thoughts and feelings. Ultimately the inner feelings, needs, and aspirations of children are seldom, if ever, attended to, and emphasis is instead placed on developing in the children a code of conduct that meets some culturally and externally determined moral criteria, of which the fulfillment of filial obligations is the most important. In this sense, filial piety and authoritarian moralism are mutually reinforcing. Filial piety ensures that the authority of parents and teachers remains absolute, and authoritarian moralism ensures that filial obligations are scrupulously fulfilled. It has been intimated that Confucianism was itself founded on authoritarianism, and that filial piety has become the primary instrument for the establishment and maintenance of authoritarianism (Slote & DeVos, 1998). It is further contended that one central product of authoritarian moralism is that of cognitive conservatism (Ho, 1996), which is defined as a resistance to cognitive change and a disposition to preserve existing knowledge structures (Greenwald, 1980). Cognitively conservative individuals adopt uncritical, noncreative, and passive attitudes towards learning. They endorse superstitious, stereotypical, and fatalistic beliefs, and appear to be highly conforming with respect to social norms. From a philosophical perspective, it is asserted that Confucianism has never intrinsically advocated a blind obedience to authority

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and tradition. Furthermore, as evidenced by the extensive use of rhetoric in Confucius’s teaching, the annihilation of a person’s capacity or motivation was never an intended outcome of the adoption of filial attitudes (Nuyen, 2004). Nevertheless, empirical evidence has shown that cognitive conservatism is symptomatic of authoritarian filial piety, and decreases the person’s opportunities and capacity for probabilistic thinking (Yeh & Bedford, 2003). It is evident that filial piety, as the principal mechanism for establishing and maintaining the authoritarianism on which Confucianism is founded, has been instrumental in the formation of a Chinese personality characterized by high rigidity and low cognitive complexity. Interdependence and conformity are reinforced at the expense of developing autonomy and moving towards individuation. It is also of paramount importance to note that the influence of filial piety on the cognitive functioning of the individual is not restricted to parent–child and teacher–student relationships, but extends to all authority relationships, including those of the professional–layman (such as doctor– patient, psychotherapist–client) and employer–employee situations.

INTERGENERATIONAL RELATIONSHIPS Intergenerational relationships play a central role in cultural transmission, and Confucian filial piety is often seen as an example of a culturally defined intergenerational relationship (Ho, 1994b). When filial attitudes and behaviors undergo change over time, intergenerational relationships are simultaneously re-defined which, in turn, influences the nature of cultural transmission.

Differences between Traditional and Modern Concepts of Filial Piety A detailed analysis of the differences between traditional and modern concepts of filial piety was carried out, and 13 classic forms of elder respect were identified (Sung, 2001). The first three are material or practical forms of respect and the others are symbolic forms of respect, as listed below: 1. 2. 3. 4.

Care respect, or providing care and services for elders. Victural respect, or serving foods and drinks of elders’ choice. Gift respect, or bestowing gifts on elders. Linguistic respect, or using respectful language in speaking to and addressing elders. 5. Presentational respect, or exhibiting courteous behavior. 6. Spatial respect, or furnishing elders with honorable seats or places.

Intergenerational Relationships

7. 8. 9. 10. 11. 12. 13.

Celebrative respect, or celebrating birthdays in honor of elders. Public respect, or respecting all elders in society. Acquiescent respect, or being obedient to elders. Salutatory respect, or greeting elders. Precedential respect, or giving precedential treatment to elders. Funeral respect, or holding funeral rites for deceased parents. Ancestor respect, or worshipping ancestors.

Of these 13 traditional forms, only six (care-, victual-, gift-, linguistic-, presentational-, and public respect) are universally practiced today by the people in East Asian countries historically influenced by Confucianism. Additionally, one form of elder care is also universally practiced, that is, the consulting respect, which refers to the seeking of advice from elders on personal and family matters. This is seen as an indication that there is a movement away from authoritarian and patriarchal relationships to more egalitarian and reciprocal relationships between generations (Sung, 2001). Changes in filial piety bring about changes in intergenerational relationships, and one area which is directly impacted upon is elder care.

Elder Care Care of the elderly, and reverence for them whilst they are alive and after their deaths, are the fundamental precepts of filial piety. Traditionally, one of the motivators encouraging intergenerational filial piety is that of self-interest, for example, one wants one’s children to respect and care for oneself in old age, so to set a good example to one’s children, one is filial to one’s parents. However, factors such as socialist cultures that counteract traditional sentiments of filial piety and advance notions of social equality between parents and children, changes in population dynamics, and transformation in economic structure, whereby parents earn a sufficiently large income to enable them to live alone and support themselves, have together contributed to the decline in the strict observance of filial piety (Ikels, 2004). Hence, both the parameters and quality of elder care are undergoing marked changes. In extreme cases, there is evidence that the various forms of elder abuse identified in Western countries now exist in Chinese families (Yan, Tang, & Yeung, 2002). The current assertion is that although family traditions remain strong in China, filial piety and family obligations have to compete for resources with the demands of a modern society and the needs for personal achievement of family members (Mackenzie & Holroyd, 1995). Under these circumstances, the quality of care received by dependent family members tends to be on the

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decline, and it has been noted that family elder care in China is gradually shifting from a cultural to a behavioral norm. In other words, elder care in China is gradually becoming more normative than real (Yuan, 2001). Consequently, family support for the elderly is becoming increasingly fragmented, and the role of the family in elder care has diminished considerably. An outcome of this shift is that the burden of responsibility for elder care has gradually been reallocated from the family to the state. As longevity increases, the drain on the state’s resources caused by an ageing population will become critical in the long term. In modern Chinese societies, such as Hong Kong, the motivation for providing elder care is no longer derived simply from traditional notions of filial piety, but is rather a mixture of the old and new, and can perhaps be more appropriately termed reciprocal obligation, a concept that is universal rather than uniquely Chinese (Lee & Kwok, 2005). Similar findings are cited in China, where it is asserted that the culture of filial piety is not on the decline, but changes such as increased geographical mobility, the changes in family structure brought by the one-child policy, better educational and career opportunities, and so on, are having a pivotal effect on elder care (Zhan, 2004). Realistically, the many changes in the social, economic, and political spheres of life in China have initiated corresponding changes in the way filial piety is perceived, and how elder care is delivered. Whether these changes are tantamount to the demise of the culture of filial piety or simply signal the replacement of a culturally unique notion with a universally applicable concept remains to be seen.

Intergenerational Conflict Management Apart from elder care, it is noted that in intergenerational conflict management, when compared to their American counterparts, young Chinese individuals are less confrontational at work and more inclined towards maintaining relational harmony. When compared to older persons, however, it is evident that they do not endorse hierarchy and filial piety as strongly, and desire more egalitarian relationships with their elders (Zhang, Harwood, & Hummert, 2005). As a result, in a conflict, older persons may consider it legitimate to openly and bluntly criticize younger individuals, whereas the younger individuals often regard such criticism as face-threatening. The divergence in the degree of endorsement of hierarchy and filial piety amplifies the potential for intergenerational conflict. Intergenerational conflict can be examined by differentiating between authoritarian and reciprocal filial piety (Yeh & Bedford, 2003). In authoritarian

Determinants of Filial Piety

filial piety, children defer to the wishes of their parents because of role obligations and hierarchy. In reciprocal filial piety, children do so out of a sense of indebtedness to their parents. It is noted that reduced conflict is related to a high level of belief in either type of filial piety, but when comparing the two, reciprocal filial piety is more strongly associated with reduced conflict than authoritarian filial piety. Perhaps an inherent sense of indebtedness to and respect for one’s parents and elders plays a more significant role in reducing conflict than the imposed precepts of filial piety. The evolution of filial piety in Chinese immigrants in the United States has been studied and results indicate that there has been reconciliation between traditional values and the demands of a modern society (Lieber, Nihira, & Mink, 2004). Precisely put, although filial piety remains both meaningful and socially relevant to these immigrants, their encounters with modernization have exerted a noticeable influence on the way they view filial piety, and have significantly lowered their expectations regarding filial behavior in their children.

DETERMINANTS OF FILIAL PIETY Education and Socioeconomic Status Although, in traditional Chinese society, members of the scholar-gentry were expected to be models of filial piety, various researchers have demonstrated that education is negatively related to filial attitudes (Ho, 1994a; Ho, Hong, & Chiu, 1989). In other words, a higher level of education is not predictive of stronger filial attitudes. It has also been found that people of lower socioeconomic status actually hold stronger attitudes towards filial piety. The association of filial attitudes with lower socioeconomic status relates to a general pattern found in different societies connecting conformity–obedience values to lower socioeconomic status (Ho, Hong, & Chiu, 1989), and adherence to the precepts of filial piety certainly falls within these parameters.

Age In terms of age, it is concluded that filial cognition tends to shift with age in the following ways: from other-regulated to self-regulated normative principles; from filial acts directed towards parents or ancestors to those directed towards a larger domain, such as one’s society and country; from

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inequality–unidirectionality to equality–bidirectionality; and from material to spiritual goals (Yeh & Yang, 1989). These shifts seem to indicate that, as the ethic of filial piety is progressively internalized by the individual and becomes an integral part of his or her value system, its application in terms of motivation, parameters, direction, and level becomes broadened. In other words, as individuals mature, the performance of filial acts becomes more voluntary than enforced, filial attitudes expand to include notions of loyalty to society and nation, filial piety acquires a spiritual dimension, and they find themselves simultaneously at the giving and receiving ends of filial acts.

Gender With respect to gender, in a traditional Chinese family, caregiving has always been the domain of female family members, and this includes elder care. However, with the increasing participation of women in the labor force, the availability of caregivers within the family to fulfill filial responsibilities is much reduced. Furthermore, as women in China gain more access to higher education and more opportunities for career development and financial independence, they will probably be less willing to give up their careers and financial freedom to take care of their elderly parents. Consequently, they may opt to put their elderly parents in residential care homes or hire paid caregivers. In reality, it has been discovered that the degree to which individuals are willing to take care of their elderly parents personally is determined more by the quality of their parent–child relationship than by a traditional observance of the precepts of filial piety (Lee & Kwok, 2005). Thus, although Chinese women may continue to score highly on their sense of filial obligations, there is a marked discrepancy between this and their actual performance of filial acts. In a way, it can be said that the decline in filial piety is inversely proportional to the rise in the social status of women in Chinese society.

AN INTEGRATED VIEW OF FILIAL PIETY Is Filial Piety on the Decline? In Confucian teaching, family and social relations are innately hierarchical, and strict adherence to these hierarchical norms is essential for the maintenance of social harmony. In addition, the precepts of filial piety also demand absolute respect for and observance of hierarchical relations. However, there is evidence that filial piety is on the decline and no longer commands the same degree

An Integrated View of Filial Piety

of absolute observance of these norm that it once did (Ho & Kang, 1984; Ho, Hong, & Chiu, 1989). It is further suggested that filial behavior is being performed selectively, and in a way that deviates from traditional concepts of filial piety (Lee & Kwok, 2005). Factors affecting such selective behavior include: the expansion of the female labor market and the subsequent decrease in the availability of female family members who can act as caregivers; the geographical distance between adult children and their parents resulting from the replacement of extended families with nuclear families; an older generation of people who are more financially independent and choose to live apart from their children; and the progressively earlier age at which individuals achieve economic independence and move towards more individualistic life styles. However, contradictory evidence has been put forward which suggests that the filial obligations which young people feel towards older people remain strong, and that older people continue to have high filial expectations of younger people (Yue & Ng, 1999).

Two Cultural Protocols of Filial Piety If the culture of filial piety is not on the decline, how then can one explain the apparent discrepancy between filial attitudes and filial behavior? Yue and Ng (1999) proposed an explanation based on two cultural protocols. Firstly, respecting older people is not synonymous with obeying them, and secondly, caring for older people is not necessarily equivalent to supporting them financially. The separation of respect from obedience corresponds with a gradual shift away from authoritarian interaction between generations. The demarcation between caring and financial support takes into account the idea that in most developed regions, people plan for their retirement and are able to support themselves financially in old age, yet they still aspire to be cared for emotionally and psychologically. Furthermore, both protocols are consistent with an increasing need for autonomy and self-reliance in both the old and the young, and are indicative of a shift in filial attitudes and behaviors from the material to the spiritual.

The Dual Model of Filial Piety An integrated approach to understanding filial piety was put forward by the dual filial piety model (Yeh, 2003), based on an analysis of the development of filial piety in China. It demonstrated that the filial piety originally espoused by Confucius and his immediate followers was reciprocal in nature, and entailed

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attending to one’s parents spiritually and emotionally out of one’s gratitude to them for giving one life and raising one. It also entailed caring for one’s parents physically and financially in their old age, and memorializing them when they died. During the Qing and Han Dynasties (206 BC–AD 1911), filial piety became imbued with authoritarian characteristics, and unfilial acts were sometimes punishable by death. Authoritarian filial piety involved subjugating one’s wishes to those of one’s parents because of their seniority in the family hierarchy, continuing the family lineage, and upholding family reputation. It did not take into account the quality of relationship between parents and their offspring. This gave parents the absolute right to demand filial treatment from their children. It is contended that reciprocal filial piety is affect-based, and that the beneficial aspects of filial piety can in fact be attributed to reciprocity (Yeh & Bedford, 2003, 2004). These include: motivation to care for elders, reduced intergenerational conflict, familial solidarity, and a better capacity for social interaction. On the other hand, authoritarian filial piety is normatively-based, and the harmful aspects of filial piety can be attributed to authoritarianism. These include uncreative, uncritical, and passive attitudes towards learning; poorer verbal fluency; cognitive conservatism; and a propensity to superstition and the holding of stereotypical beliefs. To obtain a more comprehensive perspective, filial piety should be examined from the dual perspectives of reciprocity and authoritarianism. When this dual model of filial piety was put to the test (Yeh & Bedford, 2003), it was discovered that reciprocal filial piety is not on the decline, as it is selfreinforcing in its proclivity to promote harmonious family relations, which are still highly valued in Chinese societies. Authoritarian filial piety, on the other hand, conflicts with current views of egalitarianism, democracy, and individual autonomy, and is therefore difficult to uphold in a modern China exposed to the combined forces of modernization, globalization, and industrialization. Therefore, unless there is a reversion to the ancient way of regarding unfilial behavior as criminal and punishing it accordingly, as during the Han Dynasty, it is likely that the practice of filial piety will exhibit three major trends: moving away from authoritarian and patriarchal relationships to more egalitarian and reciprocal relationships between generations; respecting authority but not necessarily abiding by all the rules; and providing emotional and psychological care but not necessarily financial support (Sung, 2001; Yue & Ng, 1999).

CONCLUDING REMARKS As China moves into the modern age of urbanization, globalization, and

Concluding Remarks

industrialization, the landscape of filial piety is inevitably undergoing drastic changes. Extended families have long become relics of the past, and in modern nuclear families, the intergenerational transmission of filial attitudes and behaviors is bound to be fragmented. The themes outlined in the Twentyfour Filial Exemplars are no longer upheld as ideals for individuals purporting to be filial sons and daughters; rather they are regarded as stories from the past to be read with elements of curiosity, awe, and disbelief. Changes in the socioeconomic structures of Chinese societies have enabled the older generation to be financially independent and given them the option of living apart from their adult children. These changes have also allowed the younger generation to attain financial independence at a progressively younger age. The traditional agrarian economy, in which wealth, power, and knowledge were concentrated in the hands of the family elders, has been replaced by a more egalitarian distribution of these resources amongst the old and young. Concurrently, collectivism is gradually giving way to individualism, and the life of the individual seems to have become less family-centered. Attitudes towards filial piety are no longer translated into actions affecting family size and composition, sex disparity in education and occupation, roles within the family, and matrimonial arrangements, although matrimonial style is perhaps an exception (Ho, Hong, & Chiu, 1989). All in all, there is a shift from material interdependence towards affective interdependence; from normatively-based authoritarian filial piety towards affect-based reciprocal filial piety; and a shift towards reciprocity, which it is recognized characterizes all families, not just Chinese families (Ross, Stein, & Trabasso, 2005). Hence, with globalization, the uniqueness of Chinese filial piety appears to be fading and is being replaced by the more universal concept of reciprocity. If traditional filial piety is at the root of authoritarian moralism and cognitive conservatism, will the movement towards reciprocity be cognitively liberating? The answer waits to be uncovered by further research. It is heartening to note that despite changes in filial attitudes and behavior, filial piety per se continues to be regarded as an important (or even the most important) moral value in Chinese societies (Yang & Yeh, 1995). In the midst of this hybridization of the traditional and modern, the Chinese adherence to the ethic of filial piety can be interpreted as a respect for tradition and Confucian values such as li (禮, the virtue of orderly conduct based on the observance of social propriety), ren (仁, humanity and benevolence), and yi (義, righteousness).

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REVIEW QUESTIONS 1. Is filial piety unique to the Chinese? 2. What are the origins of filial piety in China? 3. Can filial attitude predict filial behavior? 4. What are the components of filial piety? 5. What social, psychological, and economic functions has filial piety served in Chinese societies? 6. Is filial piety harmful or helpful to the psychological development of the individual? 7. Is filial piety related to uncritical and passive attitudes towards learning? 8. In what ways does filial piety influence child-rearing practices? 9. In what ways does filial piety affect intergenerational communication and elder care? 10. What are the similarities and dissimilarities between filial piety and reciprocity? 11. Is filial piety on the decline? What does the future hold for filial piety? 12. How is filial piety an instrument of cultural transmission?

CHAPTER

6

Yuan and its Psychological Implications for Relationship Management


Yuan and Passivity

Eastern and Western Views of Interpersonal Relationships

Yuan and Relationship Management

Unidirectional versus Multidirectional

The Importance of Yuan in Relationship Development

Collectivist versus Individualist

Socio-Psychological Functions of Yuan

Yuan across Cultures

Yuan Today

The Meaning of Yuan

Conclusion

Yuan and Buddhism

Review Questions

Origins of Yuan Common Expressions of Yuan Categories of Yuan By Duration By Quality By Type

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CHAPTER 6 Yuan and its Psychological Implications for Relationship Management

INTRODUCTION When talking about interpersonal relationships, the Chinese frequently refer to the concept of yuan ( ). Yuan is basically a traditional Chinese system of causal attribution in which the occurrence, nature, duration, and content of a relationship are considered to be somehow predestined or inevitable, and something over which people have limited control. The concept of yuan is complex and carries various shades of meaning depending on the perspective it is viewed from. No single English word adequately covers all these shades of meaning, therefore the word yuan, rather than an English translation, is used throughout this chapter. However, generally speaking, it can be regarded as a form of fatalism or fatalistic determinism. The following two well-known sayings illustrate the extent to which yuan influences how the Chinese form, develop, and manage interpersonal relationships: 1. You yuan qian li lai xiang hui, wu yuan dui mian bu xiang feng ( ). Literally translated, this means that if there is yuan, people will travel thousands of miles to meet each other, but if there is no yuan, two people might come face-to-face and not connect in any way. 2. Yin yuan ben shi qian sheng ding, bu shi yin yuan mo qiang qiu ( ). Literally translated, this means that the yuan available to form an intimate or marital relationship is predetermined in one’s past lives. If such yuan does not exist, one should not forcibly try to make it happen. These idioms indicate how, in interpersonal relationships ranging from the briefest encounter to the lifelong commitment of marriage, yuan plays a central, if not decisive role for the Chinese. In this chapter, we begin by examining how the concept of yuan distinguishes the Chinese manner of managing relationships from that of Westerners. We then go on to discuss the Buddhist foundations of yuan and the common usage of yuan in everyday encounters. Lastly, the changes in yuan beliefs and the social and psychological implications of yuan in relationship management are explored.


EASTERN AND WESTERN VIEWS OF INTERPERSONAL RELATIONSHIPS Unidirectional versus Multidirectional The way in which the East and the West deal with problems encountered in interpersonal relationships has been compared, and it has been found that in the West, people are inclined to see the outcome of a relationship as being primarily dependent on interpersonal communication. This reliance on a primary cause to explain relational outcomes is unidirectional in nature. However, the Eastern view of causation tends to be multidirectional, in that both primary and secondary causes come into play. Primary causes of relationships, referring to factors under the direct control of the individual, are elucidated in Confucianism. For instance, it is up to an individual to decide on the amount of benevolence (ren, ) and righteousness (yi, ) that he/she wishes to invest in a relationship, and this decision will have direct bearing on the relational outcome. Secondary causes of relationships are illustrated in the Buddhist version of the concept of yuan, which is considered to be pivotal in determining when, where, how, and for how long people come into association with each other. Chinese people appear to pay more attention to secondary causation than Westerners. In other words, the Chinese believe that in the absence of positive yuan, nothing can be done on a personal level to make a relationship work, whereas Westerners are inclined to believe that obstacles in interpersonal relationships can be overcome with concerted personal effort (Chang & Holt, 1991). Within the Western context of unidirectional causation, a relationship can be “worked on,” that is to say, the intention and quality of interpersonal communication is seen to have direct bearing on the creation and quality of the relationship. In the Chinese context of multidirectional causation, the importance of communication in the management of relationships is not disputed, but other factors are considered to be of equal or greater importance in determining relational outcomes. The most important factor of all is that of yuan, and the Chinese believe that although conditions may be optimal for a relationship to occur, nothing can develop in the absence of yuan (Soothill & Hodous, 1968, 2005). The following anecdote, based on this writer’s own experience, clearly illustrates how yuan influenced the way some young Chinese unmarried mothers viewed another interpersonal relationship, namely that between themselves and

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the babies they gave up for adoption: Whilst working with an organization for unwed mothers called Mother’s Choice, this writer often overheard young girls who had given their babies up for adoption say that they had no “mother-child yuan.” Evidently yuan was being used here both as a defense mechanism to ease the pain of separation and as a way of minimizing personal responsibility and liability.

Collectivist versus Individualist As members of a collectivistic culture, Chinese people place a high value on relationships and relational harmony. A frequently cited Chinese saying is bai shi xiu lai tong chuan du, qian zai xiu de gong zhen mian ( , ). Literally translated, this means that the accumulation of yuan from hundreds of reincarnations is needed just for two people to ride on the same boat, and yuan has to be accumulated for a thousand years for two people to sleep on the same pillow. Since it takes such a long time for enough yuan to be accumulated before any relationship can come into being, one must learn to xi yuan ( ), that is, to treasure or cherish yuan. Xi yuan involves not rocking the boat, going with the flow, and allowing yuan to lead the relationship to a predestined conclusion. When juxtaposed against individualistic cultures, such as those in North America and Europe, it is obvious that instead of believing that the formation and maintenance of relationships rely primarily on causative factors such as communication skills and strategies, the Chinese tend to adopt a multidirectional approach and view yuan as the main facilitating factor. However, it should be noted that in common usage, the concept of yuan is applied metaphorically to describe relationships, and deviates dramatically from the original Buddhist depiction of the world as a complicated and unstable phenomenon created by multiple causes (Chang & Holt, 1991).

Yuan across Cultures In a cross-cultural research project on yuan, Chinese respondents scored significantly higher on the yuan scale than their British counterparts (Goodwin & Findlay, 1997). Such a finding is to be expected, but the more interesting conclusion from this research is that the Chinese concept of yuan is by no means unique, and that across different cultures, similar experiences and beliefs also exist. So what sets Chinese yuan beliefs apart from similar beliefs in Western cultures?


It has been suggested that, for Westerners, communication is a strategy that produces outcomes in interpersonal relationships (O’Keefe & Delia, 1982). However, for the Chinese, it is believed that in the absence of yuan, it is useless to adopt strategies to bring about relational outcomes, and even if these outcomes are somehow achieved, they are likely to be undesirable. Westerners generally believe that those who have the most complementary or compatible personalities or who hold similar attitudes on certain issues are most likely to be attracted to each other. For the Chinese, such factors alone do not form an adequate basis for a relationship to develop, and other facilitating conditions (such as yuan) must be present. However, in a qualitative study of fifty newlywed couples, it was noted that the yuan beliefs of the young couples in Taiwan were characterized by concepts of predestination combined with personal effort (Chang & Zhou, 2004). In other words, although a substantial number of the subjects believed that their marital relationships had arisen purely as a result of unknown forces or karma, there were some who also believed that it was possible to create, control, or increase the possibility of a union (yuan fen, ) through personal effort and willpower. This is an interesting example of the blending of primary and secondary causation, and is indicative of a more assertive and less fatalistic attitude in relationship management.

The Meaning of Yuan Over time, three central meanings of yuan have emerged (Chang & Holt, 1991). The first refers to the conditions under which initial interactions occur. According to Buddhist doctrine, a simple encounter is probably rooted in numerous previous lifetimes, so all encounters, particularly the first one, should be cherished. However it should be noted that in this sense, yuan only functions as a facilitating factor to bring people together, and the quality and maintenance of any subsequent relationship is dependent on personal effort. The second meaning of yuan refers to its use to describe and explain phenomena relating to more important relationships, such as those between husbands and wives or mothers and children. For instance, the realization that it might have taken a millennium for enough yuan to be accumulated to bring two people together in marriage makes people more resistant to breakups in the face of relational discord. This may be the reason why divorce in China, which occurs in approximately 10–15% of the population, is comparatively rare compared with countries in the West (Dong, Wang, & Ollendick, 2002). Yuan beliefs may also be partially responsible for the inclination of Chinese mothers

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to encourage more connectedness and less autonomy in their children than their Canadian counterparts (Liu et al., 2005). As a result of this, Chinese progeny leave their families of origin at a later age than their Western peers. The third meaning of yuan refers to naturally-occurring phenomena which cannot be forced, as illustrated in the saying “mou shi zai ren, cheng shi zai tian” ( ), meaning that human beings can strive to make things happen, but the final outcome is up to Heaven. This means that there are multiple forces in operation which can cause things to happen, of which some are within our control and some are unknown to us or beyond our control, and this is particularly the case in interpersonal relationships. The roles played by predestination and personal effort are not necessarily paradoxical, and the concept of “fatalistic voluntarism” (Lee, 1995), which is discussed later, is one of the attempts to resolve this paradox.

YUAN AND BUDDHISM Confucianism creates social order by specifying the role each person plays in the five formal dyadic relationships of (1) the ruler and the ruled, (2) husband and wife, (3) parents and children, (4) siblings, and (5) friends. However, Confucianism does not appear to adequately account for the intricacies of interpersonal relationships. Buddhism, which is more subtle by comparison, is better able to fill in the gaps. This is largely due to the concept of yuan, which originated in Buddhism. According to the highly esteemed Buddhist scholar, Shi Sheng De ( , 1989), the Buddhist concept of yin yuan guo bao ( ), literally meaning “cause—yuan, effect—reciprocation,” is its main doctrine. As long as an individual has not yet transcended the Wheel of Karma, he is governed by and tied to this doctrine. Cause (yin, ) is the direct cause of everything, and yuan ( ) is the indirect or secondary causation or condition assisting the cause. Shi (1989) cited the example of the lotus plant: the lotus seed is the yin, but it cannot grow by itself into a plant; rather its growth is aided by human effort, soil, fertilizers, sunlight, air, and a pond or earthen pot filled with water. These are the necessary conditions for the growth of the lotus plant and, as such, are the assisting yuan. The phrase “commencement of yuan” (yuan qi, ) implies that for something to “become,” yuan must be present and ignited. Another widely used Buddhist term refers to the commencement and decline of yuan (yuan qi yuan mie, ). This is a reference to the lifecycle of things, including interpersonal relationships, and indicates that

Yuan and Buddhism

yuan is the necessary condition for the beginning and ending of things, and that everything is transient and nothing is permanent in the Universe. Master Xing Yun ( ), an internationally renowned scholar and preacher of Buddhism, classified yin yuan ( , cause and assisting conditions) into four categories: 1. Presence or absence of yin yuan in one’s life. If one accepts the interchangeability of Man (the microcosm) and the Universe (the macrocosm), one is said to understand yin yuan. On the other hand, if one adheres to superficial theories and expresses oneself with meaningless words, then one apparently does not understand the significance of yin yuan. 2. White and black yin yuan. White yin yuan is good yuan, and black yin yuan is evil or wicked yuan. If one does not understand the truth about life and death, and holds a superficial understanding of yin yuan, then one is liable to be influenced by the external environment and to drift with the current and drown in the well of darkness. This is black yin yuan. On the other hand, if one holds onto one’s faith and beliefs, then one is able to create white yin yuan. 3. Internal and external yin yuan. External yin yuan refers to general conditions, whereas internal yin yuan refers to conditions of true value. Master Xing Yun quotes the example of a piece of land, in which the external conditions are similar, but if different seeds are planted the harvests will be different. The seeds represent the conditions of true value, or internal yin yuan. Therefore, even if the external yin yuan is sufficient, due to the differences in the internal yin yuan, the outcomes will be different. 4. Positive and evil yin yuan. The example quoted by Master Xing Yun is the case of a person who falls ill. Positive yin yuan is when the person understands that his illness is due to mind–body disequilibrium, and therefore seeks appropriate medical treatment and recovers. Evil yin yuan is when a person makes no attempt to determine the etiology of his illness, but instead suspects that he is being punished by the gods. Consequently, he goes to various temples to seek absolution through divination, consuming the ashes from burnt incense, drawing Taoist amulets, and so on, and eventually his condition worsens (Master Xing Yun, 1982). As can be seen, the Buddhist doctrine of yin yuan is not composed of elements of predestination or fatalism. When Buddhism was imported into China, it became influenced by Confucianism and Taoism, particularly the concept of tian ming guan ( ), meaning that to survive, Man should follow the dictates of Heaven. Buddhism in China is, as a rule, colored by

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elements of predestination, and the Buddhist beliefs in cause and effect (yin guo, ) and the cause and assisting conditions of three past lives (san shi yin yuan, ) are broadly held. The latter suggests that an individual’s present predicament is the result of deeds done in previous lives, and that his deeds in this life will in turn affect his next life. Thus, in the mind of the average Chinese person, yuan is some sort of predestination, an unseen and allpowerful hand that brings about all kinds of short- and long-term relationships (Chang & Zhou, 2004).

ORGINS OF YUAN From the historical and traditional points of view, five origins of yuan have been identified (Yang, 1995): 1. Celestial beings fallen from grace. When celestial beings violate heavenly rules, the punishment they receive is demotion to mortal beings, and as mortals they become husbands or wives, fathers or sons, or form other relationships. Chinese folklore, fairy tales, and classical literature contain many such accounts. The yuan formed from this origin is primarily good yuan (liang yuan, ), although it can also be bad or evil yuan (nie yuan, ). 2. Animism. The Chinese people have a strong proclivity towards animism, believing that through persistent cultivation, anything (and not just anybody) can become a supernatural being or spirit. If an individual shows kindness or cruelty toward such a being (usually in the form of an animal or a plant), this being will transform itself into human form, and develop a relationship with the individual concerned solely for the purpose of either reciprocating his kindness or avenging his cruelty. Thus the yuan formed under such circumstances can be either good or bad. An example is the story told in the “Legend of the White Snake” (Bai She Chuan, ), originally written by Feng Meng Long ( , 1574–1646). 3. Reincarnation. There is a common belief that one’s behavior in this life will affect one’s turn of fortune in the next life, and that one’s important relationships will likewise affect one’s relationships in the next life. Therefore, if one receives kindness from another in this life, then in the next life, one might be reincarnated and become the other’s offspring and repay their kindness by vigilantly observing all the rules of filial piety, forming good yuan. Unfair treatment received in one life can similarly be avenged in the next life, forming bad or evil yuan.

Orgins of Yuan

4. Reciprocation and retribution. Chinese people believe that good deeds will be rewarded and evil deeds will be punished, and that all accounts are tallied by the gods. Rewards normally come in the form of good yuan, and punishments are meted out in the form of bad or evil yuan. 5. The Unseen World. Yuan originates from the four foregoing sources, none of which is within the control of the average individual. It is as if there is an unseen hand that brings together all kinds of short- and longterm relationships. Chinese people portray this concept through legendary creations such as the Old Man under the Moon (Yue Xia Lao Ren, ), which is in essence the Chinese version of Cupid. The Old Man under the Moon is said to hold in his hands a ledger detailing all the romantic relationships in the world. When the right man meets the right woman, he takes out a length of red thread from his pouch and ties the feet of the couple together, making them husband and wife. The modern view of yuan is somewhat different, but also comprises five origins (Chang & Zhou, 2004): 1. Supernatural power. This source of power is both unpredictable and unchangeable, and controls the occurrence of yuan between individuals. 2. Reincarnation. Yuan is seen to be related to one’s behavior and relationships in past lives, and is part of the belief in yin yuan guo bao ( ), literally translated as “cause—condition, effect—reciprocation.” 3. Probability and coincidence. Yuan between two people is purely the product of coincidence, and there is nothing mysterious and predestined about it. 4. Personal power. Instead of attributing the presence of yuan to external forces, some people believe that they themselves are responsible for creating yuan in relationships. 5. Multiple sources. Yuan does not originate from any single source, but is rather the product of appropriate timing and location and personal effort. The differences in the two foregoing classifications seem to imply that with westernization and modernization, Chinese yuan beliefs are gradually becoming less shrouded in mystery, superstition, predestination, and fatalism, and that the significance of personal effort in relationship management is increasingly recognized. Overall, there appears to be more internal attribution and a shift in the locus of control from external to internal.

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COMMON EXPRESSIONS OF YUAN An examination of the use of yuan in everyday parlance can be used to illustrate how the concept of yuan helps Chinese people to make sense of relationships. When two people form a relationship, they are said to have yuan (you yuan, ). This term encompasses two underlying beliefs: firstly, that relationships are never formed randomly, and that their formation is dependent on the preexistence of yuan; and secondly, that there is reciprocity, in that the people you come to associate with have yuan of either affinity or enmity with you, and are therefore the people with whom you are likely to have important relationships (Chang & Holt, 1991). Another expression of mutual attraction, meaning to throw oneself into the path of yuan, is tou yuan ( ). When two people meet for the first time and take an immediate liking to each other, they are said to be tou yuan. The term implies two things: firstly, that there is pleasure in the association for both parties; and secondly, that there is eagerness to develop the relationship further. The opposite of having yuan is not having yuan (wu yuan, ), and the concept can be used to explain different situations. For instance, when two people are attracted to each other, but are unable to form a lasting relationship due to circumstances beyond their control, they are deemed not to have yuan. If Romeo and Juliet had been Chinese, their predicament would have been said to be due to their not having yuan, rather than to the feud between their two families. Another example is when two people are already in a relationship (such as mother and son), but are constantly in conflict. Their situation can also be described as not having yuan, and the same description can be given to the unwed mothers cited earlier in this chapter. A third example of not having yuan is when two people know of each other and want to make each other’s acquaintance, but never seem to have the opportunity to do so. A relational state exists between having and not having yuan, which is referred to in Chinese as you yuan wu fen ( ). A classic example is that of two people who meet and become romantically involved, but who, through circumstances beyond their control, such as war or illness, are unable to become husband and wife. This situation has formed the central theme of many romantic tragedies. If one does not have yuan, one is expected to follow the path of yuan (sui yuan, ) rather than asserting one’s wishes and trying to alter the course of events. Therefore, the concept of not having yuan serves the function of

Categories of Yuan

providing a clear signal to retreat from, stop working on, or end the doomed relationship, as further efforts are likely to be futile and might even be injurious to other relationships. Following the pathway of yuan denotes acquiescence to life’s circumstances and a belief that the natural flow of life cannot be forced. Yuan can also be finite. When the relationship between two people turns sour, and remains so despite efforts to mend it, one can describe it as having reached the end of yuan (yuan jin, ). This may also be used as a reason for not attempting to repair a relationship. By externally attributing the end of a relationship to the end of yuan, rather than one’s unwillingness to further the relationship, one can perhaps minimize both one’s feelings of guilt and the amount of ill feeling between the parties involved. If, after ending a relationship, the parties become reunited, this situation is described as being the continuation of unfinished yuan (zai xu wei liao yuan, ). When one considers this concept together with those of having yuan and the end of yuan, one cannot help but notice the presence of circular reasoning. For instance, when two individuals get married, they are said to have yuan. When they get divorced, they are said to have reached the end of their yuan. If they subsequently reunite, they are said to truly have yuan and be destined to get back together to continue with their unfinished yuan. It would seem that no matter what happens, one is forever tangled in the web of yuan, and that the status of one’s interpersonal relationship can always be given a yuan-related explanation. From another perspective, it might be said that yuan often functions as an ex-post analysis of interpersonal relationships.

CATEGORIES OF YUAN By Duration Yuan can be categorized according to duration, quality, and type. In terms of duration, lasting and reciprocal relationships are attributed to the presence of yuan fen ( ) which denotes both the existence of a relationship and the fact that there is a formalistic aspect to it. Examples are relationships between members of one’s immediate family, lifelong friends, lovers, teachers and students, and superiors and subordinates in a work situation. Sometimes, when such a relationship does not work out, it might be said that the yuan is there, but it cannot be consummated in a formal relationship (you yuan wu fen,

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). This produces the dualistic view of yuan as the cause and fen as the end result (Chang & Zhou, 2004). Relationships of a transient nature, characterized by a chance meeting before which the participants did not know each other, are said to be effected by the yuan of chance (ji yuan, ). Buddhists honor all interpersonal encounters, including those of a temporary nature. They believe that regardless of the duration of the encounter, yuan must be present for any two persons to be involved in the same situation, such as sitting next to each other during a boat ride, occupying adjoining tables in a restaurant, shopping for the same item in the store, meeting someone who went to the same high school, or hearing someone speaking one’s mother tongue in a foreign land.

By Quality In terms of quality, yuan can be classified into good yuan (liang yuan, ) and bad or evil yuan (nie yuan, ). Relationships based on good yuan are destined to be harmonious, productive, satisfying and enduring, whereas those based on bad or evil yuan are likely to bring about pain and end in disaster. There is a popular saying that good yuan is a gift from heaven (tian ci liang yuan, ). Bad or evil yuan, on the other hand, is said to be the result of manufacturing negative karma (zao nie, ), and is ostensibly not an act of heaven, but the consequence of human acts. The 1987 movie starring Michael Douglas and Glenn Close entitled Fatal Attraction was translated as “nie yuan,” or bad or evil yuan. Perhaps this is because, within the Chinese framework of attribution, it is hard to conceive of such a catastrophic and immoral relationship as that depicted in the movie without alluding to the concept of yuan. Buddhists also preach the concept of the seeding or cultivation of yuan (zhong yuan, ), based on the premise that if we do good deeds, we are cultivating good yuan for ourselves, and if we do evil, we are cultivating bad or evil yuan for ourselves, so we should take heed of how we behave at all times, so as not to create negative karma for ourselves in this or our next lives.

By Type In terms of type, yuan can be categorized according to the functions served. For romantic love to be consummated in marriage, yuan of marriage (yin yuan, ) must be present. For an illness to be successfully countered by

Yuan and Passivity

) is of paramount a physician, the presence of yuan of healing (yi yuan, importance. A student who does not do well academically is said to have no yuan with books (shu yuan, ), whereas one who is successful may attribute this to having a good relationship with his teacher (shi yuan, ). A person who keeps losing money at the mahjong table may describe himself as having no yuan for winning at gambling (du yuan, ). Someone who is attracted to Buddhism and practices its rituals is said to have yuan with Buddha (yu fo you yuan, ). Last but not least, a personable individual who is able to interact easily with others is viewed as having yuan with human beings (ren yuan, ). The above examples are to demonstrate that for the Chinese people, there seems to be a description for yuan for every type of interpersonal relationship. At the same time, these examples illustrate the extent to which the concept of yuan has permeated mass culture.

YUAN AND PASSIVITY Is the external attribution of one’s personal failures and successes in interpersonal relationships to yuan equivalent to an abdication of personal responsibility? Are yuan beliefs related to the adoption of more passive coping mechanisms in relationship management? It seems reasonable to suggest that attribution to yuan might predispose an individual to accept his predicament and discourage him from seeking solutions to his problems. Indeed, when an individual attributes his interpersonal relationships to predestination or factors that cannot be changed, then he is likely to adopt a passive stance when dealing with interpersonal problems (Huang, 1978). The validity of this assertion, however, rests upon how the individual involved interprets his yuan. If he believes that acceptance is the order of the day, then he is likely to stay passive and do nothing to counter his predicament. If he believes that confronting his problems and actively seeking solutions are strategies more in line with his yuan, then he will be anything but passive. Take the example of an unhappy marriage: the couple might believe that theirs is not good yuan and resolve to let their marriage fall apart; alternatively they might believe that theirs is in fact good yuan but there are differences and obstacles to be ironed out, so they should actively seek marital counseling. Another example is that of academic underachievers: one underachiever might believe that he indeed has no yuan with books and give up studying altogether; another might believe the same thing but see it as a reason to put in even greater effort.

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To extend this line of thinking, another factor, namely the locus of control, has to be brought into the equation. Customarily, external attribution is associated with an external locus of control, which is in turn coupled with lack of adaptability. Since yuan is generally viewed as an external causal factor, it would seem logical to assume that the Chinese, who exhibit a high degree of attribution to yuan, would be more inclined towards having an external locus of control, and consequently be lacking in adaptability. However, research has found that the externality of the Chinese is not pervasive and is rather context-specific (Leung, 1996). Additionally, it has been suggested that in the presence of a cultural proclivity towards the acceptance of yuan as a causal factor, attribution to yuan actually conforms to social reality, and in this sense, renders people more, not less, adaptive (Yang & Ho, 1989). Going off at a tangent, one might draw the conclusion that attribution to yuan is a self-fulfilling prophecy. For instance, if a man in his forties was still single, he might attribute his situation to a lack of yuan of marriage, and give up courting and dating activities altogether. Eventually, of course, he would prove himself right. Alternatively, he might explain his bachelorhood by asserting that he had not yet met anyone who had yuan that he had taken an immediate liking to (he yan yuan, ), and escalate his courting and dating activities. If he eventually found a wife, he would again have proven himself right. The former attribution is associated with an external locus of control, whereas the latter is associated with an internal locus of control. Therefore, attribution to yuan in itself is probably not related to locus of control, and does not necessarily make a person more passive or more external in his locus of control. In fact, it would be unwise to draw any conclusions before analyzing both the content and the context of the attribution to yuan in question. A broader perspective is that the acceptance of the concept of yuan does not necessarily mean that the Chinese are fatalistically-minded and inclined to give up on relationships easily. It could simply mean that, for the Chinese, use of strategic communication is not the only way to work on relationships (Chang & Holt, 1991).

YUAN AND RELATIONSHIP MANAGEMENT The Importance of Yuan in Relationship Development Yuan is an important facilitator in the development of interpersonal relationships. During the development of a relationship, the influence of yuan is experienced to various degrees at three junctures (Chang & Zhou, 2004; Yang, 2005).

Yuan and Relationship Management

The first is prior to the initial encounter. Some people report experiencing something special, including dreaming of the person they are about to meet. These experiences tend to predispose them to see the other person in a more favorable light. The second juncture is at the beginning of the relationship. Most people suggest that a relationship can only develop if it has yuan as its starting point. The presence of yuan encourages people to actively reach out to make the relationship work. Therefore during this phase of the relationship, the belief that there is yuan serves to accelerate its development. The third juncture is when the relationship becomes stable. Once this happens, the importance of yuan gradually decreases and the maintenance of the relationship is more dependent upon the efforts made by the parties concerned. In addition, the issue of yuan may resurface if the relationship deteriorates and the obstacles appear to be insurmountable. Then, yuan can be used either as a motivator to mend the relationship or as an excuse to end it, depending on the inclinations of the parties involved.

Socio-Psychological Functions of Yuan Yuan is instrumental in reducing interpersonal conflicts and maintaining relational harmony. Yuan is also frequently used to rationalize or sublimate situations and, as such, is a defense mechanism. Beliefs in yuan also affect behavioral outcomes. Yuan reduces interpersonal conflict. Yuan as an external causal factor minimizes interpersonal conflict. In premodern China, marriages were arranged by heads of families (and still are today in some rural villages). When such marriages were harmonious and full of marital bliss, attributing them to yuan would not arouse jealousy from those less fortunate in their marriages. When such marriages were unsuccessful, attributing them to yuan took the blame off the parents who had arranged the marriages, making life bearable for all concerned, while simultaneously maintaining harmony within the families (Li & Karakowsky, 2001). In this sense, yuan acts as a stable external factor which is beyond the control of any one person. No one takes credit for success, and likewise, no one can be blamed for failure, hence interpersonal conflicts are minimized. Yuan also acts as an ego defense, because attributing failure to an external causal factor rids those involved of anger, guilt, and shame—feelings which would have been aroused if an internal attribution had been made (Yang & Ho, 1989).

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Yuan maintains group solidarity, harmony, and stability. Basically, the Chinese believe that relationships cannot be formed in the absence of yuan, or to put it another way, relationships are predestined and hence inescapable. This being the case, an attitude of acceptance is warranted irrespective of whether the relationship is happy or disastrous. An accepting frame of mind is consistent with enduring hardships in the relationship, and therefore yuan further contributes to the durability of relationships, particularly where family is involved (Yang & Ho, 1989). In this context, yuan serves the function of consolidating and stabilizing relational ties, particularly when the relationships concerned are in turmoil. This is not necessarily a desirable state of affairs when the relationship is unhealthy, as in cases of spouse abuse. An abused spouse may opt to stay in a relationship despite being ill-treated, because he/ she believes that everything is predestined by yuan, from which there is no escape, so accepting fate is better than fighting it. Even in the business world, yuan serves an important function. In a study of relationship cultivation strategies used by multinational companies in China, it was found that a belief in the concept of yuan actually had a calming effect on people when relationships went askew, because it meant that whatever happened in a relationship was predestined and should simply be accepted (Hung, 2004). From a broader perspective, it is pertinent to note that in a collectivistic culture, such as China, where there is a great deal of interdependence amongst members of a social group, importance is placed upon the maintenance of group solidarity, harmony, and stability, and yuan beliefs play a facilitative role. Take, for instance, the following situation: In a village, there is only one physician to take care of the health of all the villagers. When someone dies whilst under his care, the other villagers do not want to ostracize the physician by putting the blame on him, because he is all they have in terms of health care. So, they put their own minds at ease by saying that there was no yuan of healing between the physician and the deceased, or that there is no more yuan between themselves and the deceased. Their belief in yuan facilitates external attribution of misfortune, which in turn minimizes the disruption to the status quo of the village community. Psychologically speaking, yuan helps the individuals involved to collectively rationalize and shoulder their failure to save the life of the deceased, and is, in this sense, a defense mechanism with the function of reducing the amount of blame the individuals place on themselves. Another perspective was revealed in a study of cancer patients, who were able to combine yuan with fighting spirit. When there was simultaneously

Yuan Today

an expression of acceptance (as opposed to denial) toward the illness and a readiness to put in effort to try to avert the course of the illness, an overall positive attitude towards cancer emerged (Ho et al., 2003). Additionally, in a theoretical model of collective coping, yuan is listed as one of the components of coping, alongside family support, respect for authority figures, intracultural coping, relational universality, forbearance, and social activity (Yeh, Arora, & Wu, 2006). Yuan and sublimation. Consider the case of the ancient Buddhist practice of transformation of fate (hua yuan, ), which is still practiced today. Traditional Buddhist monks renounce worldly possessions and do not carry money with them when they travel. To sustain themselves, they travel from house to house to ask for charity—an activity known as hua yuan. If the monks were to shed their yellow robes they would be no different from ordinary beggars. Yet when they put on their robes, this act of begging is immediately interpreted as a saintly act, so by providing for the monks, the giver possibly avoids bad yuan or transforms it into good yuan. This reinterpretation occurs at the level of the collective unconscious, whereby there is refocusing or rechanneling of psychic energy from a negative outlet (e.g., despising the monk for begging) to a positive outlet (e.g., respecting the monk’s saintly intentions to dissolve bad yuan and accumulate good yuan for oneself), fits into a classical definition of sublimation. Yuan beliefs have direct behavioral consequences. In a study of the yuan of healing, it was concluded that such a belief reinforces doctor-shopping behavior (Lee, 1982). This is particularly evident in females and those from the lower and middle socioeconomic classes. Educational levels tend to mediate the influence of the yuan of healing on doctor-shopping behavior, but the influence is vicarious, not direct. At a more generalized level, yuan functions directly as either a facilitator or excuse in the formation, continuation, nurturance and dissolution of intimate relationships (Chang & Zhou, 2004).

YUAN TODAY Two concerns that researchers have about traditional yuan beliefs are: firstly, that they tend to be shrouded in mystery and superstition; and secondly, that they might prompt believers to be passive in the advent of interpersonal discord. Both issues have already been addressed in the foregoing sections, and it is

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important to take them into account when reviewing the current state of affairs with respect to yuan beliefs of the Chinese people. A modernistic and pragmatic view of yuan labeled “fatalistic voluntarism” was advanced by Lee (1995). From this perspective, relationships are not seen as either predestined or brought about by personal effort alone, but rather as the result of a combination of the two forces. The three related elements in fatalistic voluntarism are (1) that it does not negate the notion of predestination; (2) that it emphasizes that achievement is possible through personal effort and willpower; and (3) that it encourages individuals to transform predestination into motivation for achievement. The socio-psychological functions of fatalistic voluntarism include: 1. Provision of an explanatory framework for occurrences and mishaps in one’s life, so that if one is able to arrive at some level of self-understanding or acceptance, one will have peace of mind. 2. Enabling the individual to attribute failures to some external and unknown forces, thus absolving him from blaming others or feeling guilty. In this way, both emotional equilibrium and relational harmony within one’s social network can be maintained. 3. Helping the individual to remain confident about his future in the face of adversity due to the belief that, by exhibiting resilience and making concerted efforts to change his circumstances, success will eventually be his. Fatalistic voluntarism represents a crossroads of the old and new. It does not seek to negate the importance of yuan in relationship management for the Chinese people, but it is consistent with increasing individualism and internality in modern Chinese societies.

CONCLUSION Chinese beliefs in yuan are founded in the Buddhist doctrine of yin yuan guo bao ( , cause—yuan; effect—reciprocation). Originally, this doctrine was not laden with notions of predestination and fatalism. However, in China, Buddhism as a folk religion is peppered with aspects of Confucianism and Taoism, so the concept of yuan and the notion of fatalistic determinism have become inseparable. This association has been further reinforced in both contemporary and classical literature, songs, and drama. However, given the Chinese proclivity towards multidirectional understanding of causation, yuan

Conclusion

has never been considered the only and primary causation for the formation, quality, and maintenance of interpersonal relationships. Rather, research has established that yuan is generally viewed as a facilitating factor, and is considered to be of primary importance at two junctures: firstly, prior to the initial encounter, in order to bring about the encounter; and secondly, when a decision as to whether a relationship should be pursued needs to be made, in order to aid that decision. Additionally, yuan provides a framework of external causes to which people can attribute success and failure in interpersonal relationships. When success is externally attributed to yuan, it forestalls feelings of jealousy in those less fortunate in interpersonal relationships. When failure is likewise attributed, it minimizes feelings of guilt, shame, and anger in those involved in the relationship. Thus, external attribution to yuan enhances relational harmony and group solidarity, both of which are essential in a collectivistic culture such as China. With increasing urbanization, the breakdown of the extended family, and the proliferation of the nuclear family, collectivism may gradually be giving way to individualism in Chinese societies. Concomitantly, beliefs in yuan have also undergone changes. For instance, it has been found that those exhibiting a high level of individual modernity are less inclined towards attribution to yuan (Yang & Ho, 1989). In fact, it has been suggested that Chinese people should move away from “pan-yuanism” and incorporate yuan beliefs into their views of the modern world. This can be done in three ways: 1. By viewing yuan either as a state of interpersonal conjunction that is verbally indescribable, or as a catalyst in bringing about this state of interpersonal conjunction. 2. By viewing yuan positively as a state of interpersonal conjunction or a catalyst in bringing about this state, but not attributing unfulfilling relationships or the factors contributing to such relationships to yuan. 3. By not attributing the absence of a much-needed interpersonal relationship to yuan, because an individual in such a situation might use this as an excuse, and lose motivation to pursue such a relationship through personal efforts. To put it succinctly, instead of allowing yuan beliefs to operate at an unconscious level, one should make the unconscious conscious and only utilize these beliefs constructively (Yang, 1982). These views were further consolidated through empirical evidence showing that today, Taiwanese university students conceive of yuan in four ways, namely

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(1) as a kind of fate or a force which cannot be explained; (2) as some sort of coincidence or opportunity which cannot be explained, and which facilitates certain types of interpersonal relationships; (3) as a subjective feeling, emotion, or intuition which is conducive to relational harmony, congeniality, and understanding; and (4) as simply describing a kind of relationship characterized by harmony, understanding, and congeniality (Yang, 2005). Beliefs in fate and predestination appear to be present only in the first conception of yuan, and in keeping with social and psychological developments today, the abolition of any element of predestination or fatalistic determinism in yuan is called for, because with such abolition, the locus of control will shift from external to internal, and people will be more inclined to assume personal responsibility for their behavior. Although empirical research on yuan is anything but abundant, it is suspected that the yuan beliefs of Chinese people lie along a continuum, with traditional yuan beliefs, which are highly colored by notions of fatalistic determinism and predestination, at one end; and modernistic yuan beliefs, that simply view yuan as a descriptor of relational harmony, congeniality, and understanding, at the other end. Where an individual’s yuan beliefs fall along this continuum is probably primarily related to his degree of traditionalism, motivational orientation, and locus of control. Nevertheless, it must be borne in mind that yuan beliefs are still pervasive in Chinese societies, and studies on the management of interpersonal relationships in China need to take heed of this.

REVIEW QUESTIONS 1. What are the equivalents (if any) of yuan in western cultures? 2. It is fair to say that Chinese yuan beliefs appear to accentuate multidirectional causation? 3. In what ways have Confucianism and Taoism influenced the original Buddhist concept of yuan? 4. In what ways are beliefs in yuan conducive to the creation of self-fulfilling prophecies? 5. How influential is the Chinese subscription to yuan in terms of managing interpersonal relationships? 6. What do the many popular sayings about yuan tell you about the manner in which the Chinese manage relationships?

Review Questions

7. Does a subscription to yuan beliefs make the Chinese more passive in handling interpersonal relationships? 8. In what ways can yuan reduce interpersonal conflict and enhance relational harmony? 9. Can yuan be considered as a defense mechanism? Why? 10. Is it possible to differentiate between “yuan as a cultural belief” and “yuan as a psycho-emotional excuse” for doing nothing when a relationship breaks down? 11. Have yuan beliefs changed over time? How?

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Face and Communication

The Influence of Confucianism on Face

Implicit or Indirect Communication

How Face is Gained and Lost

Listening-Centeredness

Gaining Face

Relational Personalism

Losing Face

Politeness

Face and Personal Ties

Preservation of Harmony

Hwang’s Face and Favor Model

Facing the Future

Building and Maintaining Personal Ties

Review Questions

Confucianism and Personal Ties Face and Facework Chinese Concepts of Face and Personal Integrity Goffman and Face Cultural Aspects of Face and Facework

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INTRODUCTION Lin Yu Tang (1895–1976), a prolific Chinese writer known for his cynicism and sense of humor, had this to say about face in his essay entitled “Face and Rule by Law”: “The Chinese face can be washed, shaved, lost, awarded, contested, and saved. Sometimes fighting for face seems to be of the first priority in one’s life, and people would even go bankrupt over this” (Lin, 1954). Lin cynically asserted that, due to fear for his life, he did not wish to travel in the company of dignitaries, and cited two incidents to illustrate his point. In one incident, a dignitary insisted on smoking in the cabin of a plane which was filled with sulfurous products, and the cabin attendant, fearful of causing him to lose face, did not dare to tell him to extinguish his cigarette, resulting in the whole plane being blown to pieces. In another incident, a dignitary traveling by ferry was carrying too many pieces of luggage, causing the ferry to be overloaded. Again, to give ample face to this dignitary, the captain of the ferry said nothing, and the ferry sank. This article, though cynical, points to the integral role which face plays in the life of the Chinese. However, it must also be noted that face is by no means a uniquely Chinese concept. It has been asserted, for instance, that most human interactions involve at least one facethreatening act, and that it is socially necessary to know and to orient oneself to the public self-image of another person in order to act in a face-appropriate manner. In this sense, the concept of face is a universal phenomenon in human communication (Brown & Levinson, 1987; Chang & Holt, 1994). This having been said, the study of face in the Chinese can nonetheless be distinguished by several characterizing features, namely: its roots in Confucianism; its variance due to the collectivistic nature of Chinese society; and the resultant effect on communication, including conflict management, network building, and relationship maintenance. It can be said that although face is recognized to be a universal socio-psychological concept, its conceptualization varies according to culture (Yabuuchi, 2004).

THE INFLUENCE OF CONFUCIANISM ON FACE The Chinese concepts of face (mian zi, 面子) and facework (mian zi gong fu, 面子功夫) are very much influenced by Confucianism. In Confucianism, ritual propriety (li, 禮) is probably the single most important concept that guides individuals to act appropriately in a given context. When an individual adheres to the principles of ritual propriety, in time he will become a moralist (jun zi, 君子) and win the approval of society. A person whose behavior runs counter to the principles of ritual propriety brings shame to himself and his family,

The Influence of Confucianism on Face

causing all involved to lose face. In the Analects, one of the four books of the Confucian Canon, it is stated thus: “A jun zi follows the Way of Humanity, and in doing so, he values three things above all other. From every attitude and every gesture he removes all traces of violence or arrogance; every expression of his face betokens sincerity; and from every word he utters, he eliminates all uncouthness and vulgarity” (Legge, 1960a). This route of self-cultivation towards moral perfection and social effectiveness, which has always been the most revered life goal of the traditional Chinese, was determined by the renowned Confucian scholar Zhu Xi (朱熹, 1130– 1200) to include five aspects, namely to (1) cultivate one’s person (xiu shen, 修身), (2) correct one’s mind (zheng xin, 正心), (3) make sincere one’s thought (cheng yi, 誠意), (4) extend one’s knowledge (zhi zhi, 致知), and (5) investigate things (ge wu, 格物). Further, to ensure that the principles of ritual propriety are adhered to, in Confucianism relationships are formalized to ensure that all possible contexts of communication are defined, thus facilitating the proper practice of ritual propriety. This formalization is seen in the Five Cardinal Relationships or Five Interlinkages (wu lun, 五倫) that regulate the dyadic relationships of (1) the ruler and the ruled, (2) husband and wife, (3) parents and children, (4) siblings, and (5) friends. With the possible exception of friendship, the other four relationships are hierarchical in nature, and respecting hierarchy is viewed as essential to social harmony, which in turn constitutes the backbone of a social structure. Failure to observe ritual propriety or respect the Five Cardinal Relationships is looked upon with open disdain, and may even court punishment, causing a great deal of shame to fall upon the misbehaving individual and his/her family. Therefore, to avoid being shamed, individuals normally choose to observe ritual propriety. In this sense, a socially imposed obligation to observe ritual propriety provides a more effective alternative to maintaining law and order than governing by law. In fact, a society steered by ritual propriety cultivates a sense of shame among its members, something not achievable under rule by law. Hence, in Chinese culture, the fear of losing face generally provides a powerful sanction on behavior (Cho & Coll, 2000). In this ritual propriety- or shame-based culture, the Chinese people follow the preordained Confucian route to self-cultivation more out of fear of losing face than in an attempt to gain face. However both the losing and gaining of face are based on external evaluation rather than self-determination. The inextricable relationship between self-cultivation and face perhaps explains the pervasiveness of face in the daily activities and official functioning of the Chinese people (Lee, 1998).

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HOW FACE IS GAINED AND LOST Generally speaking, face, or mian zi (面子), can be either ascribed or achieved. It can be ascribed by one’s gender, appearance, and family background, including inherited titles and the like. It can also be achieved through personal qualities such as ability, talent, strength of character, wealth, power, and social networks.

Gaining Face There are several ways in which a person can gain face. One is by doing or owning things that make people look up to or envy one, such as acquiring membership in exclusive clubs; buying expensive cars, houses, jewelry, clothes, or other material things; or making a public donation to charity. In Hong Kong, public donations to several reputable charities are regularly telecast. Donors earn seats on the governing boards of these charities, as well as precious moments in the limelight, by making heftier donations than their peers. Serving on the governing board of these charities confers a great deal of face on the individuals concerned, and enables them to gain access to exclusive social circles. Throwing expensive banquets is also face-enhancing as it is indicative of personal wealth. If these banquets are held in clubs with highly exclusive memberships, even more face is gained, especially if VIPs attend. Another way of gaining face involves fashioning one’s appearance or acquiring certain mannerisms to show off one’s upbringing, social status, power, and wealth; or by creating striking surroundings in which to meet people one wishes to impress. Conversations among such individuals are usually littered with references to brand names and so forth. Both the direct and indirect recipients of praise can gain face. If an employee is praised in front of his/her boss by someone in a position of authority, both the employee and the boss gain face. The boss gains face because he has been wise enough to employ and properly train the employee. The employee gains face due to a favorable evaluation by an important other. If a person praises someone’s children as being well-behaved, their parents also gain face because good behavior in children is associated with good parenting. Similarly, if a wife’s culinary skills or a husband’s successful career are praised, the spouse gains face for having made a good choice of marital partner. The Chinese are probably able to perceive the relevance of face in a substantially wider range of situations than westerners, so potentially any praise can be face-enhancing (Seligman, 1999).

How Face is Gained and Lost

Having the ability to do someone a favor reflects the social status, power of influence, and interpersonal network of the favor-giver, so a person with many favors to give is a person with a lot of face, and is highly revered. If a person is unable to do someone a favor directly, but is able to introduce them to someone who can through personal ties (guanxi, 關係), the introducer also gains face. It is said that in China, it is not what you know but who you know that opens doors for you. Another way a person can gain face is by sidestepping established rules of conduct to resolve an issue. If a credit card application is turned down because the applicant is unable to offer proof of income, but the bank manager, who knows the applicant personally, subsequently waives this condition and the credit card is issued, then both the applicant and the bank manager gain face. The applicant gains face because he/she knows someone who is in a position to help, and the bank manager gains face because he/she is able to use his/her position of power to resolve the issue. It has been found that compared with the Japanese and Americans, the Chinese place the greatest weight in determining the amount of face someone has on social status and formal positions (Yabuuchi, 2004).

Losing Face There are also many ways in which one can lose face. A prime example is that of having one’s authority openly challenged. Chinese society, having been traditionally influenced by Confucianism, places immense importance on hierarchy. The Five Cardinal Relationships which regulate dyadic relationships demand a show of unconditional respect towards those higher up the hierarchy of power. Therefore, openly challenging a person who has higher authority will cause that person loss of face and probably incur his/her wrath. Thus, in Chinese businesses, employees do not challenge their bosses openly in meetings; in multigenerational families, the authority of the head of family is absolute; and in classrooms, students are not openly critical of their teachers. To maintain their authority, those higher up the hierarchical ladder take great care not to reverse or rescind their orders, because to do so would be construed as a sign of indecision or weakness or an admission of error, and would most likely incur a loss of face and a diminishing of authority, which is unthinkable in a face-centered society. Similarly, they seldom admit to their mistakes or apologize. This has serious ramifications for help-seeking behavior. For instance, this writer has observed that husbands, who according to the Confucian order of things consider themselves to have more authority than their

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wives, seldom seek marital counseling, and often appear to be uncooperative when engaged in any process of counseling. Husbands may also attempt to collude with the counselor and make their wives scapegoats. All this is done to save face at the cost of marital bliss. Being publicly insulted or humiliated will cause one to lose face. Chinese parents believe that corporal punishment should be administered behind closed doors, so as not to cause their children to lose face in front of their neighbors. Strangely, whether the children might suffer loss of face or selfesteem from being beaten does not appear to be of major concern. Furthermore, inappropriate, immoral, or illegal conduct within the family is never discussed outside the family, as this would cause loss of face to the entire family. This is possibly the most important factor in the underreporting of physical and sexual abuse of children in Hong Kong (Lau et al., 1999). The influence of Chinese familism extends to the workplace, so if a superior openly criticizes a subordinate, it can be construed by the subordinate as a loss of face. However superiors sometimes deliberately cause subordinates to lose face in the hope that inducing a sense of shame may lead to improvement. Being out of control will certainly lead to loss of face. Examples include exhibiting overemotional behaviors such as excessive crying, laughing, or shouting, or acting under the influence of alcohol or drugs. This is because moderation is valued in Chinese culture, and excess indicates a lack of selfcultivation. Turning down an invitation on an apparently weak pretext will definitely cause the person issuing the invitation to lose face. When someone expects to gain face by having his invitation accepted but loses face when he is turned down, it may well lead to a reprisal. Similarly, if someone is approached for a favor which they are able to grant, but for some reason they decline to do so, the refusal is likely to be interpreted as unwillingness to give face. To conclude, in a shame-based culture, face, although intangible, is of primary importance. Indeed, to add to Lin Yu Tang’s assertion that face can be “washed, shaved, lost, awarded, contested, and saved,” it can also be borrowed, manipulated, or even exchanged.

FACE AND PERSONAL TIES One of the most practical values of face (mian zi, 面子) can be seen in the concept of guanxi (關係), which is interpreted as personal ties or personal connections. Although in most cultures personal ties play an important role in communication, in China it has been observed that they are essential for

Face and Personal Ties

survival, particularly when attempting to traverse the country’s bureaucratic labyrinth. It has also been noted that in recent years they have even become a saleable commodity (Seligman, 1999).

Hwang’s Face and Favor Model Hwang (1987) proposed a theoretical model of face and favor in Chinese society, outlining the interplay between petitioners for and allocators of resources in interpersonal relationships. Hwang suggested that to begin with, an allocator would judge the personal ties (guanxi, 關係) between himself and the petitioner, and identified three possible categories of personal ties: instrumental ties, expressive ties, and mixed ties. The respective rules of social exchange for these are the equity rule, the need rule, and the empathic reciprocity (ren qing, 人情) rule. Instrumental ties describe relationships between strangers, and are normally temporary and unstable. The overriding concern in instrumental ties is fairness, and hence the allocation of resources is governed by the equity rule. Expressive ties describe relationships between family members and close friends. They are permanent and stable, and encompass feelings of warmth and affection. The allocation of resources in expressive ties is governed by the need rule. Mixed ties lie somewhere between instrumental and expressive ties, and describe relationships between people outside the family who are known to each other. Mixed ties can last as long as the people involved keep in touch with each other. It is possible that both the allocator of and petitioner for resources share the same social network, and therefore the allocator has to follow the rule of empathic reciprocity. If he elects to follow the equity rule and does not allocate resources to the petitioner, then he might be accused of having no empathy or compassion and receive a negative evaluation from his social network. The refused petitioner may also construe this as a loss of face and seek to avenge himself when the opportunity presents itself. In any case, the relationship is harmed. On the other hand, if resources are allocated, then the petitioner might feel that his face has been enhanced, and will attempt to reciprocate this kindness. Hence, in hierarchically structured relationships, individuals who value the maintenance of personal harmony and social order are likely to observe the empathic reciprocity rule in the petitioning and allocating of resources.

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Building and Maintaining Personal Ties Personal ties are established when two individuals connect to engage in personal and social transactions. For them to continue, however, both parties must perceive that they derive benefits (material or symbolic) from these transactions. When personal ties have been established, each party then expects to be in a position to ask favors from and to give favors to the other party. The party receiving a favor automatically incurs a debt of empathic reciprocity (ren qing, 人情) and looks forward to repaying it at an opportune time (Yeung & Tung, 1996). Thus, a great deal of Chinese communication involves the asking, giving, receiving, and returning of favors, and a measure of an individual’s social effectiveness lies in his ability to give favors. A person with an extensive network of personal ties, who is therefore capable of giving a lot of favors, is also described as a person with a lot of face, so the two factors are clearly linked (Ng, 2004). A network of relationships is otherwise known as a guanxi wang (關係網). It has been noted that the building of personal ties is dependent upon a person’s shared identification with family, place of origin (including hometown), place of work, school, and so on (Jacobs, 1980). In fact, if two individuals are intent on building personal ties because they see this as mutually beneficial, they will actively seek out some shared point of identification. Since personal ties are fundamental to Chinese business, managers and business owners view the building of personal ties as an integral part of business life, and employees are expected to identify, build, maintain, and utilize a network of relationships and to treat any expenditure required to do so as part of the fixed costs of running a business (Yang, 1994; Xin & Pearce, 1996). To build and enhance personal ties, two of the most commonly used tactics are the presentation of a gift or the holding of a banquet for the other party. To a lesser extent, providing services, such as hiring the offspring of the other party, is another way of building personal ties. A clear distinction is made between the presentation of gifts in order to build personal ties and bribery in the form of fee-for-service gifts. The former is seen as a commonly accepted and expected way of building and maintaining personal ties, whereas the latter is widely scorned (Yang, 1994). This distinction can be further clarified by referring to Confucianism, where the basis of personal ties is seen as engaging in benevolent behavior (ren, 仁) that favors those with whom one has a close relationship, and acting with propriety (li, 禮) in accordance with established social norms and rites. To cultivate good personal ties takes time and may not be apparently directed at any specific goals. However, when the personal ties are present and the need arises, favors will be exchanged on the

Face and Facework

Confucian basis of righteousness (yi, 義) whereby face (mian zi, 面子) must be given because of the inherent respect that exists in personal ties (guanxi, 關係) (Hwang, 1995b).

Confucianism and Personal Ties Confucius said that individuals have the internal ability to develop moral standards and abide by them, and that rule by man is more effective than rule by law. Such a belief diminishes the importance of regulation by rules, and China has indeed been traditionally characterized by the lack of an objective and consistent legal system. Furthermore, as a collectivistic society, the Chinese also believe that the best and most efficient way to get things done is through interpersonal relationships. Consequently, the absence of formal rules and regulations combined with a strong belief in the value and importance of interpersonal relationship has led to personal ties becoming a substitute for formal institutional support in China, particularly for privately owned businesses. In other words, those with the appropriate social status and formal positions are able to access the necessary resources through their network of personal ties (Xin & Pearce, 1996; Yabuuchi, 2004). Given this state of affairs, in Chinese society, if an individual attempts to resolve an issue by appealing directly to the formal or legal system instead of approaching a person with the right personal ties for help, his action might be regarded as having caused loss of face to the person with the personal ties, thus worsening the situation. To the Chinese, this indirect approach to seeking resolutions leaves room for maneuver and negotiation. It is therefore important that Westerners living or working in China recognize that it is a guanxi-based society (Economist, 2001), and that the concepts of personal ties and face are key factors affecting Chinese social behavior (Yabuuchi, 2004).

FACE AND FACEWORK Although the concept of face is present across cultures, its meanings and usages are culturally varied (Gao, 1998). Its importance as a concept also varies across cultures. In China, face (mian zi, 面子) and facework (mian zi gong fu, 面子功夫) form the basis of all kinds of interpersonal relationships. The cultural differences in the value attached to those concepts were reflected in the results of a semantic analysis of metonymic and metaphoric expressions, in which it was shown that the concepts of face and facework, admittedly ubiquitous in all cultures, were manifested more richly in Chinese than in

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English (Yu, 2001). To compare this with other cultures, in Japan, menboku (面目) and taimeni (体面) both refer to face, but in the United States there appears to be only one type of face. In China, there are two types of face, lian (臉) and mian zi (面子).

Chinese Concepts of Face and Personal Integrity There are subtle semantic differences between the Chinese expressions mian zi (面子) and lian (臉), which are translated here as face and personal integrity respectively. To Hu (1944), mian zi refers to the reputation achieved through getting on in life, whereas lian represents society’s confidence in the integrity of a person. It is possible for a person to lose his/her mian zi in one context and regain it in another. However, if a person loses his/her lian, then it becomes difficult for him/her to function properly within the community, and he/she either has to lead a debased existence or attempt to start a new life in another community under a different identity. Five differences between lian and mian zi have been noted (Zuo, 1997). Firstly, lian is an evaluation of the whole person, whereas mian zi is an evaluation of some of an individual’s attributes, such as power, wealth, or status. Therefore the loss of lian (diu lian, 丟臉), which is construed as a denunciation of the whole person, is much more serious than the loss of mian zi. Secondly, a person can have all sorts of mian zi but only one lian, so the maintenance of lian is of the utmost importance. Thirdly, the foci for lian are those of protection and maintenance, whereas for mian zi, the foci are maintenance and enhancement. Fourthly, lian is more implicit but mian zi is more explicit. Fifthly, mian zi is more influenced by forces external to oneself, but the formation of lian is linked to one’s moral character.

Goffman and Face Erving Goffman (1955) was one of the very first Westerners to write about face and facework, and his writing was evidently influenced by the Chinese concept of face. He asserted that each individual exhibits a pattern of verbal and nonverbal behavior, which he called a “line.” Through this “line,” an individual expresses his/her views about a situation and evaluates the participants (including himself/herself) in the situation. From the viewpoint of observers, individuals are evaluated on the basis of the “lines” which they are assumed to have taken during social interaction. An individual’s face is then defined as the positive social value he/she is able to claim for himself/herself because of

Face and Facework

the “lines” he/she has taken, that is, the approved social attributes he/she is seen to exhibit. To protect his/her face, an individual is engaged in facework which involves taking action consistent with his/her face, and to counteract incidents which threaten his/her face.

Cultural Aspects of Face and Facework Recent cross-cultural research has revealed certain distinctive features of Chinese face and facework. One finding was that the Chinese had higher self-face concerns than the Japanese and Americans (Oetzel et al., 2001). This is interesting, because as a collectivistic culture, the Chinese are usually thought of as having higher other- and mutual-face concerns and relatively low self-face concerns, whereas Americans, who belong to a culture classified as individualistic, are generally regarded as having high self-face concerns. A possible explanation is that face per se is of high concern in Chinese society and this concern permeates every aspect of daily life. Therefore, when measured against any other society, the Chinese will show high levels of self-, other-, and mutual-face concern. For both Chinese and Japanese individuals, face represents the approval and respectability given to them by others, but for Americans, face represents the respectability each claims for himself/herself (Yabuuchi, 2004). The former is known as “approved self” and the latter “projected self.” This probably relates to the value that the Chinese and Japanese cultures place on modesty and respect for hierarchy. Additionally, the difference between the approved self of the Chinese and Japanese, and projected self of the Americans can be ascribed to the fact that the Chinese and Japanese emphasize relational attributes, whereas the Americans tend to emphasize individual attributes (Ho, 1994a). In face-negotiation, the Chinese were more likely to involve a third party than the Japanese (Oetzel & Ting-Toomey, 2003). Using a third party denotes indirect communication, and the Chinese believe that this allows more room for maneuver and creates more flexibility, and is less likely to cause affronts to face. This feature also explains why the Chinese are more inclined to seek resolutions to problems through their guanxi wang (interpersonal networks), rather than directly approaching authority figures or utilizing the legal system. The Taiwanese were found to use obliging and avoiding styles more than Americans in face-negotiation (Trubisky, 1991). This is consistent with the Chinese high concern for other- and mutual-face. The Chinese value social and

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relational harmony and go to great lengths to avoid open confrontation, even though the harmony that ensues may only be superficial. Superficial harmony might be distasteful to those who value assertiveness and integrity, but it does mask or suppress overt acts of aggression, and is therefore necessary in order to maintain the elaborate webs of interpersonal relationships which characterize most Chinese lives (Chang, 2001). Thus, for the sake of face maintenance, turbulence exists beneath many outwardly resolved but inwardly conflicting Chinese interpersonal communications. There are exceptions to the use of obliging and avoiding styles of facenegotiation among the Chinese. For instance, it has been found that when face has been confirmed, the Chinese can adopt an open-minded attitude and get involved in direct discussion (Tjosvold, 2004). In other words, the confirmation of face is a prerequisite to open and direct discussion for the purpose of resolving conflicts. When this is possible, relationships are actually strengthened. Regarding attributes related to face, the Chinese put more emphasis on generational rank, family ties, blood ties, marriage ties, social connections, and formal titles, position, rank, or office than Americans. Americans, on the other hand, give more weight to attributes reflecting personal achievement or effort. This difference correlates with the widely-accepted notion that Chinese society is collectivistic in nature and American society is more individualistic by comparison (Ho, 1994a). Traditional Chinese culture does not foster public expressions of opinion and emotion, because this is not consistent with the Confucian emphasis on self-cultivation. In fact, it is suggested that the extent, content, and form of public discourse and behavior are delimited for fear of losing face (Cho & Coll, 2000).

FACE AND COMMUNICATION Chinese communication is highly regulated by ritual propriety (li, 禮), one of the central tenets of Confucianism. Confucius believed that when human behavior followed the dictates of ritual propriety, social harmony would ensue. The modern practice of ritual propriety ensures that each individual is aware of his status in the social hierarchy, particularly in terms of the dyadic relationships, and acts appropriately so that both self- and other-face are preserved. To this end, several characteristics of Chinese communication have been identified (Gao, Ting-Toomey, & Gudykunst, 1996).


Implicit or Indirect Communication One characteristic of Chinese communication is the principle of implicit or indirect communication (han xu, 含蓄). Generally speaking, the Chinese abhor the direct and open expression of needs, feelings, and opinions. A mother does not directly reproach her grown-up son for not giving her sufficient financial support, but might instead make references to the Chinese traditions advocating filial piety. A husband does not comment directly on his wife’s lack of culinary skills, but might instead show a preference for eating out. An employer does not ask his employee to work overtime directly, but may instead expound the virtues of doing more than one’s fair share of work. When a message is communicated indirectly, it is felt that there is still room left for an alternative interpretation or maneuver. Thus, if a message is not favorably received, it can always be retracted, modified, or buffered with another message. In this way, face is saved and interpersonal harmony is not unduly disrupted. Another reason for indirect communication is that Chinese people do not like direct expression of emotions, and emotional inhibition is considered to be conducive to physical health. According to The Yellow Emperor’s Classic of Internal Medicine (Veith, 1972), “anger injures the liver, joy injures the heart, grief and melancholy injure the lung, worry injures the spleen, and fear and fright injure the kidneys.” However, an even more commonly held view is that an excessive show of emotion is equivalent to a lack of self-control or self-cultivation, and causes the individual concerned to lose face. The concept of indirect communication has always been a source of bewilderment to Westerners, who are inclined to voice their intentions directly. However, in terms of indirectness, the Japanese have been found to be one notch above the Chinese (Yabuuchi, 2004). In intimate and romantic relationships, Chinese communication also tends to be indirect, particularly in Chinese men, whose traditional masculine image does not foster self-expression.

Listening-Centeredness The Chinese respect hierarchy, and this has led to listening-centeredness (ting hua, 聽話). When mothers of young children congregate, one of their favorite topics of conversation is how much listening-centeredness their children exhibit, and the various mechanisms they employ to encourage this trait. A child who demonstrates listening-centeredness brings a lot of face to his parents, and a

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child who does not brings shame to his parents, because the Chinese believe that when a child misbehaves, it is the fault of his parents. Listening-centeredness is more than mere obedience. It demands that in any given context, the players are fully aware of their respective status on the hierarchical structure. The Five Cardinal Relationships (wu lun, 五倫) that regulate the dyadic relationships of (1) the ruler and the ruled, (2) husband and wife, (3) parents and children, (4) siblings and (5) friends, make it abundantly clear that with the exception of friends, the first person in the dyad is the speaker, and the second person is the listener. The listener merely listens and does not speak until spoken to, as the right to speak is either conferred upon an individual by someone higher up on the hierarchical structure, or by virtue of the individual’s status, authority, expertise, knowledge, or experience. Seen in this way, when a person speaks out of turn, he is not simply disrupting social harmony, he is also creating face-threats to those above him in the hierarchical order. The concept of the Five Cardinal Relationships is carried into other spheres of life, such as the school and the workplace. For instance, it is often observed that a Chinese student responds to his teacher as if the latter were his awe-inspiring father giving him a lesson in moral indoctrination (Lau, 1997). Indeed, even today, Chinese students tend to show a great deal of respect towards their teachers, and are not inclined to openly challenge or argue with them. From the viewpoint of class management, a group of listening-centered students may be a teacher’s dream, but in terms of creative and critical thinking, this might have quite negative implications. In the workplace, communication also tends to be one way, with superiors talking and subordinates listening. In fact, the western concept of holding meetings to exchange ideas and to arrive at group decisions is rather novel in China, where meetings are still regarded as forums for superiors to disseminate information and instructions to subordinates. Under ordinary circumstances, subordinates are rarely openly challenging or argumentative, as such behaviors are likely to be construed as face-threatening. Although a listening-centered culture might appear to be easier to manage on the surface, with human nature being what it is, such a culture actually creates undercurrents of discontent and dissention (Chang, 2001), and can suffocate innovative and critical thinking, all in order to maintain face.

Relational Personalism Relational personalism (Gabrenya & Hwang, 1996) makes a clear distinction between ingroup members or insiders (zi ji ren, 自己人) and outgroup members


or outsiders (wai ren, 外人). Based on this distinction, relationships are further categorized into three types. Expressive ties refer to family relationships; mixed ties describe relationships with acquaintances outside the immediate family; and instrumental ties refer to relationships formed with a stranger solely for the purpose of accessing a particular resource (Hwang, 1987, 1995b, 2000). Those with whom one has expressive or mixed ties are considered insiders—the former more so than the latter, whereas those with whom one has instrumental ties are treated as outsiders. Favors or resources are allocated in accordance with whether one is an insider or an outsider. Therefore, for an outsider to obtain a favor, he must look for some common ground with the person dispensing the favor in order to establish a personal tie (relationship), thus enabling him to cross the boundary between instrumental and mixed ties. For example, in Hong Kong and China, when parents want to enroll their children in the more prestigious schools, they will seek out those who are in any way related to those schools, such as teachers, alumni, parents of current students, and so on, in the hope of establishing personal ties so that more favorable consideration may be given to their children. Thus, in Hwang’s (2000) conceptualization, the parents are seeking out mixed ties in one context (e.g., they went to the same university as a teacher at the target school) to cross the boundary between instrumental and mixed ties in another (i.e., the target school’s enrolment system) and become recognized as an insider, thus increasing the odds of getting their children admitted to the target school. Another way of crossing the boundary between mixed and instrumental ties is by using kinship-based designations to address mere acquaintances, i.e., calling them brothers, sisters, uncles, aunties, and so forth (Hwang, 1999).

Politeness Another principle of Chinese communication is politeness (ke qi, 客氣). The Chinese pride themselves on being citizens in the land of propriety (li, 禮) and righteousness (yi, 義), and place the utmost importance on behaving politely. Polite behavior includes such things as the avoidance of confrontation; not losing one’s composure in an argument; not offering a truthful opinion if it is likely to make the recipient uneasy; suppressing one’s wants and needs and repeatedly turning down offers of food, gifts, and services; returning a gift with one of equal or higher value; accommodating the needs of another person at the expense of inconveniencing oneself; and fighting over the payment of bills at restaurants. Politeness is invariably directed at outsiders with whom one wishes to maintain social harmony but keep at a distance. Being polite

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to insiders can be quite disturbing, as it may be construed as an attempt to create distance or deliberately lower the level of intimacy. For Westerners, who do not make a clear-cut differentiation between insiders and outsiders, the concept of politeness can be quite bewildering, as illustrated in the following anecdote: An American couple invited a new Chinese friend to a homemade dinner. This Chinese friend had only recently arrived in the United States and it was his first trip abroad, so the Americans wanted to show him what a regular home-cooked American dinner was like. As the hostess passed the food around, she noticed that the Chinese friend only took very small portions from each dish. She encouraged him to take more but was politely told that the small portions were enough for him. When the Chinese friend had cleaned his plate, the hostess again asked him if he would like some more, but he politely declined the offer, claiming that the food was excellent but he was full, and after a cup of coffee, he thanked his host and hostess profusely and left for home. Later, the American couple went out to get some groceries from a nearby store. While they were walking past a fast-food joint, to their total bewilderment they spotted their young Chinese friend ravenously wolfing down a double burger! This true story illustrates how politeness works. When one is offered food, or services or gifts, the first response is always to turn down the offer lest one is seen as too eager or greedy, a sure sign that one is lacking in self-cultivation and a sure way to lose self-face. The person offering, however, is expected to insist that his offers are accepted, because not doing so is an indication of his lack of sincerity in giving. Then, after several rounds of going back and forth, the offers are accepted with the recipient expressing that he is really unworthy of such generosity. By so doing, the recipient preserves self-face and gives face to the giver, and in the process enhances mutual-face. This roundabout way of communicating, where “no” means “yes” and “yes” means “no,” is not easy to grasp for anyone not schooled in the Chinese art of indirect and implicit communication. It is difficult to replicate or imitate politeness as a behavior without understanding it as an integral part of facework. Brown and Levinson’s (1987) politeness theory was a valiant attempt to gain an explicit understanding of the concept of politeness. In it, they examined face-threats that occur in speech acts, and also classified face concerns into positive face, which involves the upholding of self-esteem or the parts of self for which one seeks the appreciation and approval of others, and negative face, which involves the quest for autonomy or not being imposed upon by others. Politeness theory posits five levels of facework strategy, ranging in politeness from high to low, and identifies three situational variables influencing the degree of face threat and the subsequent use of politeness strategies in any


given speech act. These three variables are the relational distance between the interacting parties, the relative power of these parties, and the degree of imposition of the speech act. In a study of the relationship between request refusals and face threat, the politeness theory was taken one step further, and the intricate art of refusing a request whilst preserving positive and negative face for both the requester and refuser was examined (Johnson, Roloff, & Riffee, 2004). For instance, when a refuser expresses his willingness to accede to a request along with his inability to do so (“I’d really like to help, but I don’t have the resources at the moment”), his positive face is threatened because he admits to a lack of ability. On the other hand, if he acknowledges his ability to carry out the request but expresses reluctance to do so (“I could help but I don’t feel like doing it”), he preserves his positive face by showing his ability to carry out the request and at the same time enhances his negative face by refusing to be imposed upon. However, from the perspective of the requester, both forms of refusal are face-threatening, particularly in the Chinese culture, where one does not normally make requests outside one’s relationship network, so when one does, one expects it to be acceded to (Hwang, 1987, 2000). Therefore, refusals are made indirectly or are focused away from the requester (“I’m perfectly willing to help you but I don’t feel like doing it, because I think it’s not your fault that you are caught in this situation”). Indirect refusals reduce the threat to mutual-face.

Preservation of Harmony The preservation of harmony at all costs is another principle of Chinese communication. There is an old Chinese saying that there is nothing more valuable than harmony (wan shi yi he wei gui, 萬事以和為貴), which is evidently a Confucian value. On the path to becoming a moralist (jun zi, 君子), the highest ideal in self-cultivation, it is advisable to avoid conflicts and confrontations. In Chinese societies, where traditional values such as respect for authority, community harmony, and trust-building are still pervasive, conflict avoidance behavior is widely adopted (Chen, 2001). It is advised that in such societies, when managing conflict as well as relationships, one should always pay attention to the societal norms of hierarchy, harmony, and filial piety. For instance, it has been observed that the Chinese respect for hierarchy and the importance placed upon filial piety appear to have given older people implicit power and authority over younger people in intergenerational interaction (Zhang, Harwood, & Hummert, 2005). Older people do not see blunt criticism of younger people as highly face-threatening, but younger people, who

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are less traditional, may disagree with this position. In fact, it is believed that when an older person criticizes a younger person bluntly, he threatens both the positive and negative face of the latter. Positive face is threatened because blunt criticism is viewed as the older person’s lack of trust in the younger person’s ability. Negative face is threatened because the expectation that the younger person will change his behavior in accordance with the criticism is inherent, which is a denial of the younger person’s autonomy. The disagreement between the older and younger generations about the right to give and the obligation to receive blunt criticisms has resulted in different conflict management styles between the old and young. The old favor an accommodating style emphasizing relational harmony over the problem-solving style, which is assertive and cooperative. The young, on the other hand, favor both the accommodating and problem-solving styles equally. Although an intergenerational difference in observance of the traditional values of respect for hierarchy and filial piety is noted, both generations abhor the use of the competing style of conflict management (characterized as overly negative, assertive, confrontational, and uncooperative), as it is seen as being highly disruptive to relational harmony (Zhang, Harwood, & Hummert, 2005). Furthermore, it has been indicated that neither generation favors the use of the avoiding style, which, although nonconfrontational, is also unresponsive. This is because by avoiding conflicts, the younger generation may succeed in preserving the negative face of the older generation by not imposing on them, but the positive face of the older generation is not attended to, which amounts to a serious violation of the norms of respect for hierarchy and filial piety. Therefore, the optimal approach for both older and younger generations in managing conflicts perhaps lies in adopting the accommodating style, while simultaneously focusing on solving the problem at hand. The primary reason for this emphasis on maintaining harmony even in conflict is that China is a collectivistic society, which is characterized by the high conformity of its members. In a collectivistic society, face represents the part of self approved by others, i.e., the approved self, whereas in an individualistic society, face represents the respectability claimed by oneself, i.e., the projected self (Yabuuchi, 2004). Therefore, if one confronts rather than conforms, and disrupts harmony, which is of great importance, the likelihood of gaining approval, and hence face, is minimized. Although it is now generally accepted that the concept of face has value in both individualistic and collectivistic cultures, it has been suggested that individualistic cultures tend to emphasize the “I” identity (or projected self) in face negotiation, whereas collectivistic cultures emphasize the “we” identity (or approved self). “I” identity facework utilizes a competitive process in negotiation, with the intention of preserving self-face and threatening other-

Facing the Future

face. “We” identity facework utilizes a more collaborative process, with the intention of mutual face-saving. Of the four face-negotiation strategies, i.e., face-restoration, face-saving, face-assertion and face-giving, it was found that the last strategy is the most frequently used in collectivistic cultures such as China (Ting-Toomey, 1988). This position was affirmed from another angle, in that it was found that when face was given or confirmed, direct controversy, which is usually thought of as a taboo in Chinese communication, no longer upset the applecart, but, on the contrary, induced open-mindedness (Tjosvold, 2004). By comparing the direct–indirect continuum with the individualist– collectivist continuum, it was discovered that in the workplace, Chinese workers do not always use indirect communication. In fact, they use a combination of direct and indirect communication when they encounter self-face threats. Direct communication is used to implement incisive damage control and to ensure that a message is clearly delivered so that further threats to self-face may be derailed, while indirect communication is used to defuse overtly confrontational interaction and to minimize possible damage to a relationship. However, when dealing with other-face threats, a passive conflict style with indirect communication is the normative response, as this is the surest way to prevent a relationship from disintegrating (Brew & Cairns, 2004). When self-face threats and relationship disintegration are equally likely, it has been found that a subordinate’s main focus is on avoiding disintegration of his relationship with his superior, rather than on self-face maintenance. The superior, on the other hand, can disregard other-face and impose his will on his subordinate. Perhaps through such imposition he asserts his authority and maintains, or even enhances, his self-face. Thus it is apparent that in a culture which values hierarchy and social harmony, the positive and negative faces of subordinates at work or of the younger generation as a whole can be readily sacrificed in the name of maintaining harmony (Leung & Chan, 1999). In conclusion, to say that conflict is avoided in Chinese societies is too sweeping a statement. One has to take into consideration the status of the interacting parties (superior–subordinate or equals), their ages (old or young), and the type of face being threatened (self or other) in order to make sense of how, in reality, conflicts are managed or harmony preserved.

FACING THE FUTURE The effects of modernization, globalization, and hybridization on Chinese discourse in the 1980s and 1990s were assessed by Montgomery (1999). The growing urbanization and the gradual opening up of China to the West

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in the last two to three decades of the twentieth century had exposed the inhabitants of its major cities to the Western way of life, including possibly the level of directness, expressivity, and assertiveness in communication. With respect to the upholding of traditional values, it was suggested that the onechild policy and the limited living space in urban areas spelt the end of the multigenerational family. The younger generations no longer had to deal with a complex hierarchy of relationships, nor were they being tutored daily by their grandparents about traditional norms and values. Nowadays, they have become more individualistic, less collectivistic, and perhaps view the issues of face, face threats, and facework in somewhat different ways from the older generations. While the old and the young still value relational harmony, the younger generation is shifting more towards the Western ideology of equality and independence, and shows a lessening commitment to the Chinese value of hierarchy (Zhang, Harwood, & Hummert, 2005). Concomitant with the juxtaposition of tradition and modernization/ globalization, one might expect to see gradual shifts from collectivism to individualism, from larger power distances to smaller ones, from respect for hierarchy to equality, and from interdependence to independence, particularly in the younger generations. With this shift, the approved self may give way to the projected self, with the expectation that face is claimed rather than given, and in any communication, the focus may be more on self-face than other- or mutual-face. However, a communication style built on the Confucian tripod of hierarchy, harmony, and filial piety that has been in place for thousands of years is unlikely to be entirely toppled overnight, particularly in China, where power and authority still reside in the hands of the older generation. Therefore, for the foreseeable future, a hybridization of the old and new in terms of face management seems likely. In other words, there will probably be a continued emphasis on giving face whenever possible, using appropriate communication and face management skills to build effective relationship networks, and adopting an accommodating style in conflict resolution.

REVIEW QUESTIONS 1. What is face? 2. Is face a uniquely Chinese or universal concept? 3. Under what circumstances can face be gained or lost? 4. There are two words for face in Chinese, mian zi (面子) and lian (臉). What is the main difference between losing one’s mian zi and losing one’s lian?

Review Questions

5.

What is the perceived relationship between face (mian zi, 面子) and personal ties (guanxi, 關係)?

6. How is the Chinese concept of face different from that of other cultures? 7. What is the philosophical basis of face in Chinese societies? 8. What role does face play in interpersonal communication? 9. Do the Chinese always avoid conflict? 10. In what direction is the Chinese concept of face likely to go?

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8

Female Gender Roles and Gender Egalitarianism in China


Issues of Gender Equality

Female Gender Roles

In Education

Confucian Influences

In Marriage

Men for the Exterior and Women for the Interior

In the Workplace

Devoted Wife, Dutiful Spouse, and Exemplary Mother

Cross-Cultural Differences in Gender Equality Self-Esteem of Chinese Women

Neo-Confucian Texts

Self-Esteem from Chastity Norms

Son Preference Confucian Influence

Self-Esteem and the Importance Placed on the Family

Provision of Old-Age Security

Evidence of Low Self-Esteem

The One-Child Policy and Son Preference

The Future of Gender Equality in China

Evolution of the One-Child Policy

From the Old to the New Hopes and Expectations Review Questions

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INTRODUCTION A disproportionately high percentage of young women in rural villages in China commit suicide, often by ingesting pesticide. This is seen as a form of resistance or protest against the traditional preference for sons and the general system of patriarchal subjugation (Lee, 1999). Such women generally feel powerless in the face of political and social domination, and often the only opportunity they have to improve their lowly status is to bear sons. If they are unable to do so, they face physical abuse, the hostility of family and neighbors, and threats of divorce. Many in such situations see suicide as a way out of their misery. In fact, it is estimated that female suicides in China account for 56% of female suicides worldwide (Lee & Kleinman, 2000). This is an astounding figure which unequivocally points to the lack of subjective well-being of women in China today. How has this state of affairs come into being? What actions can be taken to bring an end to this horrific phenomenon? This chapter examines the impact of Confucianism on the social status of women in China, from the traditional preference for sons to the skewed birth sex ratio that exists in China today. Through this examination, a psychological landscape of where women were in the past, where they are today, and where they are heading in the future can hopefully be sketched.

FEMALE GENDER ROLES Confucian Influences The gender roles depicted in the Analects and Mencius, two of the books in the Confucian Canon (the English translation of which can be found in Legge (1960a, 1960b)), were examined and several conclusions were drawn (Chan, 2000). Firstly, it was noted that none of the Confucian sages or role models were female. Secondly, it was observed that the conception of gender in these two texts was a functional one, which assigned women an inner/ domestic role (i.e., their primary duties related to managing household affairs, but they were not in charge of the family), and men an outer/public role (i.e., their primary duties related to managing external affairs, but they still ruled over the household). Thirdly, it was remarked that the goal of selfcultivation in Confucianism was to become a moralist ( jun zi, 君子) who possessed the virtue of benevolence, and to attain this ideal status, one of the fundamental requirements was to serve in the government. Assigning women to an inner/domestic role precluded them from serving in the government, which automatically prevented them from becoming moralists. On the basis of

Female Gender Roles

this reasoning, it was deemed wasteful to give women a Confucian education, which doubly ensured that women could never become the moral equivalent of men. This is one of the primary factors at the root of the subordination of women to men. The forms of subordination of women to men outlined in the Analects and Mencius include asymmetry in sexual access, in that polygamy and divorce were the exclusive rights of men, and widowed women were discouraged from remarrying; the objectification of women, in that women were treated as objects which could be transferred and enjoyed for sexual pleasure; and the neglect of women, in that there were no references to female characters in these texts other than fictional ones. The tenets of respect and reciprocity did ameliorate this subordination to a certain degree, in that, for example, a son (a male), in observing the precepts of filial piety, had to demonstrate respect and reciprocity towards his mother (a female). However, the amount of respect and reciprocity shown by a son to his mother was always less than that shown to his father. Hence, in many classical Chinese dramas, the matriarch only became powerful and showed her competence as a leader after the death of the patriarch. The role of women in ancient China as depicted in the Five Classics (Wu Jin, 五經) was also analyzed (Guisso, 1998). It was concluded that in preConfucian days, women were relatively active in social and political spheres. However, with the ascent of Confucianism and its emphasis on relational harmony and gender hierarchy, women became increasingly subordinated to men. Women were seen as fit for the interior or household roles, rather than the exterior roles in government, politics, and business. Gradually, women, especially those of noble breeding, became totally confined to their households and were cut off from the outside world.

Men for the Exterior and Women for the Interior The concept of “men for the exterior and women for the interior” (nan zhu wai, nu zhu nei, 男主外, 女主內) set the scene for Chinese gender roles for generations. On the basis of this concept, some culturally defined gender roles emerged (Ho, 1987). For instance, men were expected to be stern and women were expected to be nurturing. A further differentiation was that men belonged to the “outside” world and women the “inside” world, with the two worlds being clearly segregated. Caring for infants and young children of both sexes was considered a domestic duty, and was therefore the responsibility of the mother. Education was the prerogative of the male gender, and the father was responsible for the education of his sons. Daughters were denied such

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opportunities because the roles they were expected to fulfill did not require any formal education. Furthermore, in the Confucian tradition, it was thought that emotional detachment was necessary for education to be effective, so parents were cautioned not to bestow too much affection on their children lest it should render discipline unenforceable. To address the natural instincts of parents to love their children and show affection towards them, the parental roles were differentiated into “strict father” (yan fu, 嚴父) and “kind mother” (ci mu, 慈母) in order to strike a balance (Ho, 1987). Hence, Chinese children generally grew up in awe of their fathers, but were emotionally closer to their mothers. It is therefore apparent that female subordination, although not initiated by the Five Classics, was nonetheless justified by it. The commentaries on the Five Classics made by later scholars, particularly during the Ming Dynasty (1368–1644), went even further by making such subordination prescriptive, rather than allowing it to be simply descriptive. Some of these prescriptions for women included being responsible for the well-being of the family, remaining loyal to their husbands, being nurturing towards their husbands’ children and ancestors, and always persevering in the execution of their duties.

Devoted Wife, Dutiful Spouse, and Exemplary Mother This traditional role of women as devoted wives, dutiful spouses, and exemplary mothers (xian qi liang mu, 賢妻良母) has always placed Chinese women in a position of giving to others, of sacrificing themselves, and of stripping themselves of any personal desires and wishes. Sometimes a woman can find herself caught in a situation in which she faces an impossible choice between, for example, being a dutiful spouse and an exemplary mother. In such a case filial piety dictates that she places the welfare of her parents-in-law above all else, but her obligations towards her children prescribe otherwise. Yet, whatever her priorities may be, she has always been required to be selfless and other-focused. There are primarily two traditional expectations of a devoted wife (xian qi, 賢妻). Firstly, she must be dedicated to helping her husband in his chosen vocation and in life; and secondly, she must remain faithful to her husband, have him only as the man in her life, and remain chaste after his death. In feudal China, stone memorial archways were constructed to commemorate such chaste women, and it was considered a significant honor for the family of the deceased widow to be the subject of such commemoration. There have been instances of women attempting to change their cultural genders by changing their clothing. For instance, the well-known story of Hua

Female Gender Roles

Mulan (花木蘭), which has been made into many plays and movies including a Walt Disney version, tells of a young woman who dressed in men’s attire to go into battle on behalf of her ailing and elderly father. Although ostensibly this was a courageous show of filial piety, the fact that she had to dress as a man before she was allowed to fight on behalf of her father and for her country leaves one to wonder about gender equality in traditional Chinese culture.

Neo-Confucian Texts If Confucian philosophy had not completely driven the message regarding the subordination of women home, the Neo-Confucians of the Tang Dynasty (AD 618–907), the Later Han Dynasty (AD 947–950) and the Ming Dynasty (1368–1644) certainly did. The Four Classics for Women (Nu Si Shu, 《女四書》) were written during these dynasties for the specific purpose of regulating the behavior of women. The four classics are as follows: 1. Admonishment to Women (Nu Jie, 《女誡》), written during the Late Han Dynasty. This book taught women to respect their husbands as superior to themselves. It also laid out in detail the manner in which women were to treat their mothers-in-law, and defined what it took to become a virtuous woman. 2. Instruction for the Inner Courts (Nei Xun, 《內訓》), written during the Ming Dynasty for the internal training of court ladies. Six chapters out of a total of 20 were devoted to the subject of jealousy, probably because officials and emperors kept many wives and concubines, sometimes numbering hundreds or even thousands, and teaching women not to be jealous was the most effective way of keeping interpersonal conflict at bay. 3. Analects for Women (Nu Lun Yu, 《女論語》), written during the Tang Dynasty. This book contained 12 chapters covering women’s virtues and the behavior of women in their everyday lives. It was written in easily understandable language and its contents were readily accessible to women of all classes. 4. Short Records of Exemplary Women (Nu Fan Jie Lu, 《女範捷錄》), written during the Ming Dynasty. This book illustrated behaviors that were considered laudable in women, including the three compliances and the four virtues detailed below. Chastity, in particular, was greatly emphasized. There are three popularly known admonitions within these four books. The first is that a woman should adhere to the three compliances, which are that she should obey her father until she marries, obey her husband when

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she is married, and obey her son when her husband dies (wei jia cong fu, ji jia cong fu, fu si cong zi, 未嫁從父, 既嫁從夫, 父死從子). In other words, a woman should build her life around the men in her life, and submit herself to them totally and without reservation. A woman is not entitled to have an independent construal of self. The second admonition is that in addition to observing the three compliances, a woman should observe the four virtues (san cong si de, 三從四德), namely moral conduct (de, 德), proper speech (yan, 言), charming physical appearance (rong, 容), and skills in household chores such as needlework and winemaking (gong, 功). This admonition further promotes the submission of women to men and ensures that their behavior is geared towards pleasing the men in their lives. Embedded in the above two admonitions is the notion that a woman should always support but never interfere with her husband’s life. The third admonition is that a virtuous woman should be ignorant (nu zi wu cai bian shi de, 女子無才便是德). Ignorance here probably refers to matters outside the household, and this admonition is indicative of the feudal society’s attempt to limit the level of knowledge available to women and to keep women confined to the home and ignorant of the affairs of the world. Such ignorance breeds insecurity and makes women totally dependent on men. Apart from the Four Classics for Women, it is also noted that the only time that Confucius mentioned women in the Analects was when he lamented that “women and petty men are the hardest to deal with” (wei nu ren yu xiao ren wei nan yang ye, 唯女人與小人為難養也) (Legge, 1960a). Equating women in general with petty men is anything but complimentary, and goes to show that traditionally, Chinese women have rarely, if ever, been considered the moral equivalent of men. Chinese history is full of examples of ways to inhibit women, from the theories espoused in the Analects, the Five Classics, and Mencius to the detailed daily practices outlined in the Four Classics for Women (Lin, 2000). The control was also absolute as it covered the entire life span. It has been suggested that the motive behind defining and controlling female virtue was the preservation of patriarchal power and authority through female obedience and observance of the chastity code, thus ensuring the stability of the patrimonial state (Zhan, 1996). Therefore, historically, Chinese women were sacrificed as one of the chief means of maintaining social control. From the perspective of individual psychology, the Confucian concept of the value of women can be seen as an overarching evaluation system which affects the development of the Chinese female personality, and which demonstrates the relatively inferior value that society places upon women (Li, 2000).

Son Preference

SON PREFERENCE Juxtaposed against the subordination and submission of women to men is the traditional Chinese family’s preference for sons rather than daughters. Son preference in China is the result of deeply entrenched Confucian values and the need for someone to uphold traditions such as family propagation, performance of rites of ancestral worship, provision of old-age security, and to supply agricultural labor—activities for which sons are generally deemed to be more suitable (Arnold & Liu, 1986).

Confucian Influence Apart from Confucius, Mencius (ca 372–298 BC) was possibly one of the most ardent and influential advocators of Confucian philosophy. In a chapter in Mencius entitled “Li Lou” (離婁) he was quoted as saying that the gravest of all unfilial acts was not to bear a son (Legge, 1960b), because without a male heir there would be no one to carry on the family line or to perform rites of ancestral worship, which only men were entitled to do. The emphasis on family propagation was probably due to the fact that the family is the basic unit of production in agricultural China, and more sons naturally meant more available farm hands, leading to higher productivity. Traditionally, sons have been considered a greater economic asset than daughters because they remain with their families of origin and are expected to contribute physically and financially to the well-being of their parents. Daughters, on the other hand, who are expected to be lost to their natal families upon marriage, are thought of as “junk price goods” (pei ben huo, 賠本貨), and are not as valuable as sons. In fact, in feudal China, women were not allowed to own property, and the dowries which they brought to their marriages were automatically transferred to their husbands. When the 1978 economic reforms in China shifted the basic economic unit of production from communes back to families, higher value was once again placed on male labor, inadvertently reinforcing the preference for sons over daughters, and further setting back the struggle for gender equality.

Provision of Old-Age Security Hong Kong and Singapore are possibly two of the very few societies in the world where there are still tax exemptions for parent support. These two societies are influenced by Confucianism, which promotes filial piety, reciprocity, and the deep-rooted belief in and practice of raising children for

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the purpose of providing their parents with security in their old age (yang er fang lao, 養兒防老). This anticipation of old-age security is still very much alive in rural villages in China, where there is a lack of retirement pensions, so parents look to their sons for financial support (Wang, 2005). Daughters are expected to get married, move out of their parents’ homes, and eventually contribute their incomes to their husbands’ families. Therefore, they are sent into the workforce at a much younger age than their male siblings, so that they can earn money for their families before they are married and become other families’ assets. Within this practice, females are treated as commodities, and the depersonalization and objectification of these women is evident.

The One-Child Policy and Son Preference In 1979, the People’s Republic of China introduced the one-child policy as a means of controlling the population explosion and maximizing the use of limited resources (Hillier, 1988). In urban areas, couples are only allowed to have one child. In rural areas, couples are allowed to have two children due to the de-collectivization of agriculture and the subsequent return to the household as the primary unit of production in place of the commune. In some rural villages, couples are even officially allowed to continue bearing children if they have only previously borne daughters. In more ways than one, the one-child policy has unintentionally accentuated the traditional Chinese preference for sons, which is often cited as one of the principal reasons for female infanticide (Kaur, 1993; Kishwar, 1993). The sex-ratio-at-birth (SRB) of China bears witness to the son preference value of the Chinese, in that the boy-to-girl ratio has increased from 106 boys to 100 girls in 1970 to 108.5 in 1981, 113.8 in 1989, and 117 in 2000 (Zeng et al., 1993; Wang, 2005). This ratio is higher in rural areas and for births to women who report their occupation as agricultural workers. Three possible reasons have been put forward to explain the growing difference in the boy-to-girl ratio at birth (Zeng et al., 1993). The first is the underreporting of female births, which was twice that of male births in the years between 1983 and 1988. The higher level of underreporting of female births is an attempt to withhold information from the authorities and thus avoid paying the penalties for having a second child. Female births are hidden from the authorities by (1) giving the girls away for adoption (most children in Chinese orphanages are female); (2) sending them to live with relatives elsewhere; (3) not reporting their births initially, but later reporting them as immigrants who have moved in from elsewhere within China; and (4) simply not reporting the births at all. However evidence was also found that the strong son preference

Son Preference

has made parents more willing to pay the penalty for unauthorized births in order to have a son to carry on the family line (Poston, 2002). It was further detected that among women who had had only one child, those with a daughter were more likely to consider having a second child; and among women who had had two children, those with two daughters were more likely to consider having a third child than those with two sons or a daughter and a son. The second reason for the growing difference in the boy-to-girl ratio at birth is prenatal sex determination. The general availability of ultrasound technology in China has made it possible to determine the sex of the fetus. Although this practice has been outlawed by the government, affiliation needs and corruption have opened the doors to couples requesting such service. When a couple discovers the sex of the fetus through the ultrasound procedure, they then have the option of an induced abortion. The third reason is female infanticide and abandonment. This factor is deemed to have a minimal effect on the sex-ratio-at-birth, because in a collective society, it is difficult to conceal such a serious crime. Also, such measures are morally and psychologically costly, and with the advent of cheaper sex identification procedures, there is no reason to resort to infanticide or abandonment.

Evolution of the One-Child Policy When the one-child policy was introduced in 1979, one of the rationales was to promote equality of the sexes. However despite some positive aspects, the policy has inadvertently reinforced the traditional roles of women, especially in rural villages, as household laborers, reproducers of progeny, and subjects of the patriarchal family system (Chow & Chen, 1994). This policy has also been criticized for several other reasons, including the potential lack of providers of old-age security, the dissolution of the traditional kinship structure, forced abortion and sterilization, female infanticide, wife abuse (for failure to bear sons), and the psychological well-being of the only child. However it is beyond argument and speculation that the one-child policy has reshaped Chinese family life. Since couples have limited control on family building, they are also limited in their expression of son preference. This may in the long run reduce gender bias, because if a couple have only one child, then they are likely to treasure this child and bestow all their resources on him/ her irrespective of gender. Indeed, as the one-child policy effectively reduces the number of siblings a child has, children in general have the advantage of better parental care, with both parents being more involved in the upbringing of the child (Short et al., 2001).

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ISSUES OF GENDER EQUALITY In Education The gender ratio of high school enrolment is 138 boys to 100 girls, and that of college enrolment is 144 boys to 100 girls. These ratios demonstrate that women are much less likely than men to go beyond the nine years of mandatory education (Bowen et al., 2007). Although these figures can be rationalized by referring to the traditional Confucian admonition that a virtuous woman ought to be ignorant, when we realize that the employment rate of female adolescents exceeds that of males, it would appear that a more authentic explanation lies in the preference of parents to expend their resources on the education of their sons and to send their adolescent daughters into the labor market to earn extra income to support the family and their male siblings (Wang, 2005). For instance, in terms of the allocation of resources for education, older daughters in patriarchal East Asian families suffer the most, at least in the short term, through losing out on education and having to marry early (Parish & Willis, 1993). Older daughters probably marry early to lessen the financial burden on their families, and when they enter the workforce, they often help to support younger siblings financially. As previously mentioned, Chinese parents often do not see the need to invest in the education of their daughters, as, particularly in the face of scarce resources, they would rather invest in their sons’ education. In some rural areas, where two children are allowed, the allocation of resources for education is strongly biased towards boys rather than girls. There are three major family-level determinants of educational inequality. The first is the parents’ view of education as an investment decision based on future returns, and daughters in rural regions are judged to be a bad investment risk. The second determinant is the extent of the families’ financial resources, and since these are finite, rural parents are more likely to invest in the education of their sons rather than daughters. Thirdly, cultural precepts such as filial piety demand absolute obedience from children, so daughters seldom, if ever, contest their parents’ decisions to preferentially expend resources on their male siblings’ education (Wang, 2005). In urban regions retirement pensions are more common, especially amongst white-collar workers. These people are financially independent and do not view their children as “old-age security.” Consequently there is substantially less discrimination against daughters, and less inequality in terms of educational opportunities. This is particularly the case for parents who are themselves more highly educated.


In Marriage Traditionally, marriage in China was more the concern of the family than the individual. Marriages were arranged with little or no consideration for the personal feelings and wishes of the couple concerned. When a woman suffered unfair treatment in her marital life, she had no legal rights of appeal and had to bear her suffering as best she could. She could not initiate divorce unless her husband was guilty of unfilial acts towards members of her family of origin (Zhan, 1966). The husband, on the other hand, could legally initiate divorce if the wife was found guilty of one of seven conditions, or qi chu (七出), as recorded in an abridged version of the Book of Rites (Li Ji, 禮記), Elder Dai’s Book of Rites (Da Dai Li Ji, 大戴禮記), written in the Han Dynasty. These were being disobedient to the husband’s parents, being barren, committing adultery, showing jealousy, being afflicted with an incurable disease, engaging in excessive gossip, and being found guilty of theft. In order to improve the status of women in the People’s Republic of China, a marriage law was enacted in 1950 which clearly specified that marriage was to be based on freedom of choice. Marriage was to be a relationship in which men and women shared equal rights, monogamy was upheld, and bigamy and the taking in of concubines by men was prohibited. Prior to the enactment and enforcement of such laws, it was common practice for Chinese men to acquire concubines—in fact a man’s wealth and face was often judged in terms of the number of concubines he had in his household. This was clearly an objectification of women (Chan, 2000). Today, although the taking in of concubines is illegal, extramarital affairs conducted by husbands constitute one of the main grounds for wives seeking divorce (Beech & Hua, 2006; Wiseman, 2005). It would seem that objectification of and disrespect for women still exist in marriage. An analysis of archival records up to 1982 (Bullough & Ruan, 1994) showed that the effectiveness of the 1950 marriage law in improving the status of women in marriages was only nominal, in that 18% of the marriages had still been arranged by the parents of the bride and groom, with little or no input from the couple. 23% of the marriages had been modified versions of the traditional arranged marriage, in that the bride and groom had been given some power of veto over the proposed arrangements. In 36% of the marriages, the women had met their husbands through informal introductions by friends, colleagues, or neighbors, and 24% of the women had met their husbands through casual encounters at school, work, or leisure activities. These statistics indicate that even though the law had encouraged freedom of choice, many

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people had not taken advantage of this freedom, and had instead chosen to follow tradition by allowing their parents to arrange their marriages. A further indication of gender inequality in marriage is demonstrated by the fact that women who remain unmarried are generally well-educated. The postulation for this phenomenon is that academic achievement impedes women’s chances of getting married, since many men do not wish to choose wives who are better educated or have a higher professional status than themselves (Bullough & Ruan, 1994). The intention of Chinese men to dominate their marital partners, or at least not to be dominated by them, could not be clearer. On a somewhat more positive note, divorce patterns show that women are seeking equality in marriage, as approximately 70% of divorces are initiated by females, whereas in the prerevolutionary period, men were the chief instigators of divorce proceedings (Bullough & Ruan, 1994).

In the Workplace The economic reforms launched in 1978 shifted the basic economic unit of production from communes back to families, and as a result the traditional triple burden on women, that is, working in a paid job to subsidize the household income, caring for children and the elderly, and taking care of household chores, has intensified. Women have to work harder than ever to fulfill their gender roles, while their career development is tolerated only insofar as they are able to satisfactorily balance work and family demands. For instance, Chinese women in Hong Kong tend to choose jobs with flexible working conditions so that they can take care of their husbands and children (Cheung, 2002). Such behavior is consistent with a patriarchal and Confucian culture in which women are expected to give higher priority to their families. In doing so, women often trade off good jobs for flexibility, so the good jobs are then given to men, suggesting that there is gender discrimination in the job market. However, when one examines the salaries of Hong Kong females, notions of discrimination are not supported. In other words, there is little or no discrimination against women in Hong Kong’s job market, but women have limited their own opportunities for advancement by their adherence to the Confucian precept of “men for the exterior and women for the interior,” believing it to be their duty to put family before career. The inherent willingness in women to subordinate their needs and desires to their families is a testament to the invisible yet formative influence of Confucian education. Working women in China, on the other hand, are not as fortunate as their counterparts in Hong Kong. Women in China suffer discrimination


through five different channels (Bowen et al., 2007). Firstly, there is gender discrimination in educational institutions, and women are much less likely than men to go beyond the nine years of compulsory education. In the long run, lower educational attainment in women means fewer opportunities for advancement in their careers. Secondly, women are less likely to be hired, particularly when supply exceeds demand in the job market. Thirdly, the legal retirement age for women is 55, whereas for men it is 60. Women therefore have five years less than men to advance their careers. Fourthly, women are stereotyped as being primarily responsible for the care of children and the elderly, so it is assumed that they cannot be relied upon to make their careers their first priority. In truth, men expect women to do more work related to the household, and women expect themselves to have less prestigious jobs than their husbands. A fifth discrimination is in terms of earnings, and it is noted that the earnings of Chinese women are about 60% of those of Chinese men (Maurer-Fazio & Zhang, 1999). When women themselves are still caught in the cocoon of feudal and traditional gender roles, it is not surprising that there is a general of lack support amongst men for the egalitarian treatment of their female counterparts at work (Bowen et al., 2007). In China, men still enjoy higher status than women, both at work and in the home, and have more opportunities for advancement in their careers. This probably contributes to the finding that a substantially higher percentage of women wished to be men (41%) than vice versa (8%) (Chia, Allred, & Herzak, 1997). Women are found to be similar to men in their motivation to work hard, to do a good job, and to stay loyal and committed to the organization, society, and their superiors (Granrose, 2007). The only difference found between men and women is that women are more inclined than their male counterparts to learn more and undertake further education in order to gain career advancement. This could be overcompensation for perceived inferiority due to low self-esteem.

Cross-Cultural Differences in Gender Equality A summary of several research projects on gender equality revealed that Taiwanese men and women were less egalitarian and liberal than their American counterparts, although the women in both cultures were more egalitarian than the men (Chia, Allred & Herzak, 1997). In Taiwan, women were generally more egalitarian and liberal than men in their views on gender roles, marriage roles, work, and family. In mainland China, in terms of marriage roles, over half of the participants surveyed thought that decisions on major issues should be made jointly by husband and wife. With respect to social activities, although

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these were considered to be a joint responsibility between husband and wife, more men than women considered the husband to be mainly responsible. In the realm of emotional support, more than half of the participants surveyed reported mutual dependence between themselves and their spouses. With regard to family finances, more women than men were placed in charge of financial management within the household. There appears to be a fusion or overlap in gender roles, and this is a positive indication of a movement towards gender equality. Gender role egalitarianism was further studied in two domains: workrelated and home-related (Chang, 1999). It was found that the Chinese were less egalitarian than Americans at work, but more egalitarian at home. The reverse was true for Americans. Cross-cultural comparison also revealed that Chinese women were more egalitarian at home than their counterparts in the southern state of Florida in the United States. Chang postulated that rapid economic development in Asia had led to greater egalitarianism in genderrole attitudes. In China, more females have entered the professional workforce and this is expected to bring about improvements in work-related gender-role egalitarianism. In a cross-cultural comparison of gender roles in China and Canada, it was discovered that women in both cultures do a substantially larger amount of housework than their husbands, even though 90% of working-age women in urban China work outside their homes (McKeen & Bu, 2005). In addition, by 2001, approximately 41% of all the professional and technical personnel in China were women. Also, highly educated women in both countries were concerned that marriage and motherhood were detrimental to their career development.

SELF-ESTEEM OF CHINESE WOMEN Self-Esteem from Chastity Norms What has been the source of the traditional Chinese woman’s self-esteem and sense of personal value? Primarily, women realized their value through being a virtuous wife and a dutiful mother, and furthermore, by observing the chastity norm, their self-esteem was ratified by society. Theiss (2004) wrote about the cult of female chastity in the Ming and Qing Dynasties (1368–1911). This cult comprised both the state canonization system and private apparatus for honoring widows who had refused to remarry and had chosen to serve members of their husbands’ families, and those who had committed suicide to follow

Self-Esteem of Chinese Women

their husbands in death or to resist sexual assault. Widow suicide became one of the most highly praised expressions of chastity, bringing honor not only to the victims themselves, but also to their natal families and husbands’ families. In fact, female chastity became one of the cornerstones upholding notions of social hierarchy and moral order, and widow martyrdom was lauded as a supreme exemplar of a woman’s eternal loyalty to her husband. During the past few decades, increased equality in marriage and better opportunities for higher education and career advancement have meant that the chastity norm as a source of self-esteem for Chinese women has apparently lost its significance. Today, a sizeable number of Chinese women do not find premarital sex objectionable, they initiate divorce and sometimes remarry, and some even become unwed mothers, all in evident defiance of or disregard for the chastity norm. This indicates a transition from gender-based self-esteem to individual-based self-esteem.

Self-Esteem and the Importance Placed on the Family In Confucianism, a high value is placed on the family and the preservation of family honor. Therefore, despite being confined to private quarters, Chinese women were able to wield considerable power and influence and find substance upon which to build their self-esteem (Mann & Cheng, 2001). There are many movies and plays depicting how matriarchs, upon the death of their spouses, successfully managed their households in the face of external threats. A 2001 television series entitled Da Zhai Men (大宅門, literally translated as The Great Mansion) produced by China Central Television (CCTV) is supposedly based on the real story of the owners of Tong Ren Tang (同仁堂), a publicly listed company specializing in traditional Chinese medicine. In this story, the matriarch almost single-handedly averts numerous disasters threatening to destroy the family and its assets. In another well-known drama entitled Yang Men Nu Jiang (楊門女將, literally translated as the Female Generals of the Yang Family), the matriarch, upon the death of her husband and sons, leads the women of the household to fight battles for the country in order to preserve honors bestowed on the family by the state for their patriotism. As China is still basically a collectivistic culture, the importance of the family has not diminished, and women can continue to enhance their selfesteem through various contributions to the family, such as contributing to family finances, producing male heirs, taking care of elders, and bringing honor

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to the family through their own achievements or those of their children. In rural villages, it has been noticed that many women migrate to urban areas in search of better-paid work and return after several years. As a result of being able to make substantial financial contributions to their families, they experience an increase in their self-esteem and sense of autonomy (Davin, 1996). Perhaps the ultimate way to bring about gender equality in China is to increase the number of females in the workplace. This will inevitably result in their ability to help their families financially and give them more power to participate in family decision making. Furthermore, financial independence creates a better sense of self-reliance which is conducive to higher self-esteem.

Evidence of Low Self-Esteem Despite a steady, if somewhat slow, movement towards gender equality, Chinese women still experience low self-esteem. It has been reported that men are more satisfied with life than women for two possible reasons (Zhang & Leung, 2002). Firstly, males scored higher than females in measurements of individual self-esteem, and self-esteem has been shown to be correlated with life satisfaction (Diener, 1984). Along similar lines, Chinese females were found to exhibit a significantly larger number of symptoms of psychiatric morbidity (Shek, 2001). They also scored significantly lower on psychometric measurements of positive mental health. Secondly, women’s social status is lower than men’s despite the fact that they make equal contributions to society, and this can be a source of frustration and self-recrimination. In research into women’s help-seeking behavior, women were found to have been socialized and subjugated into a gender role (M. Y. Chiu, 2004). The pervasiveness of the impact of culture on the ability of women to cope with difficulties is reflected in their attribution of difficulties faced by the family to their personal inadequacies as wives and mothers, a sure sign of low self-esteem. For instance, a wife faced with her husband’s infidelity is likely to blame herself for not being a good wife, and a mother of a child with behavioral problems is likely to blame herself for not being a good mother. Consequently, it is thought that the more inadequate a woman perceives herself to be, the more likely she is to shoulder the blame for all the “failures” in her life, and the less likely she is to seek external help, creating a vicious cycle of dwindling self-esteem. In education and counseling, women have to be helped to extricate themselves from a gender role and to become more self-assertive.

The Future of Gender Equality in China

THE FUTURE OF GENDER EQUALITY IN CHINA From the Old to the New It is sometimes lamented that the human nature of Chinese women, having lived for thousands of years in male-centered society, has been systematically smothered (Fang, 2000). However, the notion that men are superior to women has been eroded over time through social, economic, and political changes. These changes, combined with growing self- and gender-awareness, are gradually enabling women to emerge from the cocoon of feudal and traditional gender roles. From the perspective of national development, it is simply not practical to exclude half of the population from the workforce and still expect to be a strong nation. Therefore China is witnessing the emergence of a bourgeois concept of the value of women based on gender equality in marriage, in the household, in educational opportunities, and in participating in government (Li, 2000). In the quest for gender equality, women have come a long way. The over-throwing of feudalism is but a first step in the liberation of women from the traditional bondage of the gender role of devoted spouse, dutiful wife, and exemplary mother. However, in an analysis of contemporary literature, movies, and TV drama series, it was shown that traditional gender roles are still being upheld, and that gender oppression and gender discrimination are still very much in existence (Lin, 2000). This view was supported in a quantitative analysis of gender stereotypes and media awareness in Hong Kong, in which it was found that there was still powerful social pressure to cast men and women in standardized sex roles (Fung & Ma, 2000). A hopeful sign is found in contemporary Chinese feminist literature displaying a new feminine discourse hitherto unseen in traditional Chinese literature (Lin, 2000). A study on the female role orientation of Chinese women found them to be at a crossroads between modernism and traditionalism (Sin & Yau, 2004). On the one hand, economic changes have brought them financial independence, and modernization has implanted the seeds of social independence in them. On the other hand, they are still bound to the traditional role of women as prescribed by the Confucian precepts emphasizing obedience and respect for elders and sacrifice and devotion to family. The emerging female role orientation therefore revolves around the concept of self-identity rather than gender-identity, and treads a delicate line between the old and new, the traditional and the modern, and independent and interdependent construals of self.

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Hopes and Expectations Under the influence of modernization, Chinese women have been inspired to free themselves from bondage and become self-sufficient individuals. However, this runs contrary to the expectations of men as far as marriage is concerned. Modern Chinese men still expect that their wives to be devoted and dutiful towards them, to assist but not interfere with their lives, and to sacrifice themselves (including their personal identities, comforts, and career aspirations) for their children. Therefore, in modern-day China, men and women are probably undergoing a difficult period of reconstructing gender roles and readjusting gender relations. It is also possible that in the face of the new female culture, traditional gender relations may collapse (Lin, 2000). Similar sentiments were reported in research examining the differences between hopes and expectations of gender equality in Canadian and Chinese university students (McKeen & Bu, 2005). It was found that although there was an overall shift towards stronger support for gender equality, the percentage of Chinese women who hoped for gender equality in marriage and at work was lower than that of all other groups in the study: 85% of the Chinese women hoped for equality in the sharing of housework and childcare, but only 50% expected their hope to be realized. About 50% of the Chinese men in the study hoped to share housework equally with their wives, but expected their wives to take on more responsibility for childcare. It would seem that with respect to gender equality, there is still a significant discrepancy in the domains of attitude and behavior. When surveyed, most men and women showed positive attitudes toward gender equality, but in terms of actual behavior, both genders were still bound to the concept of “men for the exterior and women for the interior,” and expected that women would assume more responsibility for housework. To bring about gender equality, some fundamental solutions, such as changing the attitude of son preference through mass education, banning the use of prenatal sex identification techniques, strictly enforcing laws prohibiting infanticide and abandonment of female children, enhancing family planning programs to prevent unplanned pregnancies, and replacing the current one-child policy with a two-child policy have been put forward (Zeng et al., 1993). However, it will take more than planned fertility alone to overthrow the tradition of gender inequality which has existed in China for centuries (Chow & Chen, 1994). Chinese women will probably need help to formulate a more independent construal of self, to appreciate the uniqueness of their gender, and to see themselves as, to paraphrase Chairman Mao, holding up half the sky.

Review Questions

Indeed, the inevitable tide of modernization, urbanization, and westernization has broken many of the psychological, emotional, and moral manacles that tradition has placed on Chinese women. A concerted effort should be made to distinguish between gender roles and social and family roles, and between gender-identity and self-identity, in preparation for a journey to selfactualization for both sexes.

REVIEW QUESTIONS 1. What is the role of the female in a Chinese society? What has been her social psychological niche? 2. Are the traditional gender roles imposed on Chinese women still valid today? 3. What is the current state of gender inequality in China? Where can it be seen? 4. What is the impact of the one-child policy on gender equality in China? 5. What are the ostensible reasons for son preference in China? 6. How and why are male children favored over female children in the Chinese culture? 7. What has the source of self-esteem been for Chinese women? 8. What are the changes, if any, in female gender roles in China? 9. What are some of the distinguishing features of Chinese female psychology? 10. How can women in China best take advantage of social and economic changes to acquire gender equality?

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9

Chinese Emotions

CHAPTER CONTENTS Introduction What is Emotion? Traditional Chinese Categories Other Definitions Culture and Emotion Sociotypes, Beliefs, and Rules The Universality of Facial Expressions

Characteristic Features of Chinese Emotion Lexicon Chinese Conception of Emotion Emotional Moderation Social and Psychological Functions of Emotion in the Chinese

Universal Dimensions of Emotion

Chinese Expression of Specific Emotions

Cognitive Model of Emotions

Shame

Independent and Interdependent Construal of Self

Anger

Emotional Regulation Synopsis of Culture and Emotion

Love Other Emotions Emotion and Health Conclusion Review Questions

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INTRODUCTION The Chinese are not known to be soft-spoken. In fact, the celebratory dinners in restaurants or even casual gatherings of friends and family can become extremely raucous. However, at negotiation tables, the Chinese face has been described as inscrutable or expressionless. In romantic relationships, the Chinese have been described as being incapable of expressing feelings of love. These observations have led some people to wonder: Are the Chinese contentious by nature or do they tend to hide their feelings? Do the Chinese value emotional moderation or are they simply incapable of expressing emotion? What is behind the inscrutable Chinese face at negotiation tables? This chapter attempts to address these and other issues and to clarify some of the myths regarding Chinese emotions.

WHAT IS EMOTION? Traditional Chinese Categories Chinese people habitually use the “seven emotions and six desires” (qi qing liu yu, 七情六慾) as a general designation for emotions. However there are divergent opinions as to what constitutes these seven emotions and six desires. In the chapter entitled “The Conveyance of Rites” (Li Yun, 禮運) in the Book of Rites (Li Ji, 禮記), the seven emotions are identified as joy, anger, sadness, fear, love, hate, and desire. A somewhat different list is found in the volume on “Common Questions” in The Yellow Emperor’s Classic of Internal Medicine (Huangdi Neijing Su Wen Pian, 黃帝內經素問篇), namely joy, anger, worry, overthinking, sadness, fear, and fright. The six desires were first outlined in a classical text entitled The Lushi Spring and Autumn Annals (Lushi Chunqiu, 呂氏春秋), and they are the desires to live, to avoid death, to taste, to see, to hear, and to smell. However the Buddhist classic, The Way to Great Wisdom (Da Zhi Duo Lun, 大智度論), refers to six desires that people have for the opposite sex, namely sexual intimacy, pleasant looks, presentable manners, a melodious voice, soft skin, and general desirability.

Other Definitions Emotions have been defined from social, biological, psychological, cognitive, and behavioral perspectives. The following list comprises a selection of definitions from these various perspectives:

What is Emotion?

• Emotion is defined as a set of prewired internal processes of self-maintenance and self-regulation, and is universal in nature (Ekman & Friesen, 1971; Ekman & Oster, 1979). • Emotions are construed as the manner in which the body’s responses to important social occurrences are interpreted, with these interpretations providing guidance to behavior (Bond, 1993). • The social dimension of emotion is important in that situations have to be appraised with respect to one’s well-being and one’s readiness to act for the preservation of that state of well-being. Additionally, when communicating an emotion or acting on it, appropriate regulation is called for as it forms the basis of social competence (Cole, Bruschi, & Tamang, 2002). • From the cultural dimension, emotions are seen as the products of mutual labeling and persuading between people, and also of justifying behavior. Therefore, emotions are a product of social life, and it is a social, not individual, achievement for emotions to have meanings (Lutz, 1988). • An emotion is not a thing, but is rather a process that involves a sequence of components, including situational antecedents of emotion (i.e., what events occurred to bring about the emotion); its cognitive antecedents (i.e., how the events are appraised); the facial and vocal expression of emotion; the physiological or somatic component (such as an increase in heart beat); emotional behavior in a social context (such as the level of intensity and expressional forms that are deemed to be appropriate); and the influence of emotion on subsequent cognitive performance. The importance of cognitive mediators in particular is accentuated (Russell & Yik, 1996). A good example of a cognitive mediator is found in the Chinese word for pride (jiao ao, 驕傲). Since pride carries a connotation of hubris, the Chinese, who value humility and moderation, rarely judge pride as an emotion that they would like to experience (Sommers, 1984). • Emotional traits are formed by the combination of genotype and sociotype (Averill, Chon, & Hahn, 2001). Genotype refers to basic emotions as remnants of our biological heritage, and these are encoded in the gene pool of our species. Sociotype refers to social systems of behavior or institutionalized patterns of response that are essential for the survival of a society, and these are embedded in the symbols, artifacts, and customs of a society. Emotions can thus be said to represent the values of society. Compared with emotional states, emotional traits are relatively more enduring predispositions. Emotional traits are not outwardly discernible; those things which are observable are emotional symptoms and emotional responses. To understand emotional symptoms, we turn to emotional syndromes which are made up of social rules and existential beliefs.

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Research on emotion is voluminous. The short discourse selected above is presented simply for the purpose of illuminating the fact that to uncover the uniqueness, if any, of Chinese emotions, it might be pertinent to conduct the investigation from the universal, social, and cultural dimensions.

CULTURE AND EMOTION Sociotypes, Beliefs, and Rules With reference to the notion of sociotype, it has been demonstrated that the emotional life of individuals is influenced by culture in two crucial ways (Averill, Chon, & Hahn, 2001). The first is through the social systems of behavior, which have a direct bearing on emotional traits, and the second is through the social rules and beliefs that form the basis of emotional syndromes and regulate emotional expression. In other words, it can be said that equivalent expressions of basic emotions in different cultures can only occur when the social systems of behavior, beliefs, and rules of those cultures are the same. However this view of the universality of emotional expression between cultures, or lack thereof, is contentious rather than unanimous.

The Universality of Facial Expressions The chief proponents of universality, Ekman and Friesen (1971), expressed the view that the expressions of basic emotions such as happiness, sadness, anger, surprise, disgust, and fear were equivalent in all cultures. Specifically, they put forward the notion that facial expressions were innate, or biologically hardwired at birth. In later research, it was concluded that there was universality for the facial expressions of happiness, anger, disgust, sadness, and combined fear– surprise (Ekman & Oster, 1979). In research involving ten cultures (including the Chinese), the interpretation of facial expressions of emotion was studied, and it was maintained that there was consistent and robust agreement across cultures (Ekman et al., 1987). This agreement was said to be found in both the strongest and the second strongest emotion indicated by a facial expression. It was concluded that any differences in the interpretation of facial expressions were due to the concept that universal facial expressions could be masked as a result of display rules (Ekman et al., 1987; Ekman, Sorenson, & Friesen, 1969). Hence it was concluded that facial expressions are simultaneously universal in terms of the muscular displays of each emotion and culturally variable in terms of the antecedent events, mechanisms of coping, past memories, and so on.

Culture and Emotion

In another study involving the recognition of facial expressions of emotion, subjects were presented with posters showing people of both Japanese and Caucasian descent posing the emotions of anger, contempt, disgust, fear, happiness, sadness, and surprise (Huang et al., 2001). The results showed that the recognition scores of Chinese subjects viewing the posters of Japanese people posing anger and disgust and Caucasians posing fear were significantly lower than the recognition scores of Caucasian subjects who viewed the same posters. In other words, the Chinese subjects apparently had more difficulty in correctly recognizing the emotions of anger, disgust, and fear. Based on these findings, several postulations were made. Firstly, in daily life, negative emotions are expressed as a mixture of emotions rather than as single, discrete emotions, and are thus more difficult to recognize singly. This is a particularly valid observation from a linguistic point of view and can be demonstrated by a cursory examination of the Chinese language. In a semantic analysis of set phrases in Chinese (cheng yu, 成語), it was shown that such set phrases representing emotions do not necessarily describe a single facial expression (Ye, 2004). For instance, the Chinese set phrase of “losing one’s composure” (jing huang shi cuo, 驚慌失措) describes a mixed facial expression of surprise, panic, and anxiety. From this, it might be surmised that experiments in which respondents are asked to pair facial expressions with single words describing singular emotions ignored important linguistic evidence. Different conclusions might have been drawn if language, culture, and folk theories had been taken into account in the study of facial expressions. Secondly, it was suggested that perhaps when Asian subjects view certain emotional expressions (particularly negative ones), they tend to use different cues from the faces on the posters as compared with their Caucasian counterparts. Thirdly, negative emotions are not welcome in the Japanese culture, so perhaps the Japanese subjects were reluctant to label an emotion as negative. Since the Japanese and Chinese have historically been similarly influenced by Confucianism, these findings might apply to the Chinese as well. Hence, it was concluded that there is indeed a profound cross-cultural difference in the perception of facial expressions of emotions.

Universal Dimensions of Emotion Studies of facial and vocal expressions of emotion have produced apparent support for the universality experience, but cultural differences also exist (Russell & Yik, 1996). It has been suggested that there is no universal categorization of emotions, based on the observation that different emotions appear to be recognized in different languages (Russell, 1991). In other words, there are some words for emotions that exist in English but not in other languages;

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conversely some languages have words for emotions that have no equivalent in English. Thus, using English words for emotions as templates in cross-cultural emotion recognition studies may play a role in subsequent cognitive processes. In fact, facial expressions and emotions can occur independently of each other, and semantic categories of emotions are neither universal nor do they convey precisely the messages intended by the facial expressions (Russell, 1995). Russell (1995) also addressed the issue of hypo-recognition and hyperrecognition of emotions as another source of cultural variance in the recognition of emotions. He used the expressions of depression and shame in the Chinese language as examples. Depression is hypo-recognized in Chinese as there appears to be a lack of precise vocabulary to describe it. Shame, on the other hand is hyper-recognized in Chinese, and can be arranged along a continuum from the least to the most intense feelings of shame (Wilson, 1981), including feeling uneasy (xin li bu shu fu, 心裡不舒服), feeling embarrassed (bu hao yi sh, 不好意思), feeling that one has lost face (diu lian, 丟臉), feeling ashamed (can kui, 慚愧), and feeling ashamed and angry (xiu fen, 羞憤). In a different study, 113 shame-related words were identified in Chinese (Wang & Fischer, 1994). Further evidence of the hyper-recognition of shame in Chinese culture was revealed in the finding that most, if not all, preschool Chinese children understood shame by the age of two-and-a-half years, whereas only 10% of 3-year-old American children understood the term “ashamed” and 16.7% the term “embarrassed.” On the basis of the foregoing observations, it has been suggested that it might be broad, bipolar dimensions of emotions rather than single, discrete emotions that are pancultural. To this end, the sets of relations that existed among various emotional concepts were examined, and a two-dimensional circumplex was designed in which emotion-related words fell roughly in a circle in a space with axes interpretable as pleasure–displeasure and arousal– sleepiness (Russell, 1983). Figure 9.1 contains an example of this configuration. This proposition was followed through and a two-dimensional configuration was used to measure the perception and interpretation of facial expressions in a group of Chinese undergraduate students (Chan, 1985). The two dimensions were the pleasantness–unpleasantness axis, which could also be interpreted as relaxation–tension or attention–rejection, and the open expression–subtle/ controlled/concealed expression of emotions. Chan (1985) proposed that the second axis be changed to degree of control rather than degree of arousal, and added a third dimension called direction, referring to whether the subject’s attention was directed inwardly at the self or outwardly at the environment. Russell (1991) carried out a study based on Osgood’s (1969) assertion that human beings respond to objects and events in their world in terms of the

Culture and Emotion

aroused exhilirated

scared

delighted pleasant

angry

happy

annoyed unpleasant depressed

satisfied calm

bored at ease

tired sleepy

Figure 9.1

A two-dimensional circumplex of emotions

three basic bipolar affective dimensions of pleasant/unpleasant, controlled/ uncontrolled and activated/unactivated. He identified the three dimensions of emotions as pleasure–displeasure, dominance–submissiveness, and arousal– sleepiness. Of these three, the pleasure–displeasure dimension appeared to be the most easily recognizable. The dimension of dominance–submissiveness emerged when the words emphasized interpersonal contexts. The dimension of arousal–sleepiness emerged when the words were non-interpersonal.

Cognitive Model of Emotions The influence of culture on emotions was examined through the cognitive model of emotions (Mauro, Sato, & Tucker, 1992). This model claims that appraisals of the environment appear to constitute the major components of emotional responses. Although all organisms are capable of performing simple appraisals, such as noticing that something in the environment has changed, only human beings are capable of complex appraisals, such as evaluating the degree to which one’s outward behavior conforms to social norms and standards. Furthermore, this model tries to align the pan-cultural and culturespecific arguments by contending that both similarities and differences in emotional responses lie within the cognitive appraisal of preceding events, rather than the emotions or emotional categories themselves. In other words, the perceived cultural differences in emotional responses can be understood as cultural differences in the cognitive appraisal of the preceding events.

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On the basis of the cognitive model, it was found that cultural variance in emotional responses to events could occur in at least three ways. Firstly, members of one culture could simply evaluate an event differently from members of another culture, with the different evaluations resulting in different emotional responses. For example, if a subordinate of Chinese descent was openly criticized in the workplace by a superior, he might not demonstrate any outward emotional response, having come from a collectivistic culture with an inbred respect for authority and in-group harmony. His American counterpart, having come from an individualistic culture, would not be subject to such cultural constraints, and might demonstrate a variety of emotional responses ranging from dismay to outrage. Secondly, the cognitive appraisals considered important in one culture might be viewed as being less important in another culture, so the resultant emotional responses might also be different. Again taking the aforementioned example, an American subordinate might not attach any importance to being criticized by his superior, not having come from an other-oriented culture like his Chinese counterpart. Consequently, the American might simply shrug such criticism off, whereas the Chinese person might show emotional responses in the hope of redeeming himself in the eyes of his superior. Thirdly, members of two cultures may come across the same events, evaluate them in a similar fashion, and even experience what they consider to be the same emotions, but their emotional experiences may in fact be different. On the basis of these three premises, Mauro, Sato, and Tucker (1992) found few differences between cultures in the more primitive dimensions of cognitive appraisal such as pleasantness, attentional activity, certainty, coping ability, and goal/need conduciveness. They also concluded that there might be a set of pan-cultural basic dimensions of cognitive appraisal, in which similar emotions would result from similar appraisals. To take this conclusion one step further, it would then become possible to predict to some extent the emotions that would be felt towards certain events on the basis of the cognitive appraisals of these events.

Independent and Interdependent Construal of Self Through the construal of self, the relationship between culture and emotion can be further elucidated (Markus & Kitayama, 1991). Construal of self is helpful in the regulation of both intrapersonal and interpersonal processes. Intrapersonally, it is useful in processing information relevant to oneself, regulating affect, and motivation. Interpersonally, it is useful in person perception, making social comparisons, and seeking and shaping interpersonal interactions.

Culture and Emotion

Construal of self is divided into two types: independent and interdependent. Independent construal of self comprises several features. Firstly, it involves viewing oneself as an individual whose behavior becomes organized and takes on meaning by referring to one’s own internal gamut of cognition, affect, and behavior, and not that of others. Secondly, the ultimate goals of independent construal are self-actualization, self-realization, and developing one’s unique potential. Thirdly, an individual’s responsiveness to social situations is not for its own sake, but is an instrumental use of social situations as benchmarks against which the individual can verify and affirm his/her inner core. People from individualistic cultures such as the Unites States are likely to fall within this category of self-construal. The interdependent construal of self, on the other hand, is something entirely different. Being interdependent involves viewing oneself not as an independent entity, but as an integral part of a network of social relationships. In this sense, a person’s behavior is determined by and organized around what he/she perceives to be the gamut of cognition, affect, and behavior of others in the relational network rather than his/her own. Other people are therefore important actors providing social comparison and social validation in an interdependent formulation of the self. What is crucial in an interdependent construal of self is not an individual’s inner core, but the kind of relationships the individual has with the other actors. Therefore, in many social spheres, in order to come into alignment with the primary dictates of interdependence, an individual’s opinions, abilities, and characteristics have to be regulated and subjugated. People from collectivistic cultures, such as China, are likely to possess interdependent construals of self. Possessing an interdependent view of self does not necessarily mean that one becomes enmeshed with others, nor does it mean that one can only function effectively in the company of others. Rather, an interdependent construal of self heightens an individual’s awareness of various interpersonal situations and requires him/her to exercise a high degree of self-control so that he/she can adjust to these situations in order to maintain harmony and equilibrium in interpersonal transactions. In the Chinese, for instance, the nonexpression of private emotions is an example of the exercise of self-control in situations where it is thought that such emotions might be injurious to relational harmony. Self-construal and emotional experiences are closely related. If an emotional experience has implications for the self, the outcome of this experience is dependent on the type of self-construal. This is because an emotional experience depends on the construal of the situation, which is

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derived from the construal of self, others, and the relationship between the two. The experienced emotion in turn changes and transforms the nature of the social situation, prompting the individual involved to engage in certain actions. Based on this model, people from different cultures tend to express emotions differently, or even express different emotions in seemingly similar social situations. For instance, in an individualistic culture where self-construal tends to be independent, the emotions expressed are likely to be ego-focused, that is to say, they have the individual’s internal attributes as referents. These emotions may include anger, frustration, and pride. As such emotions are likely to result in interpersonal conflict and confrontation, and will probably be in contradiction with the maintenance of interdependent social interaction, they tend to be avoided by the interdependent self. Therefore, for cultures where self-construal tends to be interdependent, other-focused emotions, which use another person as the primary referent, are more often expressed. These emotions, which include sympathy, feelings of interpersonal relatedness, and shame, tend to foster the person’s sense of interdependence, and enhance further exchange of good intentions, resulting in increased cooperation and interpersonal harmony. In the process, the interdependent self is significantly validated. The important issue is therefore not whether cultures agree or disagree on how emotions are categorized, or expressed, or not expressed; the focus is, rather, on the differences in the construal of self between cultures and how this affects the nature of the emotional experience, which in turn redefines the social situation. This view was echoed in a study of rural village life in China, where the variance in Eastern and Western emotional experience was attributed to different ways of viewing the relationship between the individual and the social order (Potter, 1988). In a Western culture, the individual is required to support the social order by reference to his/her inner feelings. In the Chinese culture, the individual is required to contribute to the continuation of the existing social order irrespective of his/her inner feelings. The traditional Chinese culture is, without doubt, interdependent and hierarchical, and publicly utilizes positive emotional expressions to maintain and enhance interpersonal harmony (Markus & Kitayama, 1991). Nevertheless, such public displays should not be construed as indicative of the actors’ inner feelings, as it is important for those with interdependent self-construal not to have intense feelings of ego-focused emotions, such as anger, which are taken to be disruptive to social harmony and interdependence.

Culture and Emotion

Emotional Regulation By utilizing Hofstede’s (1980) four dimensions of power distance, uncertainty avoidance, individualism, and masculinity, the cultural differences in the perception of emotion were examined (Matsumoto, 1989). In terms of power distance, it was suggested that for cultures such as China, which scored highly in this respect, power differences need to be emphasized to establish social order. These cultures, which are hierarchical, also emphasize the importance of groups to which individuals belong. Consequently, the expression and perception of negative emotions may well be viewed as threatening to the social order, and are therefore often attenuated. With respect to uncertainty avoidance, China is classified as high on uncertainty avoidance and is characterized by the formation of institutions and social networks to deal with the fear of uncertainty. An observable consequence is that the Chinese may tend not to recognize fear, and when it is expressed or perceived, may tend to play down its intensity. In terms of individualism, it was observed that cultures which are low on individualism, such as China, do not emphasize individual uniqueness. The expression and perception of negative emotions which are attributed to individual differences are, therefore, not encouraged, and may even be frowned upon. Later, it was contended that there are cultural differences in the processes of emotional regulation (Matsumoto, 2006). There are two ways to conceptualize emotional regulation: in one, emotions are viewed as regulators of intrapersonal and interpersonal processes, and in the other, emotions are viewed as being regulated. Matsumoto was interested in the second form of emotional regulation. He noticed, for instance, that in collectivistic cultures such as China, where values such as obedience, conformity, and ingroup harmony are emphasized, individuals tended to downplay those emotional expressions which threatened ingroup harmony and encourage those which enhanced harmony. Again, in such collectivistic cultures that emphasize status and power differences, emotional expressions which threaten this differential are normally discouraged.

Synopsis of Culture and Emotion While there is substantial support for the theory that emotion is a set of prewired internal processes of self-maintenance and self regulation and is universal in nature, there seems to be equally strong support for the cultural specificity of emotion. Research in the former camp has primarily centered around the facial expression of emotion, while that in the latter camp has looked at emotion from

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a variety of angles, including dimensions (as opposed to discrete categories) of emotion, models of self-construal, cognitive components of emotional experiences, emotional regulation, and so on. Evidence from both camps points to two things: the existence of universality in the muscular display of emotion; and cultural specificity in the antecedent events, mechanisms of appraisal/ construal/coping/regulation, and the emotional experiences themselves. The following section takes these views into consideration and attempts to identify the characteristic features of Chinese emotions.

CHARACTERISTIC FEATURES OF CHINESE EMOTION The Chinese face has been described as inscrutable. The Chinese are said to be unemotional, or to lack the language to express their emotions. The Chinese are believed to be very adept at keeping their emotions under control. Is there any element of truth in any of these statements? Let us begin with language.

Lexicon Chinese idiographs are composed of parts (radicals) which reveal something of the character’s origin. Russell & Yik (1996) found 81 emotion-related words, of which 51 include the heart radical, 心 (xin), e.g., 怒 (nu, anger), 恕 (shu, forgiving), 忌 (ji, forbidding), 悲 (bei, sad), 惡 (wu, dislike), 慾 (yu, desirous), 情 (qing, feeling), 憤 (fen, fury), 恨 (hen, hate), 憎 (zeng, abhor), 懼 (ju, fearful), and 怕 (pa, afraid). This indicates the importance of the heart in Chinese emotion, as the heart is regarded as the center governing or integrating all psychological functions. Of particular interest is the abundance of words describing varieties of guilt, shame, and embarrassment. 150 such words were found, of which 113 were shame-related, while there were only a few dozen equivalent words in English (Wang & Fischer, 1994). This may indicate a proclivity towards the hyper-recognition of shame and guilt over other emotions in the Chinese culture. Words and set phrases for emotion are often metaphoric, and some frequently used ones are listed here: • For joy and happiness: suffused with excitement (xing chong chong, 興沖沖); bubbling with excitement (xing zhi bo bo, 興致勃勃); intensely-colored excitement (xing gao cai lie, 興高采烈). • For anger: anger causing the hair to push up one’s hat (nu fa chong guan, 怒髮衝冠); anger exploding skyward (nu qi chong tian, 怒氣衝天).

Characteristic Features of Chinese Emotion

• For sadness: there is no sorrow like the death of one’s heart (ai mo da yu xin si, 哀莫大於心死); sorrow welling up from deep within (bei cong zhong lai, 悲從中來). • For sadness and worry: so sad/worried that the brows are knitted together (chou mei bu zhan, 愁眉不展); so sad/worried as to be enveloped in sad clouds and a miserable fog (chou yun can wu, 愁雲慘霧). • For desires: burning with desire (yu huo zhong shao, 慾火中燒). • For fright and fear: soul-shaking fright (jing xin dong po, 驚心動魄); fearful as a bird about to be shot at any moment (jing gong zhi niao, 驚弓之鳥); so frightened that one’s hair is standing on end (mao gu song ran, 毛骨悚然). From a lexical point of view, there does not seem to be any shortage of emotional expressions or emotional descriptors in the Chinese language which would suggest any widespread emotional deficiency or debility in the Chinese (Leung, 1988). So why are the Chinese seen as inscrutable, emotionally unexpressive, or even repressed? A possible key to this mystery may lie in the Chinese conception of emotion.

Chinese Conception of Emotion In a Chinese society, it is often behavior, not emotion, that affirms social order, therefore emotions do not legitimize behavior and are irrelevant to the Chinese (Potter, 1998). When a social experience is described by the Chinese, the emphasis is usually on the somatic and interpersonal aspects, and the emotional element is relegated to the status of the concomitant. The opposite is true of Westerners, who do not assume emotions to be unimportant concomitants, but instead tend to derive the structure and meaning of a social experience from the emotions of the person having the experience. Emotions perform a much larger social role in Western cultures, and a person’s emotions are regarded as instruments for initiating, maintaining, or ending relationships, whereas in Confucian cultures, emotions are limited to responses to occurrences and only influence the individuals concerned (Bagozzi, Wong, & Yi, 1999). In other words, in attempting to understand the “inscrutability” or low emotional expressivity of the Chinese, the focus of research should perhaps be shifted away from their level of expressivity and towards the importance they attach to emotional expression in social experience. For one thing, the relegation of emotion to a concomitant status is not equivalent to the nonexpression of emotion, although people who do express their emotions do not expect this to help them to achieve any end, nor do they expect it to bring about

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negative ramifications (Potter, 1988). Similarly, when physiological aspects of emotional responses were measured, no significant differences between European Americans and Chinese Americans were found (Tsai & Levenson, 1997). However, in the domain of self-reported affect, Chinese Americans showed less variability, thus supporting the notion of emotional moderation in the Chinese. Furthermore, it was found that the more acculturated the Chinese Americans were to mainstream European American culture, i.e., the more “unChinese” they had become, the less likely they were to demonstrate emotional moderation. What is culturally specific is therefore not the level of expressivity, but the time-honored notion of emotional moderation.

Emotional Moderation Chinese responses were found to be typically distinguished by lower frequency, intensity, and duration. This is thought to be related to Chinese beliefs about emotions (Bond, 1993). Klineberg (1938) was one of the first Western scholars to point out that the Chinese believe emotion to be dangerous, value moderation in all manners, and emphasize social harmony over personal expression. Traditional Chinese medicine (TCM) refers to Chinese emotions in terms of the functions they serve (Leung, 1998). TCM embraces the stance that excessive emotions damage the functions of the organs and cause disease by upsetting the physical balance in the body. In The Yellow Emperor’s Classic of Internal Medicine, it is said that life itself is endangered when there is too much joy and anger, and the cold and heat in the body become excessive (Veith, 1972). Emotional moderation is practiced for the preservation of physiological equilibrium, and is also in line with Confucian teachings that emphasize moderation in all aspects of life. Children are taught to control their impulses from a very young age, and a lack of emotional moderation reflects poorly on the individual and his/her parents. It is therefore not surprising to find that the Chinese have many rules about emotional restraint. In a cross-cultural comparison of 33 common rules governing relationships, it was found that the East probably has more rules about restraining emotional expression than the West (Argyle et al., 1986). There is also converging evidence that East Asians tend to be more reserved (or introverted) than Westerners, and that emotional expression is more subdued in the East than in the West (Averill, Chon, & Hahn, 2001). Apart from the issue of maintaining physiological equilibrium, this characteristic is also thought to be the result of socialization processes in the East, whereby the interests of the individual are subordinated to those of the collective. In fact, the careful regulation of emotional expression of the Chinese is out of concern about its

Characteristic Features of Chinese Emotion

capacity to disrupt group harmony and status hierarchies (Bond, 1993), so the Chinese place the utmost importance on social relationships and go to great lengths to maintain harmony within the collective (Markus & Kitayama, 1994). Members of a group avoid disharmony by monitoring the expression of extreme emotions which might upset the stability of social relationships. In essence, in collectivistic cultures such as China, emotions are often regulated by interpersonal relationships, and interpersonal relationships are in turn regulated by emotions much more than they are in individualistic cultures. The types of emotion expressed by the Chinese and the way in which they are expressed are determined much more by authority and role relationships than individual feelings. (Ho, Fu, & Ng, 2004). In the same vein, it is surmised that the Chinese see social structure as a continuous entity which is independent of the self, and believe that emotions, however experienced, bear no relevance to the creation and continuation of social institutions (Potter, 1988). Hence, the Chinese disapprove of excessive emotional expressivity, believing it to be non-conducive to good health and non-instrumental in solving interpersonal conflicts or maintaining interpersonal harmony. The Chinese are viewed as operating within an interconnected web of relationships, and there are various factors supporting the practice of emotional restraint, including the need to maintain interpersonal harmony within the collective, face concerns, personal cultivation of virtues, and the attainment of goals (Qu & Zhang, 2005). Additionally, as a collectivistic culture, the Chinese are more likely to experience other-focused rather than self-focused emotion. Emotional moderation in the Chinese, as illustrated in their tendency to take concrete measures to deal with problems rather than attend to their internal emotions, is described as a practical situation-oriented cognitive style in which issues are externalized (Kleinman, 1986). Another divergent view states that instead of judging East Asians as tending to deny emotions, one can perhaps view them as placing greater emphasis on emotional refinement and transformation (Averill, Chon, & Hahn, 2001). Apart from emotional moderation, a further distinction between the East and West is that in the West, emotions are deemed to be personal and private, and are a critical component of social experience. Personal emotions play a crucial role in the formation, perpetuation, and dissolution of social relationships. In Confucian societies such as China, emotional life is anything but personal. The way emotions are induced, construed, perceived, and expressed is contingent upon the relational context in which the individual finds himself but has no control over, and thus there is no privacy to speak of (Ho, Fu, & Ng, 2004). The personal self (inclusive of emotions) is expected

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to be sacrificed in the service of the collective self (xi sheng xiao wo, cheng quan da wo, 犧牲小我, 成全大我). Therefore, the stereotypical views of the Chinese as inscrutable or choosing not to recognize or express emotions (particularly dysphoric ones, which are seen as shameful) may perhaps be oversimplified. A more comprehensive view can be gained by considering the perspectives outlined above, especially the contention that the Chinese see emotion as idiosyncratic and of no significance in the creation, maintenance, and dissolution of relationships (Potter, 1988).

Social and Psychological Functions of Emotion in Chinese The Chinese have been observed to use dimensions similar to those used in other cultures for understanding emotion-eliciting events. These dimensions include pleasantness, certainty, ability to cope, and conduciveness to goals (Mauro, Sato, & Tucker, 1992). What differentiates the Chinese from western cultures is the function that emotion is seen to serve. As a collective culture, the Chinese exhibit a high score on power distance and a low one on individuality, and place great importance on maintaining stability, harmony, and solidarity within the group. Emotional moderation or regulation is valued for its capacity to aid in the maintenance of group harmony and status hierarchies (Bond, 1993; Leung, 1998), and outbursts of emotion are discouraged because of the potential danger they pose. Chinese people view negative emotions as generated by socially disengaging behavior in which personal interests are emphasized over the interests of others. For instance, if a child is angry at his mother for making him do his homework instead of letting him watch television, he is seen as emphasizing his own interests (i.e., relaxing and enjoying television entertainment) over the interests of his mother (i.e., being a good custodian and urging her child towards academic achievement). The child’s behavior can be interpreted as non-filial and disruptive to the mother–child relationship, and is consequently frowned upon and discouraged. The child is made to feel “wrong” for expressing his anger. Positive emotions, on the other hand, normally accompany socially engaging behavior, indicating sensitivity to the needs of others. For instance, if, upon returning home from school, a child immediately does his homework without any prompting or urging from his mother, he is seen as a good and obedient boy who brings joy and pride to his mother and does not cause her any grief. The child’s behavior is conducive to mother–child bonding, is highly praised and rewarded. Thus the child is impelled to behave in socially engaging ways in order to elicit positive emotions and to control or conceal socially disengaging behavior so as not to elicit negative emotions.


Socially engaging behavior and the accompanying positive emotions bring about harmony, stability, and solidarity in relationships. Socially disengaging behavior and the accompanying negative emotions bring about confrontation, disharmony, instability, and change. Therefore, the non-expression of emotions and the non-assertion of one’s desires may be identified as cultural defense mechanisms, as they protect the individual against intrapsychic anxiety for disrupting interpersonal harmony and stability (Chung, 2006).

CHINESE EXPRESSION OF SPECIFIC EMOTIONS Cultural variance is also found in the hypo-recognition and hyper-recognition of emotions (Russell, 1995). Which emotions are hyper-recognized in China, and which tend to be hypo-recognized?

Shame The Chinese self is a relational self whose source of responsibility is in its obligations to relational others, whose standard of morality is subjective or relational, and for whom shame is the mechanism of social control (Bedford & Hwang, 2003). As a social sanction, shame is not a private emotion for the Chinese. When a person fails, he/she not only shames himself/herself, but also all those around him/her. This is one of the apparent indications that the Chinese are more involved in the emotional life of other people than Westerners. As a mechanism of social control, shame is a hyper-recognized emotion in Chinese culture. Both Chinese and other Asian cultures have been noted to encourage the expression of shame because it involves juxtaposing oneself with others and facilitates both relational harmony and respect for authority (Cole, Bruschi, & Tamang, 2002). 113 shame terms were identified and it was discovered that the ten topranked words and phrases for shame were xiu chi (羞恥, shame/disgrace), chi (恥, disgrace), xiu si ba bei zi xian ren (羞死八輩子先人, shame so horrendous that it affects the ancestors for eight generations), xiu si ren (羞死人, ashamed to death), xiu (羞, shyness or shame, depending on context), chi ru (恥辱, disgrace–humiliation), xiu can (羞慚, shame–guilt), zhen bu zhi tian xia xiu chi shi (真不知天下有羞恥事, not knowing there are things to feel shame about), xiu! xiu! xiu! (羞! 羞! 羞!, shame on you!), and man mian xiu can (滿面羞慚, face covered with shame/guilt) (Li, Wang, & Fischer, 2004). These words and phrases seem to signify two points: firstly, that although shame is a selfconscious emotion, it is often expressed and evaluated within a relational

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context; and secondly, that the aversive properties of these words and phrases indicate that shame effectively functions as a social control mechanism. The dominance of shame in Chinese culture is associated with the prevalence of the moral and social teachings of Confucianism. For one thing, Confucianism emphasizes relational harmony, that the capacity to reflect on the morality of one’s own actions is inherently important in maintaining that harmony, and that shame as a self-conscious emotion functions as a social control mechanism, ensuring that there is no transgression of moral codes of conduct. Confucianism regards shame as the individual’s capacity for selfscrutiny and as the motivation for attaining higher moral standards, rather than regarding it as just an emotion. The popular Confucian saying “zhi chi jin hu yong” (知恥近乎勇) means that being cognizant of one’s shame is akin to being courageous, and if a person is perceived as having no sense of shame, then he/she is deemed to be beyond redemption in a Chinese society. Therefore, for the Chinese, there are in fact two categories of shame. The first is the state of shame as experienced by individuals due to their own social and moral failings, and the second comprises reactions to shame as directed at others (Li, Wang, & Fischer, 2004).

Anger It was observed that when Chinese subjects were asked to describe situations involving the expression of anger, they typically referred to situations involving other people and not themselves (Stipek, Weiner, & Li, 1989). This seems to be consistent with other findings that anger as a negative emotion is viewed as being concomitant with socially disengaging behavior in which the angry person is emphasizing his interests over the interests of others, a trait not normally condoned in a collectivistic culture that values other-orientation (Chung, 2006; Yang, 1995). However, the expression of anger is neither inhibited nor prohibited in rural village life in China, including anger expressed towards authority (Potter, 1988). Such anger is usually construed as inappropriate judgment (not inappropriate affect) on the part of the person expressing anger, and the suggested antidote is re-education. The expression of anger appears to be legitimized through a connection with morality. For instance, when a superior scolds a subordinate in anger, the superior does not make reference to his/her anger although he/she ostensibly appears to be angry, but instead focuses on discussing what the subordinate has done wrong. The emphasis of the other’s wrong or inappropriate behavior seems to justify the expression of anger, making it socially permissible. In other words, anger is legitimized when it is expressed in relation to concern for another person’s moral cultivation.


The subtle distinction is that if the expression of anger is associated with one’s discontent at having one’s own interests subjugated to those of others, then it is not socially permissible, because in a collectivistic culture, one is expected to sacrifice one’s welfare for the welfare of the collective; but if the expression of anger is an attempt to right the moral wrong done by another person, particularly if this “other” is subordinate to oneself, then such expression is permissible, if not laudable. Therefore, the expression of anger in Chinese culture has to be carefully packaged, rationalized, and optimized to gain social approval.

Love Despite having been reared in the same culture, Chinese Canadians were rated significantly lower than European Canadians in romantic intimacy (Marshall, 2005). The former also reported experiencing less romantic intimacy in their relationships than the latter. The Chinese Canadians’ gender-role traditionalism also appeared to deter expressivity and hence intimacy in heterosexual relationships. This reduced romantic intimacy further contributed to the termination of the relationships within a shorter span of time. Such findings are not unanticipated given China’s long history of arranged marriages in which romantic feelings of love do not play any part in the choice of marital partners. Traditionally, love has not been deemed important for a successful marriage, but ensuring that the two families are comparable in social and economic status has. Love in a Chinese relationship is the extraneous variable, the element most threatening to the social order. An open expression of love shortens the power distance between parties concerned, making the appropriate maintenance of the relationship difficult. For instance, a wife whose husband openly shows her affection may expect him to favor her relatives over his; consequently the husband may find it difficult to observe the precepts of filial piety towards his own parents. This open show of affection, so common in Westerners, could eventually upset the equilibrium and harmony in a Chinese family. In fact, expressions of love are not necessary to validate a relationship in the Chinese culture. What is crucial is an adherence to work ethics and a willingness to help each other (Potter, 1988). The quality of a relationship is hence often evaluated on the basis of whether the partners are hardworking and working together to build a good home. The importance of human relatedness and productivity overwhelms that of love in Chinese intimate relationships. The Chinese strongly prefer to conceal their love in intimate relationships. Although love is regarded as desirable, it is also viewed as being of little or no social usefulness or even contextually counterproductive (Sommers, 1984).

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With the infiltration of Western notions of love, particularly romantic love, there appears to be less concealment and more expression. However, in the management of interpersonal conflict within a group (such as a family), it is uncertain whether group harmony will be sacrificed for romantic love, or vice versa. Random observations reveal contradictory findings, and empirical research is needed to clarify the state of affairs.

Other Emotions The Chinese tend to associate pride with hubris and are selective in expressing this emotion. The Chinese have been observed to take pride in events that are construed to be beyond anyone’s control, whereas Americans take pride primarily in their own actions (Mauro, Sato, & Tucker, 1992). This is consistent with the findings that a significantly higher number of Americans referred to personal achievement in their description of pride-evoking events (Stipek, Weiner, & Li, 1989). Although the expression of sorrow does not carry any social stigma, when a Chinese individual expresses sorrow, he/she does not expect to receive sympathetic or empathetic responses (Potter, 1988). Chinese children experience more difficulty in recognizing sadness and recognize anger more readily (Borke & Su, 1972; Borke, 1973). Positive emotions are normally viewed by the Chinese as concomitants of socially engaging behavior. Thus the Chinese recognition of happiness tends to be high, while that of fear and disgust tends to be moderate (Russell & Yik, 1996). A lexical analysis performed by Shaver, Wu, and Schwartz (1992) identified six emotions basic to the Chinese. These were happiness, hate/anger, sadness, sad love, fear, and shame, and all except happiness were negative emotions.

EMOTION AND HEALTH Research found that in Cantonese (a dialect spoken in Hong Kong and by the Chinese in the southern part of China), there were significantly fewer words and phrases describing emotional discomforts than physical ones (Kwong & Wong, 1981). Furthermore, for the words describing emotion, more than onethird attributed emotions either to physical origins or to symptoms of a physical nature. There may be a bilateral relationship between language and emotional expressivity in that they have become mutually restrictive. In other words, if there is a limited number of words and phrases commonly used to describe

Conclusion

emotions, and many of these are physically-based, then emotions are likely to be expressed in physical terms, predisposing people to seek physical treatment for emotional maladies. This may be especially true for those with lower educational attainment who know only one dialect or language. In China, it appears that both patients and doctors prefer somatic idioms to psychological diagnoses, as the latter still appear to be stigmatized (Ots, 1990). In such instances, emotional control is not due to conscious awareness or effort, but rather the product of lexical restrictions and social stigmatization. Emotional control has been postulated to be a significant factor influencing disease progression and general prognoses in Chinese cancer patients (Ho, Chan, & Ho, 2004). Patients who exhibit more emotional control and adopt negative coping styles are prone to higher levels of stress, anxiety, and depression. Emotional control also tends to deter the individual from seeking social support, which further induces feelings of loneliness and isolation, culminating in even higher stress levels. A significant relationship between emotional control, especially control of anger, a helpless attitude, and increased anxiety and depression in breast cancer patients has been observed (Watson et al., 1991). Therefore, although emotional control or moderation is a valued trait in the Chinese culture, within the realm of preventive medicine, emotional expressivity would seem to be more beneficial to health.

CONCLUSION In attempting to gain an understanding of Chinese emotions, it would be pertinent to bear in mind that the Chinese culture is characterized by its collectivistic nature, authority-orientation, and other-orientation. The Chinese construal of self tends to be interdependent, and therefore the cognitive appraisal of events, the vocal and facial expressions of emotions, the emotional behavior, and the role of cognitive mediators must be considered within a relational context. Traditionally, the Chinese have adopted a holistic approach to emotional expressivity. From the physiological point of view, it is clearly stated in The Yellow Emperor’s Classic of Internal Medicine that emotional excess is injurious to one’s physical health. The antidote for emotional excess is emotional moderation, which is part and parcel of an individual’s selfcultivation, as advocated in the Doctrine of the Mean, one of the four classical texts comprising the Confucian canonical scriptures. However, with the advent of globalization and modernization, Western precepts about emotion have inevitably affected the Chinese conception of

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emotion, and we are faced with such questions as: What are the social and psychological functions of emotion in the Chinese culture? Will interpersonal harmony continue to be considered so important that only the expression of positive emotions is encouraged and negative emotions are expected to be concealed or controlled? With the observable shift from absolute collectivism to a collectivism imbued with individualism, will the emotional life of the Chinese remain public or become increasingly private and personal? How would possible changes in emotional expressivity impact physical and psychological health? These are all evolving questions that need to be addressed in future research.

REVIEW QUESTIONS 1. The Chinese are said to have an interdependent construal of self. Why? What personal and social functions does such a construal serve? 2. In what sense do the Chinese regulate their emotions? 3. Is the unfettered expression of emotions permissible for the Chinese? 4. Is emotional expressivity encouraged in Chinese children? 5. Do Chinese people possess a spectrum of words wide enough to encapsulate a full range of emotions? 6. Does somatization replace the expression of emotions? 7. Is the often-observed inscrutability of the Chinese related to any form of emotional debility? 8. What is the relationship between health and emotion for the Chinese? 9. What is reflected in the hypocognition and hypercognition of emotion in the Chinese? 10. Compare the expression of shame and guilt in Chinese culture. What are your observations?

CHAPTER

10

Psychopathology and Psychological Wellness in China


Psychopathology in China Today

Traditional Chinese Medicine (TCM)

Koro

The Mind–Body Connection

Neurasthenia

The Legitimacy of the Somatization Claim

Depression

Taoist Influences in TCM

Suicide

The Yellow Emperor’s Classic of Internal Medicine

Alcoholism

Diagnostic Tools in TCM

Conclusion

The Soul/Spirit and Life Force in TCMM

Review Questions

The Association between the Emotions and the Viscera Other Therapies in TCMM Efficacy of TCM and TCMM

Drug Abuse

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INTRODUCTION In this chapter, we begin with the examination of Chinese views towards mental and emotional distress within the context of traditional Chinese medicine (TCM), and attempt to address the issue of somatization tendencies in the Chinese people. Then, moving into the twenty-first century, we will look at the influence of Western biomedicine on the diagnosis and treatment of mental disorders in China, and obtain a sense of what the future holds.

TRADITIONAL CHINESE MEDICINE (TCM) The Mind–Body Connection In Euro-American societies, an individual’s body, mind, and spirit are generally taken care of by medical doctors, human services workers, and the clergy respectively. In traditional Chinese societies, the practitioners of traditional Chinese medicine (TCM) take a holistic view and assume responsibility for all three aspects, as in their frame of reference a problem is not defined as being purely physical, psychological, or spiritual. Indeed, TCM has always been characterized by the absence of a Cartesian dualistic model of mind and body in which it is posited that emotions arise from two sources, namely the intellect (Passion of the Soul) and the body (Passion of the Body). In studies of the psychopathology of the Chinese, Western-trained psychiatrists (e.g., Kleinman, 1980, 1982; Lin & Kleinman, 1990) have concluded that there is a tendency in the Chinese towards somatization, but such a conclusion only seems to have validity when it is drawn on the basis of a Cartesian dualistic model. When one looks at Chinese psychopathology from the viewpoint of a holistic model, the validity of such a conclusion becomes arguable. In fact, it is of interest to note that in a study of the somatization patterns in depressive patients, it was found that regardless of culture, depressed patients were more inclined to experience an influence labeled “somatosensory amplification” (Parker, Cheah, & Roy, 2001). In a study of Chinese immigrants to the United States, further support was found for the somatosensory amplification model, which asserts that a high level of distress is associated with an increase in the level of sensitivity to symptoms (Mak & Zane, 2004; Canino et al., 1992). Therefore it was concluded that the so-called somatization tendencies among patients of Chinese descent could simply be a sensitized response to increased distress and psychological stressors, rather than a culture-specific response of choosing to express problems of a psychological origin in somatic terms. The absence of a division between body and mind is further evidenced in the way psychological or emotional conditions are referred to linguistically.


For instance, even in everyday Chinese language, all psychological functions appear to be regulated and governed by the heart (xin, 心) (Leung, 1998). Therefore, feeling happy is kai xin (開心, opening of the heart), showing care towards another is guan xin (關心, taking someone to heart), feeling anxious is xin huang (心慌, having mixed and confusing emotions in one’s heart), being worried is dan xin (擔心, feeling a weight on one’s heart), feeling hurt is shang xin (傷心, injury to the heart), and being obsessed is you xin jie (有心結, having a knotted heart). Among 81 Chinese characters found in a Chinese–English dictionary referring to emotions, 51 consisted of the single character for the heart (Russell & Yik, 1996). It is important to note that the holistic approach of TCM does not mean that the psychic side is non-existent in the Chinese. Rather, because of the intricate intertwining of the body and mind, it is basically inconceivable that any change in the status of the body is not accompanied by a corresponding change in the status of the mind, and vice versa (Leung, 1998).

The Legitimacy of the Somatization Claim In a study conducted in 1982, Chinese students were found to be more somatically-oriented and to show greater concern for bodily symptoms when compared with their American counterparts (Kwong & Wong, 1981). In terms of gender, female Chinese students were more concerned about bodily symptoms than male students. The reverse is true for American students. It is postulated that a possible explanation lies in Chinese boys’ upbringing, in which they are taught that they are the stronger sex and must behave stoically in the face of illness, pain, and suffering. Three aspects of the Chinese culture have been presented as possible explanations for the tendencies towards somatization in the Chinese (Cheung, 1995). Firstly, there is a tendency to deny, suppress, or even repress emotions, particularly those that are distressing in nature, as a display of such emotions is often seen as a sign of weakness. If distressing emotions are related to mental illness, these will be further denied or suppressed because of the social stigmatization associated with mental illness. When a family member becomes mentally ill, it is not unusual for others in the family to attempt to cover it up or reformulate it as a physical illness. Secondly, there may be insufficient vocabulary in the Chinese language to precisely express affective states. However, this view has been challenged by Russell and Yik (1996), who found 81 different characters describing emotional states in a standard Chinese dictionary. Thirdly, somatization is attributed to the lack of demarcation between mind and body in TCM. As will be shown later, the

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issue is not actually a lack of demarcation, but rather the adoption of a holistic stance towards health.

Taoist Influences in TCM TCM is rooted in Taoism, which sees the Universe as a macrocosm perfectly reflected and represented in Man, the microcosm. In other words, the structures of the Universe and the human body reflect each other perfectly, and human life is a miniature form of the cosmos existing within the infinitely larger cosmos of heaven (Leung, 1998). Health is perceived as a state where there is harmonious equilibrium between yin (陰) and yang (陽), the five elements (metal, wood, water, fire, earth), the six environmental conditions (dry, wet, cold, hot, wind, and flame), and the seven emotions (joy, sorrow, anger, worry, panic, anxiety, and fear). In The Yellow Emperor’s Classic of Internal Medicine (Huangdi Neijing, 黃帝內經), it is said that the natural order of the Universe can be located in the law of yin and yang, which is the foundation of all matters and is at the root of all changes, including life and death. Therefore, in healing, it is of primary importance to pinpoint the root of disharmony which is always to be found in the law of yin and yang. It can thus be asserted that TCM is concerned not so much with detecting and correcting specific pathologies, but rather with restoring the yin–yang balance in accordance with traditional notions and beliefs about health.

The Yellow Emperor’s Classic of Internal Medicine The Yellow Emperor’s Classic of Internal Medicine (Huangdi Neijing, 黃帝內經) is universally considered to be the most important medical text in TCM, and forms the basis of Chinese medicine. The text is made up of two parts. Part One is the “Common or Plain Questions” (Su Wen, 素問), and deals with the theoretical foundations, methods of diagnosis, and treatment modalities. Part Two is the “Spiritual or Miraculous Pivot” (Ling Shu, 靈樞) (Wu, 1993), and deals with the art and science of acupuncture. Each part is made up of 81 treatises. Of the total 182 treatises, Ma (2005) calculated that up to 90% refer to mental health in one way or another, and up to 32 treatises bear psychology-related titles. Traditional Chinese mental medicine (TCMM) can be viewed as an essential component of TCM in that Part Two contains discourses on the maintenance of emotional health, the healing of emotional disorders, and holistic approaches to body–mind and body–mind–nature (Pan, 2003). According to TCMM,


emotional disorders are caused by the loss of dynamic balance between yin and yang at one of three levels: within the body and the mind, between the body and the mind, or between nature and the body–mind as a composite. Traditional Chinese literature features a great deal of information on emotional health and healing. Although this has helped in the creation of a popular health subculture, it has also tainted TCMM with an air of amateurism. The etiology of madness, for instance, includes input from both the professional and the amateur, and this inevitably diminishes the validity and reliability of TCMM as a system of diagnosis, healing, and prognosis (Pan, 2003).

Diagnostic Tools in TCM Practitioners of TCM are constantly aware of the importance of balance and harmony to health, so their basic concern when making a diagnosis is to ascertain whether there is any imbalance, where it is located, and its overall impact on health. To this end, practitioners employ four skills, namely those of observation (wang, 望), listening and smelling (wen, 聞), questioning (wen, 問), and palpation (qie, 切). Observation entails looking at the entire person, including his facial expression, body postures, non-verbal cues, and aura (qi se, 氣色). Listening and smelling refers to both listening skills and the smelling of the patient’s breath and odors. Questioning involves gathering information relevant to the health of the patient. Palpation includes the placing of the practitioner’s index, middle, and ring fingers on a patient’s wrist to read the pulse. Palpation is related to the concept of the meridian channel via which energy passes through the body (jing lao, 經絡), which is a unique feature of TCM. It is believed that ill health is due to blockage in the meridian channel, and that by performing palpation, the practitioner is able to discern the exact location of the blockage and can then use herbal treatment, acupuncture, or other methods to remove it.

The Soul/Spirit and Life Force in TCMM When discussing emotional health in terms of Chinese medicine, an understanding of the two Taoist notions of the soul or spirit (shen, 神) and life force (qi, 氣) is essential. Literally translated as the soul or spirit, shen refers to the spiritual capacity of the mind, and is manifested somatically and/or behaviorally. For instance,

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a person who is confused, disoriented, or semi-conscious is often said to be exhibiting shen zhi bu qing (神志不清, lack of clarity of the spirit and will), and his symptoms may include dizziness, general weakness, extraordinary behavior, being out of touch with reality, unclear or slurred speech, and so on. The etymological meaning of qi in its traditional form (氣) refers to the steam which rises from rice as it cooks. However, in the Taoist sense or within the TCM framework, qi alludes to the psychological and somatic presence of the cosmic vital force, or life force, in our bodies. In The Yellow Emperor’s Classic of Internal Medicine, emotional states are seen as movements or obstructions of qi within the body, and the state of one’s qi also reflects the state of synergy between the two polar forces of yin and yang (Pan, 2003). Based on these two notions, the Chinese term for mental illness is shen jing bing (神經病), which is literally translated as illness of the shen and the jing (meridians along which qi flows). Consequently, a standard treatment for mental illness lies in the stabilization of the shen and the removal of obstruction to the flow of qi.

The Association between the Emotions and the Viscera According to Taoist thinking, the world is made up of the Five Elements (wu xing, 五行) of metal, wood, water, fire, and earth, which can generate or attenuate each other. These Five Elements correspond to the human lung, liver, kidney, heart, and spleen or pancreas respectively. These five organs are in turn associated with the five emotions of grief/sadness, anger, fear, joy/overexcitement and overthinking/obsession (see Figure 10.1). The key to emotional health is the maintenance of a state of mutual harmony and balance between the emotions. The Yellow Emperor’s Classic of Internal Medicine puts forward a dualistic view and states that excessive grief can injure the lungs but can also be caused by a lung ailment; excessive anger can injure the liver but can also be caused by a liver ailment; excessive fear can injure the kidneys but can also be caused by a kidney ailment; excessive joy/excitement can injure the heart but can also be caused by a heart ailment; and excessive thinking/obsession can cause injury to the spleen and/or pancreas but can also caused by a spleen/pancreas ailment. According to this schema, grief can be overcome or restrained by joy, anger by grief, fear by overthinking/obsession, joy/overexcitement by fear, and overthinking/obsession by anger. This is termed the principle of emotional counteraction. Along the same lines, grief can restore the balance of fear, fear can restore the balance of anger, anger can restore the balance of joy/ overexcitement, joy/overexcitement can restore the balance of worry, and


overthinking/obsession can restore the balance of grief. This is the theory of mutual generation of emotions (Ni, 1995). Liver

Wood Anger

Heart

Kidney

Fire Joy

Water Fear

Lungs

Metal Grief

Spleen / Pancreas Earth

Overthinking/Obsession

Key: Generating Overcoming/Restraining

Figure 10.1

Association of the Five Elements, the Viscera, and the Five Emotions

Other Therapies in TCMM Apart from the principles of emotional counteraction and the mutual generation of emotions, TCMM is characterized by a number of other therapies, such as herbal therapy, acupuncture, qigong, meditative and breathing techniques, physical exercises such as taiji, massage, talk therapy, philosophical therapy, dream interpretation, food therapy, art therapy, music therapy, and others (Liu, 2004). In the past, dream interpretation was primarily used as a diagnostic tool. Talk therapy was used to deal with irrational thinking and was generally conducted by men of wisdom and learning. Talk therapy may have been used in conjunction with philosophical therapy, including Taoist musings.

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Table 10.1

Association between the Five Elements, Viscera, Emotions, and Tastes

Elements

Viscera

Emotions

Tastes to counteract emotions

metal wood water fire earth

lung liver kidney heart spleen/pancreas

grief anger fear joy/overexcitement overthinking/obsession

spicy sour salty bitter sweet

In terms of food therapy, different tastes are used to counteract specific emotions (see Table 10.1). These tastes are also used in herbal therapy. It is also of interest to note the presence of music therapy in TCMM. The five tones of traditional Chinese music are associated with the five emotions (Guo & Zhang, 1986). Therefore, anger can be calmed with music in the jiao ( ) tone, fear can be combated with music in the yu ( ) tone, grief can be eased with the shang ( ) tone, overexcitement can be calmed with the zheng ( ) tone, and overthinking/obsession can be resolved with the gong ( ) tone. Art therapy in the form of Chinese calligraphy is frequently used in TCMM. Focusing on the brush strokes is believed to have a stabilizing effect on the shen and to help remove blockages to the flow of the qi.

Efficacy of TCM and TCMM TCMM, although lacking the scientific rigor of biomedicine, is nevertheless a fully developed system of emotional health, complete with guidelines for the diagnosis, treatment, and ascertaining the prognosis of conditions. Whilst TCMM is not comparable to biomedicine, it can certainly be used as an alternative to modern psychology and psychiatry (Pan, 2003). For instance, when a body–mind–spirit integrated model of intervention in line with TCM was adopted to promote the health of patients, positive outcomes were observed for cancer patients, bereaved wives, and divorced women in terms of physical health, mental health, sense of control, and social support (Chan, Ho, & Chow, 2001). Taiji practice, which is commonly recommended by TCM practitioners to counter both physiological and emotional complaints, was found to bring about improvement in the psychosocial status of a group of ethnic Chinese


patients with cardiovascular disease risk factors living in the United States (Taylor-Piliae et al., 2006). Furthermore, a 1989 study of rural and urban Taiwanese and a corresponding 1991 study of Americans showed that there was a markedly lower incidence of psychiatric disorder in the Chinese in Taiwan, providing evidence that the overall preventive and holistic approach of TCM has positive effects on the mental health of the Chinese people (Hwu, Yeh, & Chang, 1989; Compton et al., 1991). Is this trend likely to continue, or will TCM and TCMM give way to biomedicine in the face of globalization, westernization, and urbanization?

PSYCHOPATHOLOGY IN CHINA TODAY The Chinese view of mental illness has gone through a process of evolution in which it has been attributed in turn to causes rooted in superstitious beliefs, such as possession by a dead relative or punishment by the gods; then to physical processes such as a weakening of the nervous system; and finally to psychological processes (Parker, Cheah, & Roy, 2001). Due to the varying pace of urbanization and modernization across Chinese communities, this evolution has occurred at different rates. The following discussion of selected syndromes is aimed at demonstrating this evolution. The first two syndromes discussed are the culture-bound syndromes neurasthenia and koro, which are perhaps those most frequently associated with the Chinese. It will be shown that although the symptoms of neurasthenia resonate with the TCM classification of illness, its evolution as a disease has been impacted by social, political, and economic changes. Koro, by comparison, seems to be a more “pure-type” culture-bound syndrome.

Koro In the Diagnostic and Statistical Manual of Mental Disorders, 4th edition, text revision (DSM IV-TR), koro is defined as “a term, probably of Malaysian origin, that refers to an episode of sudden and intense anxiety that the penis (or in females, the vulva and nipples) will recede into the body and possibly cause death The syndrome is reported in South and East Asia, where it is known by a variety of local terms, such as shuk yang, shook yong, and suo yang (Chinese); jinjinia bemar (Assam); or rok-joo (Thailand). It is occasionally found in the West. Koro at times occurs in localized epidemic form in East Asian areas. This diagnosis is included in the Chinese Classification of Mental Disorders, 2nd edition (CCMD-2).”

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Although the syndrome has been reported among diverse ethnic groups, it has primarily been reported among the Chinese of the southern coastal regions such as Guangdong and Fujien (Tseng et al., 1988). Koro has rarely appeared sporadically; rather the fear that retraction of the penis could be fatal has usually led to panic reactions of epidemic proportions. Tseng et al. carried out research into epidemics which occurred in the Guangdong region during 1984–1985 and 1987, in which over 2,000 people were affected. They found that the residents of these regions believed that koro, which was known there as suo yang (縮陽), was caused by the female fox spirit. In epidemic outbreaks of koro, individual psychopathology is a relatively minor contributory factor. However in sporadic cases, up to 75% of those afflicted with koro were diagnosed as having a psychiatric disorder such as hysteria, anxiety neurosis, paranoid schizophrenia, and schizophrenia (Chowdhury, 1990). As sporadic cases of koro have been observed in people of non-Chinese descent who have not been exposed to the Chinese culture, the question as to whether koro is actually a culture-bound syndrome has been debated. For instance, a case of cannibis-induced koro in three American Caucasians was reported (Earleywine, 2001). It has been suggested that koro needs to be reclassified in the DSM IV-TR by differentiating culture-specific cases of koro from koro-like states (Bernstein & Gaw, 1990). Specifically, three factors need to be considered: firstly, whether the genital retraction is primarily a psychiatric condition or is caused by some other disorder; secondly, whether the disorder of genital retraction is culture-specific; and thirdly, whether the disorder occurs in individual cases or as an epidemic. This is an extremely useful classification, not only for koro, but also for other syndromes in which cultural influences play a vital role. According to this classification, the koro epidemics that occurred in China were definitely culture-bound, as their onsets were linked to local beliefs, such as beliefs in female fox spirits which had come to steal penises, and the level of panic was associated with ancient beliefs that the retraction of the penis was fatal. To eradicate future outbreaks of koro, it is evident that the best approach would be that of changing beliefs through systematic health education.

Neurasthenia The case of neurasthenia in China perhaps illustrates most aptly the evolution in identifying the causes of mental illness in China, as well as the changes in the country’s psychological and psychiatric landscapes.


Awareness of neurasthenia was raised by an American neurologist by the name of George Beard in 1869. Beard described neurasthenia as a functional disease of the nervous system without structural or organic changes, but not as a mental illness. He said it was characterized by a variety of somatic and psychological complaints, including fatigue or weakness, poor concentration, memory loss, irritability, excitability, aches and pains, and sleep disturbance. Furthermore, Beard regarded neurasthenia as a family of diseases long recognized by both laymen and professionals in the West (Beard, 1869). In Chinese, neurasthenia is called shen jing shuai ruo (神經衰弱), so it is also known as SJSR. The meanings of shen and jing are as previously explained, shuai (衰) means decline, and ruo (弱) means weak, so the whole can therefore be interpreted as a malfunctioning or general weakness of the network of meridians transporting qi. In TCM, a person diagnosed with shuai, or weakness, exhibits symptoms consistent with those of neurasthenia. Between the 1950s and the mid-1980s, the number of cases of neurasthenia diagnosed in China dropped dramatically. In the late seventies and early eighties, it was found that up to 90% of medical and psychiatric outpatients had been diagnosed as having neurasthenia (Kleinman, 1982). However a study carried out in the early nineties in the Sichuan province of China indicated that depressive neurosis had become four to seven times more common than neurasthenia (Liu et al., 1992). Later still, researchers on a field trip to Shanghai reported that amongst all the patients discharged from the Shanghai Mental Health Center there had not been a single case of neurasthenia (Lee, 1999). In China and internationally, references to neurasthenia are noted in diagnostic manuals as follows: 1. In the World Health Organization’s International Classification of Diseases, 10th revision, 2nd edition (ICD-10), neurasthenia is listed in the chapter on “Neurotic, stress-related, and somatoform disorders” in a subsidiary section entitled “Other neurotic disorders.” ICD-10 differentiates between two types of neurasthenia. In one type, the main feature is an increasing complaint of fatigue after mental effort, which is often associated with decreasing levels of occupational performance or efficiency in coping with daily tasks. This mental fatigue is typically described as being characterized by unpleasant intrusions of distracting associations or recollections, difficulty in concentrating, and confused thought. The other type emphasizes feelings of bodily weakness or even exhaustion after minimal effort, and is accompanied by muscular aches and pains and an inability to relax. Both types are characterized by unpleasant feelings such as dizziness, tension headaches,

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general instability, irritability, worry about a decreasing sense of well-being, and anhedonia (the inability to experience pleasure). Sleep disturbance is often reported during the initial and middle phases. The clinical validity of ICD-10 neurasthenia has been questioned because its symptom profile cannot be clearly distinguished from that of ICD-10 somatoform disorders and ICD-10 sexual dysfunction (Banker, Aigner, & Bach, 2001). 2. In the Chinese Classification of Mental Disorders, Ver. 3 (CCMD-3), a manual published by the Chinese Psychiatric Association, neurasthenia is referred to as a subtype of neurosis. The diagnostic criteria include impairment of social function and mental distress which cause patients to actively seek medical advice. To qualify for this diagnosis, patients must have at least two out of five groups of symptoms, namely affective symptoms (such as irritability, annoyance, and inability to cope with difficult situations); excitability symptoms (such as difficulty with direct thoughts, excessive directionless thoughts, and sensitivity to sound and light); muscular tension aches and pains; sleep disorders (such as difficulty in falling asleep, disturbance of the sleep–wake schedule); and other psychological or physiological disorders (such as dizziness, dyspepsia, impotence, premature ejaculation, abdominal distention, and chest tightness). Neurasthenia is not mentioned in the text revision of the Diagnostic and Statistical Manual of Mental Disorders, 4th edition (DSM IV-TR). So why has there been such a sharp decline in the number of patients diagnosed as neurasthenic? Firstly, it was found that 87% of patients diagnosed with neurasthenia actually fulfilled the criteria for major depression and responded favorably to tricyclic pharmacotherapy (Kleinman, 1982). These findings were corroborated by Lee (1994) and Yan (1989), who claimed that although neurasthenia was not equivalent to a depressive illness, 30–70% of those diagnosed with neurasthenia were actually suffering from depression. This suggests two things to Chinese academic psychiatrists: firstly, that neurasthenia could possibly be an out-of-date term which has lost its usefulness as a diagnostic tool; and secondly, to ensure that patients receive proper treatment, more precise classifications are called for. Additionally, there is a desire to bring Chinese diagnostic and classification systems in line with international standards. As a diagnostic manual, the CCMD-2R (Chinese Classification of Mental Disorders, 2nd edition, text revision [CCMD-2R], 1995) is making a valiant effort to conform to international standards without sacrificing cultural characteristics and diagnostic preferences. For the two reasons stated above, the diagnosis of neurasthenia is rarely, if ever, given nowadays. In addition, another study suggested that the drastic


decline in the diagnosis of neurasthenia in China was also probably due to political reasons (Lee, 1999). The argument was that the majority of neurasthenia diagnoses were made during the Mao era and the Cultural Revolution, when socialist sentiments prevailed and mental illness was not supposed to exist. Then, if a person was mentally ill, his/her condition was attributed to the failure and oppression of the former capitalistic regime. To maintain mental health, therefore, was to be engaged in a perennial struggle between socialist ideals and capitalist cravings, and between the proletariat and the bourgeoisie. To admit to having mental distress was ideologically unfashionable and undesirable, and to avoid social stigma and political condemnation, neurasthenia functioned as a cover-up for mental distress. With the end of the Mao era and the Cultural Revolution, although mental illness continued to be stigmatized socially, it was at least depoliticized and a fuller and more genuine range of psychological and somatic complaints were recognized. With this depoliticization of mental disorder and the reinterpretation of neurasthenia as depression came the inevitable commercialization of depression, and drug companies, in their attempts to market a new generation of antidepressants, have studiously painted neurasthenia as a biological form of depression which is responsive to psychopharmacological treatment (Lee, 1999). Thus, in a development similar to that which has occurred in the West, drug companies will probably have a certain amount of influence in the classification of mental disorders in modern China—a phenomenon that Kleinman referred to as the “over-medicalization of sociosomatic conditions” (Kleinman, 1999). It can therefore be said that, in the past, neurasthenia represented a composite diagnostic category which was compatible with Chinese culture and TCM. Furthermore, it did not carry any social stigma and had no ostensible political ramifications, so, given the political landscape of China prior to the 1980s, it was a preferred and popular diagnostic category (Parker, Cheah, & Roy, 2001). However, as the social, political, and economic landscapes in twenty-first century China undergo tumultuous changes, the once useful composite diagnostic category of neurasthenia has quickly lost its utilitarian value. Commensurate with China’s grand entrance into the global market, there has been obvious pressure within academic psychiatry to align Chinese classifications of mental disorders with international standards, further quickening the demise of neurasthenia as a diagnostic category. However, the history of the development of neurasthenia is highly illustrative of two phenomena: one is China’s changing views towards psychopathology, and the other is an evident veering away from the traditionally holistic view of health towards a more Cartesian division of mind and body.

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Depression With the phasing out of neurasthenia as a diagnostic label, it would seem reasonable to expect that the community rate of depression would rise, but this has not been the case. In 1982, the mean prevalence rate for depressive neurosis in China was estimated at 3.1 per 1,000 members of the population, whereas the mean prevalence rate for neurasthenia was 13.0 per 1,000. In 1993, the prevalence rate for depressive neurosis was almost identical at 3.0 per 1,000, but the prevalence rate for neurasthenia was lower at 8.4 per 1,000 (E. Chiu, 2004). Although differences in diagnosis and methods of calculation meant that rates of depression between countries could not be reasonably compared prior to the establishment of the WHO World Mental Health (WMH) Survey Consortium in 1998, it was still estimated that the rate of depression in China was possibly several hundred times lower than that in the United States (Parker, Gladstone, & Chee, 2001). A survey conducted between 2002 and 2003 in 14 countries by WMH using the CIDI (Composite International Diagnostic Interview) revealed that the 12-month prevalence of DSM IV-TR mood disorders (including bipolar disorders, dysthymia, and major depressive disorder) was 2.5% in Beijing, 1.7% in Shanghai, and 9.6% in the United States. Since depressive disorder is the most frequently reported of all mood disorders, one can surmise that the reported rate of depression in China is clearly on the low end of the international scale. Over time, researchers have put forward five reasons to explain the low reported rate of depression in China. The first is the notion that Chinese people are immune to depression, but no plausible evidence has so far been presented in support of this. Secondly, because of the social stigma attached to mental disorders, underreporting is the norm since the presence of depression is likely to be taken as an indication that the family or society is unhealthy, and the reputation of the family or society may then be tarnished (Yan, 1999). This writer once dealt with a case of a 15-year-old girl suffering from school phobia. She had not attended school for almost a year and had violated the statutory requirement for school attendance, so she was sent for assessment. On closer examination, she met the criteria for major depressive disorder but had never been given psychological or psychiatric care. When the Social Services were later involved, it was revealed that her mother had attempted suicide numerous times and two of her brothers rarely ventured outside their home, and when examined they also met the criteria for major depressive disorder. When the father was asked why he had never sought psychological or psychiatric help for his wife and children, he at first feigned ignorance, but later admitted that he “didn’t want such shameful family affairs to escape the walls of his home.”


The third reason for this low rate of reporting may be differences in helpseeking behavior. It has been found that in less developed countries where there is less awareness of mental illness, psychiatric patients often misinterpret their disorders as being physical in nature, so they only report physical discomforts to their physicians (Cheng, 1989). Thus, cases of depressive disorders effectively get buried within the network of primary care practice due to a general lack of psychological-mindedness. Conversely, it can also be said that “over-psychologizing” in the United States perhaps results in the elevation of common symptoms of distress to the level of depressive disorders. An interesting point about psychologizing was put forth by Barnes (1998). He contended that some U.S. practitioners, aware that their approach to health was non-holistic, had attempted to incorporate aspects of TCM into their practice. However, such incorporation was performed from the perspective of biomedicine, so they had filled in the gaps in their comprehension by psychologizing the practice of TCM. One good example relates to the diagnosis of spiritual possession (gui mi xin qiao, 鬼迷心竅—literally translated as having one’s heart chakra occupied by a spirit). In TCM, which is rooted in Taoism, this is recognized as belonging to the realm of demonology and dealt with using a combination of exorcism, acupuncture, and herbs. However, when TCM was used by modern Chinese and non-Chinese practitioners, spiritual possession was conveniently psychologized as some sort of obsession or fixation which was best dealt with by psychotherapy. Barnes explained that non-Chinese American practitioners, when appropriating Chinese healing practices, had failed to recognize the impact of demonology in the Chinese culture and had remained at the level of analyzing the human mind. The fourth reason for the low reported rate of depression in China is the tendency towards somatization. In a study of the relation between somatic symptoms and depression in 14 countries in five continents, it was found that of all the patients who met the criteria for major depression, 45–95% reported only somatic symptoms. In terms of somatization, China and India rated the fourth highest with 87% after Turkey (95%) and Greece (91%) (Simon et al., 1999). In view of the holistic approach of TCMM and the general lack of understanding of mental disorders in China, somatization should not be viewed as a form of denial, but rather as an indigenous way of expressing emotional or mental distress. In support of this view, it was found that when Chinese patients were provided with an appropriate context (such as structured questionnaires rather than open-ended questions) and the opportunity, they were more likely to admit to psychological symptoms of depression (Lin, 1989). The last reason is cultural in nature. It is suggested that the Chinese are protected against depression because of such sociocultural factors as a

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tradition of withstanding hardship, strong family interdependence and support, and a high tolerance for emotionally distressing circumstances (Xu, 1987). Furthermore, the Confucian ethic of self-cultivation values emotional control and equanimity, and conceivably also provides a shield of protection against depression. It has become obvious that while depressive disorder has long existed in China, it has not always been labeled as such. For a variety of social, cultural, and political reasons, it has been encapsulated under the neurasthenia or SJSR label until recently, since China has sought to meet international diagnostic criteria for mental disorders. If the tendency towards psychologizing (or overpsychologizing) in Western countries can be construed as an indicator, China seems to be moving towards both increasingly accepting the demarcation of body and mind and psychologizing mental distress, rather than taking the traditional holistic stance towards health. Does this point to the demise of TCM and TCMM? In fact, China today maintains three kinds of medical science: TCM; Western medicine; and integrated medicine, which is a cross-fertilization of the two. When Chinese people emigrate to other countries, they tend to seek out health care from a variety of resources, including the Western health care system, practitioners of traditional Chinese medicine, home remedies, and returning to China for treatment (Ma, 1999). If this help-seeking behavior of emigrants is representative of native residents of mainland China, then TCM and TCMM will continue to survive through integrated medicine, but a great deal of work needs to be done in the standardization of Chinese medical education and practice (Guo, 2002).

Suicide If the reported rates of depression in China have any semblance of truth in them, the often noted correlation between depression and suicide would lead one to expect suicide rates in China to be similarly low. This is apparently not the case. In 1990, a total of 280,000 suicides or a suicide rate of 24.5 per 100,000 members of the population was reported in China. However, after adjusting for deaths due to unknown and accidental causes, the figures become 342,700 and 30.3 respectively (Murray & Lopez, 1966). Figures published by the World Health Organization indicate the rate for 1999 as 27.8 per 100,000 (http:// www.who.int/mental_health/prevention/suicide_rates/en/). If these estimates are projected into the future, there are likely to be 534,000 deaths by suicide in China representing 36.4 suicides per 100,000 people (Phillips, Liu, & Zhang,


1999). These figures are very high when one considers that the average rate for the rest of the world is 10.7 per 100,000. Yip (2001), however, disagreed with these figures, claiming them to be unreasonably high for three reasons. Firstly, he felt that Murray and Lopez should not have included accidental deaths of unknown cause in their 1990 calculation, particularly given the fact that the number of such deaths in 1990 was atypically high. Secondly, Yip disagreed with the unusual variables used by Murray and Lopez in explaining the variability in suicides. Thirdly, Yip argued that Murray and Lopez did not take into account the increasing rate of urbanization in China, which is important because suicides in rural areas outnumber those in urban areas by three to one. It is not possible to determine which set of figures reflects real conditions in China because this country with a population of one billion does not yet have a standard procedure for reporting deaths. However, even if the “actual” and estimated numbers of suicides are lower than those put forth by Murray and Lopez, they still place China amongst those countries having high suicide rates. In an attempt to shed some light on the suicide rates and patterns in China, an examination of the distinguishing features of these suicides in China was carried out, and the following three features were noted (Phillips, Liu, & Zhang, 1999): 1. There were more successful suicides in females than males (the ratio being 9:7) which was in contradiction to most of the rest of the world. 2. Rural rates were three times as high as urban rates. 3. Particularly high rates were found in two age groups: young rural females aged 15–24 and elderly men. In a later study, it was noted that suicide was the leading cause of death among young people aged 15–34 (Phillips et al., 2002). Furthermore, it was found that about one-tenth of suicides in China were attributable to schizophrenia, and that people with schizophrenia were more at risk for suicide (Phillips et al., 2004). In addition to the studies above, it has been noted that for rural adolescents, academic stress and family conflicts seem to put them at risk for suicidal behavior (Liu & Tein, 2005). A more detailed analysis of the same groups of respondents revealed four other important findings (Liu, Chen, Rubin, & Zheng, et al., 2005). Firstly, it was found that 73% of the adolescents who had attempted suicide had elevated psychopathology, which was consistent with Western samples. In other words, there was no discernible

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cultural uniqueness in the overall rate of mental disorders in suicidal youths. Secondly, it was found that the psychological profiles of adolescents who had attempted suicide appeared to be characterized by prominent problems in all spheres of their lives. In particular, many had problems relating to anxiety, depression, and aggression. To put it another way, there was an indication of high comorbidity of behavioral and emotional problems in these youths. Thirdly, anxiety and depression symptoms were found to be risk factors, which is consistent with other findings on suicide. Lastly, delinquent and aggressive behaviors were revealed to be more prevalent among suicide attempters than the control group. So why does China have one of the highest suicide rates in the world? If it is assumed that suicide attempts and successful suicides are invariably associated with mental and emotional distress, then the survey conducted by Phillips et al. (2002) makes a great deal of sense. In this survey, they carried out psychological autopsies on 519 individuals who had committed suicide. They found that 63% had suffered from a psychiatric illness at the time of death, with major depression (40%) being the most common illness, followed by schizophrenia (7%) and alcohol dependence (7%). Of further concern is the fact that only 17% of these 519 individuals had sought help from a health professional for a psychological problem. These figures indicate both a lack of understanding about mental disorders and a reluctance to seek help when distressed, and also explain the underreporting of depression and the apparently skewed low-depression/high-suicide ratio in China. If one were to look for causes of high suicide rates from a cultural point of view, one might have to consider the notion that the Chinese people have a higher proclivity towards suicide. There is in fact evidence in the Confucian Analects indicating that certain forms of suicide can be viewed as a way of emulating ideal behavior (Hsieh & Spence, 1980). These include committing suicide to preserve one’s moral integrity, to redeem oneself from disgrace, to demonstrate to the ruler that one’s loyalty persists beyond death, to pressurize survivors to change, to establish one’s fidelity by following one’s husband in death instead of remarrying, and so forth. One of the best-known suicides is that of Xiang Yu (項羽), whose selfstyled title was Overlord of West Chu (Xi Chu Ba Wang, 西楚霸王). The life of Xiang Yu has featured in story lines for numerous movies, television dramas, plays, and video games, and there are more than 6,000 online references to his suicide. Xiang Yu lived during the Warring States period (476–221 BC) and led 8,000 men to many victories. However, his impetuousness and inability to accept criticism contributed to his downfall. When he was finally surrounded


by his enemies at a place called Wujiang, he was so ashamed of his failure and felt so unable to face his elders at home that, instead of trying to break through enemy lines, he opted to commit suicide by drawing his own sword across his neck. Xiang Yu’s suicide has seldom, if ever, been cited as an example of cowardice, but has often been cited as an example of preserving one’s dignity at all costs. Furthermore, Buddhist teachings in karma, reincarnation, and the afterlife have permeated Chinese culture to the extent that some people resort to suicide to end a life of suffering in the hope that the next life will be better, thus speeding up their reincarnation. Taoist demonology has perhaps also been responsible for inciting those who find themselves unable to find justice in life to commit suicide and turn themselves into vicious spirits for the sole purpose of seeking vengeance. Although it is agreed that there might be a cultural proclivity in the Chinese towards suicide, when the suicide rates in Chinese communities such as rural and urban China, Taiwan, Hong Kong, and Singapore were examined, it was suggested that, in order to make better sense of the different patterns and rates of suicide found, this proclivity had to be modified by psychological and socioeconomic factors (Phillips, Liu, & Zhang, 1999). In terms of the psychological factors normally associated with suicide, it was discovered that the prevalence of alcohol and drug abuse, although on the rise, was still substantially lower than that in developed countries. As for affective disorders, including unipolar major depression and bipolar disorders, it was estimated that only 5% of those suffering from affective disorders had received treatment, which might explain the high rate of suicide in China. Reports in the popular press claim that rapid social changes and economic reforms have also contributed to the high rates of suicide. Some of the more important changes include: 1. Participation in risky economic ventures or pathological gambling, leading to heavy losses for individuals and families. When such losses are seen as irrecoverable, suicide sometimes ensues. 2. Increasing rates of marital infidelity and divorce, probably resulting from a more open society. The parties in the relationship who view themselves as being betrayed, abandoned, or mistreated may resort to suicide as a means of protest and to end an unfulfilled life. 3. Increasing rates of drug and alcohol abuse, which can prove ruinous to personal and family life. When individuals view themselves as beyond redemption, suicide may become the only choice.

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4. The rapid escalation in cost of health care. This may drive some elderly people suffering from chronic illnesses to commit suicide rather than drain family resources. 5. The birth of the nuclear family and the gradual phasing out of the extended family, which is probably responsible for the weakening of family ties and the reduction of family and social support for the individual. In times of distress, individuals who are not accustomed to seeking help from health professionals may view suicide as the only logical solution. 6. The migration of large numbers of rural residents to urban areas in search of better jobs and higher pay. Their sheer number means that, even if they are willing to put up with low pay and harsh working conditions, they still may not find work. They can easily be thrown into despair and commit suicide. 7. The widening economic discrepancy between the poor and rich. The poor may experience high levels of dissatisfaction with their economic and social predicament, and view suicide as a way out (Phillips, Liu, & Zhang, 1999). In truth, no single factor can explain the high suicide rate in China, but a multifactor model might provide a more reasonable explanation. To this end, a five-factor model has been put forward (Phillips, Liu, & Zhang, 1999). These five factors are as follows: 1. The existence of cultural beliefs in an “afterlife” and a degree of acceptance of “rational suicides” (such as using death to redeem oneself from disgrace or to preserve one’s moral integrity) as solutions to problems. 2. The presence of social conditions (such as extreme poverty and gross inequality between the sexes, particularly in rural areas) which are seen as morally ambiguous, socially constraining, or inescapable. 3. The prevalence of psychological problems, such as depression and substance abuse, which render individuals less capable of handling stress, or make stressful conditions even more unbearable. 4. Easy access to effective tools for committing suicide (e.g., many rural residents commit suicide by ingesting poisonous insecticides, which are readily available on the farms). 5. A lack of availability of suicide prevention services or a lack of comprehensiveness thereof. As can be seen, this model includes cultural, social, and psychological factors, and is therefore dynamic rather than static.


The foregoing discussion demonstrates that the lack of a uniform deathreporting system in China means that both the rates and patterns of suicide are not entirely apparent, making suicide prevention more difficult. Nevertheless, it can be seen that measures such as equalizing gender differences, bridging the wide gap between the rich and the poor, identifying suicide-related mental disorders, destigmatizing mental disorders, making psychological and psychiatric care more accessible, controlling the cost of health care, and addressing financially costly addictions such as compulsive gambling and drug addiction, should be considered integral to suicide prevention.

Alcoholism The Chinese people have a long history of alcohol consumption. In motion pictures depicting ancient China, wine often plays an integral role, as shown by the following examples: when generals and warriors do well on the battlefield, they are often rewarded with goblets of wine as well as gold by kings; when a king reluctantly sentences a loyal subject to death, he is likely to show benevolence by offering the subject wine laced with a deadly poison rather than having him beheaded; and bandits might celebrate an especially lucrative robbery by drinking kegs of wine. Refusing someone’s invitation to drink wine may be considered an insult, and offering someone a precious brew is considered a show of respect. It seems that, at least in movies, alcohol is there to emphasize a point. Throughout Chinese history, alcohol has been consumed during a variety of family and social occasions, such as celebrations of festivals and outstanding achievements. Alcohol consumption at weddings is a must. Wedding feasts are called jiu xi (酒席), which is literally translated as tables of wine. When a child is born, his parents usually invite family and friends to attend a feast when he is one month old. The feast is call man yue jiu (滿月酒), which literally means full-month wine. When someone dies, it is customary for his family to invite those attending his funeral to a feast afterwards. This feast is called jie hui jiu (解穢酒), meaning filth-dissolution wine, because the Chinese believe that any event or ritual related to death is unclean. Alcohol is also used in ancestral worship rituals, even though the ancestors themselves might not have consumed alcohol. In the business world, alcohol is invariably offered during business dinners, and non-drinkers are sometimes looked upon with disdain. Despite the pervasiveness of alcohol consumption in everyday life, alcoholism as a medical, psychological, or social problem has not been extensively studied.

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Perhaps one of the most comprehensive reviews of research into alcohol use in China was that carried out by Cochran et al. (2003), in which 21 reports in English and 40 relevant papers in Chinese were reviewed. This review suggested that until the early 1980s, alcohol-related problems were far less prevalent in China than in many western countries. However, as the commercial production of alcoholic beverages has increased 54 times, from 0.4 kg per person in 1952 to 22.9 kg in 1997, the overall picture has become quite different. In 2001, a survey sponsored by the World Health Organization showed that although ethanol consumption in China was still low compared with that in industrialized countries, the trend was an upward one. This was corroborated by the fact that there was a fourfold increase in alcohol-related admissions to psychiatric hospitals between 1980 and 1993. In 1980, only 0.016% of respondents in a nationwide survey could be diagnosed as alcohol-dependent according to the ICD-9 (International Classification of Diseases, 9th revision). This number increased fortyfold to 0.68% in 1993, and alcohol dependence was ranked as the third most prevalent cause of mental illness. Amongst adolescents, a startling 78% of boys and 61% of girls reported consuming alcohol in the previous year. In terms of gender differences, more men (6.6%) than women (3.4%) were found to be alcohol-dependent. Nearly 15% of urban adults aged between 15 and 65 were found to be alcohol abusers (Zhang et al., 1999). The risk factors associated with alcohol abuse included economic status (higher income groups are more at risk), deviant peers’ drinking behavior, negative attitudes towards alcohol drinking, and maternal alcohol drinking habits (the alcohol consumption patterns of mothers significantly influenced their offspring’s drinking habits). For the Chinese, general reasons given for consuming alcohol were its positive social effects, relief from tension and worry, and relief of alcoholwithdrawal symptoms, whereas the reasons for not drinking alcohol were its ill effects on health, the cost, and the social disapproval associated with alcohol consumption (Cochran et al., 2003). Although the consumption of alcohol has long been an integral part of Chinese culture, the rate of consumption appears to be increasing at an alarming rate, and this is accompanied by an increase in alcohol-related problems. If the situation continues and more stringent restrictions and controls are not exercised (e.g., currently there is no age limit for those purchasing alcohol), then the global burden of illness related to alcohol use will probably continue to grow, adding social and economic burdens to the community. The bleak picture relating to increased alcohol consumption in China has been illustrated in a number of studies. In an AUDIT (alcohol use disorder identification test), it was found that 16.4% of the subjects were alcohol-


dependent, 66.9% had hazardous or harmful drinking habits, and only 16.6% were normal drinkers (Li et al., 2003). In another report, it was noted that there had been a remarkable increase in the number of patients admitted to hospitals with alcohol-related physical and mental symptoms in the 25 years prior to the report (Hao et al., 2004). In the same report, it was pointed out that although men drank 13.4 times more than women in China, female consumption of alcohol had risen due to the liberation of women from their traditional bondage, changes in female gender roles, and an increase in the number of professional women. Although the health status of individuals results from the integrated effects of numerous risk factors, it has become increasingly clear that alcohol use is one of the primary ones.

Drug Abuse By the end of the nineteenth century, 20 million or one-fifth of Chinese adult males were addicted to opium. With the advent of Communist rule in 1949, opium addiction was virtually wiped out. However during the 1980s, as China opened up its borders for trade, drug abuse again became a social problem (Young, 2000). In a longitudinal study, a significant increase in the lifetime prevalence rate was found, rising from 1.08% in 1993 to 1.60% in 1996, although the rate decreased slightly to 1.51% in 2000 (Hao et al., 2002). In terms of actual numbers, registered drug addicts increased from 70,000 in 1990 to a staggering one million by the end of 2002, and 1.14 million by 2004. Hao et al. noted that while the rates of heroin use had risen from 51.8% in 1993 to 95.9% in 2000, there had been a corresponding drop in the use of opium from 36.1% in 1993 to 12.0% in 2000. The most favored methods of administering heroin were by injection and inhalation, and intravenous injection has contributed substantially to the spread of HIV/AIDS. Reported use of other drugs such as “ice,” “ecstasy,” and ketamine also seems to be on the rise. While some have suggested that illegal drug use may have reached a plateau (Hao et al., 2002), others have painted a doomsday picture, asserting that the actual number of addicts in China is closer to six or seven million, rather than the one million estimated by the government, and that unless stringent measures are taken, drug addiction and the related HIV infection (resulting from shared needle use among addicts) will create a catastrophe for China (Kurlantzick, 2002). Few attempts have been made to explain drug abuse in China, other than the theory that as the country liberalizes its economy and opens up to world trade, 160 million farmers and laborers have lost their jobs, so perhaps opiate use has provided psychological relief for some of them.

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In terms of treatment, a combination of options is used, including medical treatment, psychological counseling, and physical training. For opioid addictions specifically, pharmaceutical therapy, TCM, and non-pharmaceutical therapies are utilized (Zhao et al., 2004).

CONCLUSION While this is not the place to discuss the pros and cons of China’s official entry into the international community through the World Trade Organization and the progressive liberalization of its economy, it is evident that with globalization and modernization, substance abuse, including drug addiction and alcohol dependence, has skyrocketed. Another phenomenon is that China has been targeted by Western pharmaceutical conglomerates as an extremely lucrative market. This is perhaps one of the driving forces behind China’s ongoing attempts to meet international standards for the classification of mental disorders. As China seeks to incorporate Western standards and definitions, will the holistic view towards health espoused by TCM be relegated to oblivion? Although there is no concrete evidence that this is the case, not much has been done to preserve or enhance TCM. While a lot has been said about the Chinese adopting an integrated approach to health, the mechanisms and levels of integration have not been made explicit. Interestingly, in the West, research into TCM is no longer restricted to its efficacy, but has been extended into areas such as investigating how to systematically assimilate knowledge about TCM. Obviously practitioners in the West have recognized the logic in adopting a holistic view towards health. With the East moving westwards and the West moving eastwards, is an integrated model evolving to the benefit of mankind, or will pecuniary interests prevail? The answer waits to be revealed.

REVIEW QUESTIONS 1. Do the Chinese tend to somatize as generally claimed? 2. Is the Cartesian division of mind and body relevant in Chinese medicine? 3. Is neurasthenia a culture-bound syndrome? 4. In what ways has the rise and fall in the incidence of neurasthenia reflected the changes in the landscapes of psychology and psychiatry in China?

Review Questions

5. Does the presence of neurasthenia as a diagnostic label affect the rate of major depression in China? 6. What is the perceived relationship between depression and suicide in China, if any? 7. What does China’s suicide rate indicate with respect to the state of mental health? 8. In the diagnosis and treatment of mental disorders, are TCM and biomedicine mutually exclusive, or is there room for integration? 9. As China enters the world market, what changes are anticipated in the perception of psychopathology? 10. Does TCMM have a complete system of diagnosis, treatment modalities, and prognosis?

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Chinese Values, Beliefs, and Causal Attribution as depicted in Classical Chinese Fiction


Journey to the West

The Great Tradition and the Little Tradition

General Background

Literature and Culture of the Ordinary People

The Main Characters as the Embodiment of the Chinese Personality

Romance of the Three Kingdoms

Taoism, Buddhism, and Confucianism

General Background

Values and Beliefs

The Virtue of Loyalty

Outlaws of the Marsh

The Virtue of Righteousness

General Background

The Virtue of Benevolence

The Culture of Chivalry

The Virtue of Intelligence

Values and Beliefs

The Dream of the Red Chamber

Synopsis

General Background

Collectivistic Tendencies

Mythical Backdrop

The Self in the Four Classics

Women and Marriages

Confucianism, Taoism, and Buddhism in the Four Classics

The Impact of Taoism and Buddhism Literary Achievements Values, Beliefs, and Causal Attribution

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Chinese Values, Beliefs, and Causal Attribution

INTRODUCTION The Great Tradition and the Little Tradition According to Redfield (1956), there is a great tradition and a little tradition in every civilization. The great tradition is that of philosophers, theologians, and learned people, and is one that has been consciously and conscientiously cultivated and passed on through generations. Until educational opportunities became accessible to the majority of people, the great tradition had been available to only a few educated men. The little tradition, on the other hand, belongs to the ordinary people. It evolves with the lives of these people and is self-propelling for the simple reason that tradition is vital in the creation of a sense of belonging. The great tradition is recorded in the classical texts, whereas the little tradition is available to the masses through oral transmission by storytellers and theatre troupes, with some of the stories becoming popular fiction. The great and little traditions are interdependent and mutually influential. It is not possible to indicate where one begins or where the other ends, rather they tend to penetrate each other, and in the process, cause changes in each other. The bulk of Chinese literature and Chinese historiography was produced by the scholar-officials for their own reading. It was not available to the illiterate peasants and did not accurately reflect the values, beliefs, and feelings of the masses (Ruhlman, 1964). It has therefore been suggested that popular fiction (such as the Four Classics) probably reflects the values, beliefs, and attitudes of the common people of China more accurately, albeit indirectly. The universally recognized Four Classics of Chinese literature are: Romance of the Three Kingdoms (Lo, ca 14th century), Outlaws of the Marsh (also known as Water Margin) (Shi & Luo, ca 14th century), The Dream of the Red Chamber (Tsao, ca 1717–1763), and Journey to the West (Wu, ca 1500–1582). They were written between the fourteenth and sixteenth centuries. The story lines in these novels are well-known to many people as they have featured in the production of countless plays, operas, cartoons, manga, artwork, toys, movies, television dramas, and video games for the past four to six hundred years. In a search for modern ethical insights in the Four Classics, it was concluded that the Romance of the Three Kingdoms is an encyclopedia of military and political ethics, Outlaws of the Marsh is an encyclopedia of dailylife ethics, Journey to the West is an encyclopedia of comparative ethics, and The Dream of the Red Chamber is an encyclopedia of feudal family ethics (Lei, 2000).


Literature and Culture of the Ordinary People On a more general note, literature has been referred to as a source of data which is not only observable, but can also be subjected to systematic analysis and quantitative expression (Lindauer, 1984). The literature available to the peasant stratum of society and those not educated in a scholarly fashion, such as merchants and women, was originally presented orally and transmitted by storytellers and theatrical troupes that traveled from place to place. Stories that remained popular were passed from generation to generation, during which process they underwent changes that reflected the social, economic, and political mores of the times. Hence, the stories that were eventually recorded as popular fiction could not realistically be credited to any single author. Novels are said to stand at the intersection where social history meets the human soul (Feuerwerker, 1959). The attraction and popularity of the Four Classics lies in the fact that they drew upon a vast body of popular religious beliefs and commonly held knowledge about divination and magic, which was then woven into convoluted plots involving highly believable speculations about the ways of Heaven and Hell (Ruhlman, 1964). Jung (1954) referred to such literary works as artistic creations with a grand sense of vision, and suggested that works of this genre had probably drawn on the authors’ unconscious to the extent that their content appeared to have come from primordial times, was luxuriant with meaning, and challenged people’s values. In China, it was not until the twentieth century that novels and dramas began to be considered as literature, yet they are probably the only available source of historical information regarding the values, attitudes, and motivations of ordinary Chinese people (Ruhlman, 1964). In the first three chapters this book, we examined the philosophical foundation of the Chinese personality. In Redfield’s (1956) paradigm, this can be likened to an exploration of the great tradition. In this chapter, the story lines, themes, and main characters of the Four Classics are examined in order to reveal the values, beliefs, and causal attributions of the Chinese people. This effort can be likened to discovering the little tradition in Redfield’s paradigm. It would also be interesting to explore the convergence and divergence of these two traditions.

ROMANCE OF THE THREE KINGDOMS General Background Romance of the Three Kingdoms (San Guo Yan Yi, 三國演義) was written by

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Luo Guanzhong (羅貫中) in the fourteenth century. It is a historical novel based on both history and oral literature, and depicts events which occurred during the last years of the Han Dynasty and the rise of the Three Kingdoms (East Wu, 東吳; Wei, 魏; and Shu Han, 蜀漢) between AD 220 and 280. The novel was originally in 24 volumes, but was significantly edited down to 120 chapters by Mao Zonggang (毛宗崗) during the Qing Dynasty, and Mao’s version is the one most commonly used today. The story begins with the meeting of three heroic figures, Liu Bei (劉備), Guan Yu (關羽), and Zhang Fei (張飛), who are mutually attracted by each other’s distinctive physique and appearance, and join hands to quell a rebellion against the Han Emperor Ling (漢靈帝). Owing to his incompetence, Emperor Ling has become merely a figurehead, and the control of his empire has fallen into the hands of the immoral Cao Cao (曹操). This was a turbulent time in history, when corruption was rampant and warlords were fighting civil wars over land and property. Apart from Liu Bei and Cao Cao, a third player, Sun Quan (孫權), comes into power, and these three figures became the heads of the Three Kingdoms of Shu Han, Wei, and East Wu respectively. In Romance of the Three Kingdoms, Shu Han is considered to represent what is right and good, East Wu verges on being wrong and bad, and Wei is portrayed as being very wrong and positively evil. Hence, Cao Cao, founder of Wei, is shown to be totally immoral, unethical, and inhuman to the point of being cruel; Liu Bei, as founder of Shu Han, is portrayed as being benevolent, righteous, and human-hearted; and Sun Quan is caught somewhere between the two extremes, and is seen as a utilitarian person with no fixed set of principles. These characters are well-known to Chinese people in general because they represent the values and aspirations of their times, and reflect the forces of good and evil in conflict. In addition, their almost superhuman strength of character provides a source of inspiration for people, encouraging them to imitate or revivify chivalrous, courageous, righteous, and strategic patterns of behavior. Hence the characters in classical novels play an important role in shaping the Little Tradition (Ruhlman, 1964). When viewed as an encyclopedia of military and political ethics (Lei, 2000), the most intriguing parts of the novel are those revealing how battles were lost and won through strategic planning, in which the Confucian value of intelligence (zhi, 智) is prominently featured. Intelligence is exemplified primarily through two arch enemies, Zhuge Liang (諸葛亮) and Zhou Yu (周瑜). Zhuge Liang is portrayed as a moralist and gentleman (jun zi, 君子) and Zhou Yu as a petty man (xiao ren, 小人). Zhuge Liang repeatedly outwits Zhou Yu because the actions of the former are governed by loyalty (zhong, 忠), righteousness (yi, 義) and benevolence (ren, 仁), whereas those of the


latter are designed to benefit himself and the unscrupulous person he serves. The moral of the story could not be any clearer.

The Virtue of Loyalty The story begins with a demonstration of loyalty (zhong, 忠) in which the three heroes, Liu Bei, Guan Yu, and Zhang Fei, swear to form a brotherhood to defend the rulers of the Han Dynasty. Later, when it becomes clear that the rulers have submitted to the control of Cao Cao, a cruel, calculating, and narrow-minded minister, their loyalties gradually shift to the brotherhood, with Liu Bei as the big brother. A famous Chinese proverb, “Wives are like clothing, but brothers are like limbs,” comes from this novel and shows the priority given to the loyalty between sworn brothers over the love between husband and wife. In another example of loyalty, Guan Yu, who finds himself obliged to serve under Cao Cao for a short period of time due to Cao’s trickery, openly expresses his disenchantment at the situation and seeks to return to the side of Liu Bei as quickly as possible, because in his mind, Liu Bei is the only brother and overlord worthy of his loyalty.

The Virtue of Righteousness Although all of the heroes are portrayed as being in possession of this virtue, only Guan Yu is deemed to be the paramount exemplar of righteousness (yi, 義). On numerous occasions he risks his life to protect Liu Bei, not only out of a sense of loyalty, but also because it is simply the right thing to do. Guan Yu also releases Cao Cao from captivity because he feels indebted to him for having once taken him under his wing (Chapter 50 of the novel). His nickname, Guan Yi Gur (關義哥), literally translated as “the elder brother from the Guan clan with a sense of righteousness,” is well known amongst Chinese people. Over time, Guan Yu has effectively become a symbol for the virtues of loyalty and righteousness, as well as the official god of warriors and fighters. His statue is often displayed in places such as police stations and meeting halls of clandestine societies, where loyalty and righteousness are deemed to be of supreme importance. The antithesis of Guan Yu is Cao Cao, whose name is considered to be synonymous with treachery, trickery, dishonesty, betrayal, and other similar characteristics. In Cao Cao’s world there is no room for benevolence, righteousness, loyalty, propriety, or trust—all values which are highly esteemed in a collectivistic culture. In the novel, Cao Cao is extremely ambitious,

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fashioning himself as a conqueror and going to great lengths to attain his goals. One of his famous sayings is that he would rather betray the world than have the world betray him. Although his army is larger than the combined armies of the other two kingdoms, he is repeatedly defeated by them. Herein lies another Confucian teaching that in all endeavors, including wars, moral superiority is far more important than any technical skills to achieve results and success. In fact, these skills can neither be acquired nor exercised unless one has first been subjected to a course of moral cultivation (Ruhlman, 1964).

The Virtue of Benevolence Liu Bei (劉備) is portrayed as an exemplar of benevolence (ren, 仁). He is shown to care about his sworn brothers, his followers, and the common people he encounters, often risking his life and freedom to do so. Of course, his primary claim to benevolence lies in his intent to quell the rebellions against the Han Dynasty so that the common people can return to a life of peace and prosperity. Although Liu Bei is the most benevolent of the overlords, he is never able to realize his dream of unifying China, and this apparent contradiction with the Confucian moral teaching that benevolence will always prevail is simply written off in the end as a matter of fatalistic determinism. In this sense, Confucianism and Buddhism play complementary roles in the lives of the ordinary people.

The Virtue of Intelligence In addition to the battles fought in the field, the incessant battles of wits between Zhuge Liang, the chief advisor to Liu Bei, and various other characters in the novel have provided rich material for a range of modern-day activities, including television dramas and video games. Three notable instances of these battles of wits are as follows: 1. In Chapter 46, Zhuge Liang places a wager with Zhou Yu, his arch enemy in the department of wit and strategy, that he can obtain 100,000 arrows within a few days, failing which Zhou Yu can have his head. He accomplishes this task by tying straw figures onto boats and sailing them in thick fog towards Cao Cao’s military camp. Cao thinks that his camp is under attack, and counters by launching volleys of arrows towards the boats, thus enabling Zhuge Liang to obtain his 100,000 arrows. 2. In Chapter 90, during his attempts to colonize a tribe headed by a courageous warrior, Meng Huo (孟獲), Zhuge Liang catches him alive and subsequently


releases him seven times to demonstrate his superior ability to outwit his opponents. In the end, Meng willingly accepts being colonized. 3. In Chapter 49 of the novel, in a battle in which the main tactic involves using firepower, the presence of easterly winds is essential. However, easterly winds are extremely rare during winter. Zhuge Liang claims that he can use magic to “borrow” easterly winds from the gods. He erects an elaborate altar and orders the guards to follow specific rituals, and successfully “borrows” the easterly winds. In truth, Zhuge simply uses his extensive Taoist knowledge of weather forecasting to accomplish the task, but he builds the altar to inveigle the people, because no one would undertake such an important battle on the basis of his knowledge alone. In time, the name Zhuge Liang has become synonymous with sagacity, wisdom, intelligence, talent, wittiness, resourcefulness, and strategic planning ability, and Zhuge Liang himself exemplifies the Confucian virtue of intelligence (zhi, 智). Confucius believed that those who were intelligent were better able to demonstrate the virtue of benevolence (zhi zhe li ren, 智者利仁), and conversely, that those without intelligence could not hope to achieve benevolence (wei zhi yan de ren, 未智焉得仁). Furthermore, Confucians have always regarded intelligence as a protective shield, in that a person with intelligence cannot be tempted or become perplexed (zhi zhe bu huo, 智者不惑). This link between intelligence and benevolence is of great importance, as the success of the society relies on the work of intelligent people who know what to do in order to develop a harmonious social climate. Zhuge Liang is highly praised not only for his intelligence, but also for his love of the common people, for being incorruptible, and for living a simple and placid life while pursuing his dream of uniting China (Sun, 1994). In Romance of the Three Kingdoms, he is further portrayed as a person of infinite patience who never loses his composure and is always in control of his emotions. In short, he exemplifies the Confucian sage.

THE DREAM OF THE RED CHAMBER General Background The Dream of the Red Chamber (Hong Lou Meng, 紅樓夢) comprises 120 chapters. It is generally believed that the first 80 chapters were written by Cao Xuegin (曹雪芹), and the other 40 chapters were added later to provide an ending to the novel. The earliest version appeared around 1745. Today, popularized versions of the novel, operas, modern ballets, television dramas, and movies are usually based on the 120-chapter version.

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The Dream of the Red Chamber is a detailed account of the lives of the members of the extended Jia (賈) clan, which was one of the four most illustrious households in Beijing, the capital of China during the Qing Dynasty. At the beginning of the novel, the Jia clan is wealthy and influential, and in fact a female member of the family is made a royal concubine. However, the clan later falls out of favor with the ruling emperor, and all its worldly possessions are confiscated. The Dream of the Red Chamber has an amazing cast of 30 major and some 400 minor characters, most of whom are female.

Mythical Backdrop The Dream of the Red Chamber is basically a love story and is set against a backdrop of Chinese mythology featuring the Goddess Nuwa (女媧) who is charged with the responsibility of mending the Heavens. Nuwa leaves behind a stone which becomes sentient by absorbing the pure energy of the Universe. This sentient stone begs a Taoist priest and a Buddhist monk to carry it along with them to see the world. On the way, the sentient stone happens to provide sustenance to a celestial plant. Later, when the stone decides to be reincarnated as a man, the plant returns as a woman to repay its debt of gratitude. The sentient stone becomes the chief male protagonist in the novel, Jia Baoyu (賈寶玉), who is born with a precious jade stone in his mouth, and the celestial plant becomes one of the female protagonists, Lin Daiyu (林黛玉). Jia Baoyu is the adolescent heir to the Jia legacy, and Lin Daiyu is his cousin. Despite the passionate love they have for each other, Jia Baoyu is destined to marry another cousin, Xue Baochai (薛寶釵), and this love triangle becomes the theme of the novel. This novel is known as the encyclopedia of Chinese feudal society and is structured on the popular Taoist theme of immortals being banished from Heaven (Sun, 1997). Generally speaking, immortals are banished for some form of wrongdoing, but if they do something to redeem themselves, such as assisting a worthy person in need or volunteering for service on earth, they can be reincarnated as human beings. Regardless of the reason for banishment, after a period of life on earth, such immortals will again return to Heaven. A novel with such a structure promotes the notions of fatalism, dependent co-origination, and karma. Sun (1994) claimed that The Dream of the Red Chamber represented the cream of Chinese classical novels, illustrating a wide range of aspects of popular culture, such as cuisine, attire, landscaping, drama, art, customs, recreation, and tea culture. In a later discourse, Sun (1997) noted that the story began in the ethers, continued in this world, and returned again to the ethers, and told of karma which traversed three lives: the past, the present


and the future. In structuring the plot this way, the author expanded the capacity and expressiveness of the story. If the plot had been restricted to occurrences in the worldly lives of the characters and to mythological references, notions of karma and reincarnation would have been absent, and the philosophical aspects of the story would have been superficial and inadequate.

Women and Marriages All marriages in The Dream of the Red Chamber are arranged, and women of nobility focus on finding good matches for their children. In The Dream of the Red Chamber, Jia Baoyu and Lin Daiyu are in love but are destined never to be married, because in a collective and feudal society, marriages were based not on love, but on political and financial compatibility and expediency. Lin’s family is too low on the social and political hierarchy to be considered a suitable match for the powerful Jia clan. As for the status of women generally in feudal China, although there was no overt slavery, the trading of human lives was a common practice. Young girls from poor families were often treated as merchandise, and were either married off to rich men as concubines or sold to rich families as maids. Two chambermaids in The Dream of the Red Chamber commit suicide—one because she has lost face after being driven out of the Jia household, the other to demonstrate resistance to feudal oppression. Suicides were indeed a way (or the only way) for females to demonstrate resistance to perceived injustices in feudal China (Lee & Kleinman, 2000) In terms of gender relationships, women generally deferred to men, but hierarchy commanded more respect than gender. Therefore in The Dream of the Red Chamber, the authority of Grandmother Jia, who is the oldest and therefore most respected member of the Jia clan, is undisputed. This is a unique feature of feudal China, where hierarchy and the accompanying precepts of filial piety override gender.

The Impact of Taoism and Buddhism The impact of Taoism on the novel is quite evident. In the Garden of Great Vision (Da Kuan Yuan, 大觀園) inhabited by Jia Baoyu and his entourage of female companions, Baoyu leads a carefree life, far from the confines of social conventions. He lives not in observance of Confucian dictates, as a young man of nobility should, but rather for the pleasure derived from following his nature and impulses. He leads quite an active sex life and has multiple

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sex partners. Hence, the Garden of Great Vision is deemed to refer to the innocence of primordial times, when one acts impulsively and instinctively before social conventions and their accompanying restraints, conflicts, and traumas set in (Zhou, 2001). Baoyu refuses to make a name for himself and does not care about his “face.” Such presentation is antithetical to the Confucian pursuit of social prestige. It appears that Baoyu has defied conventional growth and development and opted for a primitive state of existence, or a state of harmonious/benevolent chaos (hun dun, 混沌) as it is known in Taoist philosophy. His way of life is frowned upon by his father, who holds an official position in the court, but he cannot be punished because of the doting protection he receives from his grandmother, the matriarch of the Jia clan. However, anyone else who is found encouraging Baoyu to indulge in “chaotic” behavior is immediately banished permanently from the household. When Baoyu is eventually forced into an arranged marriage and moves out of the Garden of Great Vision, Confucian order is imposed, and the Taoist paradise deteriorates into a wasteland, so evidently Taoist values cannot compete with Confucian values for dominance in the life of the nobility. However Baoyu refuses to be tamed, and instead elects to accept tonsure and become a Buddhist monk, so Buddhism effectively becomes the compromise between Confucianism and Taoism.

Literary Achievements In an article published in 2004, Sun elucidated the literary achievements of The Dream of the Red Chamber. To begin with, he pointed out that The Dream of the Red Chamber was the first major novel to depart from the “happy ending” format of Chinese literature. Earlier Chinese novels had generally been ensnared within the concept of karmic rewards and punishments, with the protagonists receiving their just rewards and the antagonists being justly punished in the end. The Dream of the Red Chamber dared to realistically portray the rise and fall of a family of nobility and the tragic dimensions of existence. On the issue of love and marriage, The Dream of the Red Chamber again deviated from traditional novels. Instead of having the protagonists fall in love because they were attracted by each other’s appearance, The Dream of the Red Chamber portrayed love based on intellectual compatibility. This was inconsistent with the dictates of feudal society, where political and financial compatibility were the primary concerns of parents and matchmakers; hence the love affair between the protagonists met with a tragic ending in which the woman died from tuberculosis and the man became a Buddhist monk.


In addition, unlike the other three classical novels, which had been transmitted orally from generation to generation, The Dream of the Red Chamber was written by a single author who explored the everyday life of people of his time, and whose characters were unique and real. Also, earlier literature had been male-dominated and had relegated women to unimportant or despicable roles, whereas The Dream of the Red Chamber gave a rich and complex account of the lives, hopes, aspirations, and sentiments of women in China. In so doing, it provided the first unbiased glimpse into the psychology of Chinese women. Finally, The Dream of the Red Chamber eschewed traditional plots with their complicated and eccentric story lines, instead revealing the extraordinary that was to be found in the ordinary everyday life of characters caught in an intricate web of interpersonal interaction. Since social orientation (K. S. Yang, 1995, 2006) and relational orientation (Ho, 1998) are distinguishing features of the Chinese culture, such an approach probably reveals more truthfully the psychology and patterns of communication of people from that period. In terms of language, the author resorted to the dialect spoken in Beijing, which made it more comprehensible to the public.

Values, Beliefs, and Causal Attribution In its depiction of the everyday life of the Chinese nobility, The Dream of the Red Chamber conveys the values, beliefs, and causal attribution upheld in feudal China, particularly various aspects of the social orientation model (Yang, 1995). These include: emphasis on family harmony; solidarity; honor and prosperity; adherence to relational formalism, interdependence, harmoniousness, fatalism, and determinism; demonstration of authority sensitization, worship, and dependence; and concern with other people’s opinions and inordinate regard for reputation and conformity. In addition, The Dream of the Red Chamber accentuates the importance of: • Respect for the feudal system and absolute loyalty to the Emperor, the Son of Heaven. One of the most celebrated highlights for the Jia clan is the instatement of one of its female members as a concubine to the Emperor. • Highly differentiated gender roles of men for the exterior and women for the interior. Hence, Jia Baoyu’s choosing to attach himself to the womenfolk rather than studying the Classics and aspiring to be a scholar-official is most disturbing to his father. • Respect for hierarchy. Grandmother Jia is indisputably the highest authority in the Jia clan. Whenever Jia Baoyu is reprimanded and about to receive a

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•


serious beating from his father, the womenfolk quickly send for Grandmother Jia to rescue him. There is also a clear demarcation of roles and authority in the Jia household, so interpersonal conflicts are either minimized or kept private. There is, however, a strong undercurrent of dissention, disagreement, and disparagement. Respect for the class system. In feudal China, there was a clear distinction between the nobility and the common people, and between masters and servants. When an inferior person in the dyad acted or spoke out of turn, punishment was immediate and severe. In this sense, Jia Baoyu is unusual in that he often regards his chambermaids and servants as his equals. Respect for intellectual and literary excellence. The favorite pastime of young people in Dream of the Red Chamber is attending the poetry society, where competitions in literary compositions are often held. The Buddhist belief in fatalistic determinism (yuan, 緣). The love triangle depicted in the novel illustrates this belief. At the end of the novel Jia Baoyu decides to become a monk, indicating his disillusionment with the world and his desire to break free of the cycle of fatalistic determinism. Emotional moderation. Emotional expressivity is disapproved of, so Lin Daiyu, who is overly emotional, is often frowned upon and considered to be both self-centered and immature, whereas Xue Baochia, who suppresses her emotions and never openly shows her dislike for anything or anyone, is considered socially mature.

JOURNEY TO THE WEST General Background Journey to the West (Xi You Ji, 西遊記), which was originally published around 1590, is a fictionalized account of the travels of a Buddhist monk who is commissioned by an emperor during the Tang Dynasty to obtain Buddhist sutras from India. The monk, Tang Sanzang (唐三藏), is aided by four disciples appointed by the Bodhisattva Guan Yin (觀音), namely the Monkey, Sun Wukong (孫悟空); the Pig, Zhu Bajie (豬八戒); Friar Sand, Sha Wujing (沙悟淨); and the third prince of the Dragon King, who is turned into a horse for Tang Sanzang. These four characters consent to become Tang Sanzang’s disciples to seek redemption for sins they have committed. The novel comprises 100 chapters, and begins by recounting the birth and early life of the Monkey. The pilgrimage takes 14 years, during which time the party of five encounters much hardship and defeats many monsters. When the pilgrimage is completed,

Journey to the West

the five characters receive promotions in the heavenly hierarchy, with Tang Sanzang and the Monkey attaining Buddahood. Many believe that Wu Cheng-en (吳仲庵), the author of Journey to the West, used the novel to hint obliquely at the rampant corruption that existed during the Ming Dynasty. For instance, although the Monkey is endowed with many supernatural powers, he is not regarded or respected by the celestial beings and deities as an equal. This apparently alludes to the righteous and upstanding officials in the government who were ostracized by the corrupt majority. The Pig is deemed to represent the typical corrupt official and petty man (xiao ren, 小人), Tang Sanzang is the fatuous and self-indulgent ruler, and Friar Sand is the common man subject to the whims of those in power. In the novel, the Pig makes frequent attempts to ingratiate himself with Tang Sanzang, discredit the Monkey, and victimize Friar Sand. Tang Sanzang often chooses to believe the Pig and blames or even punishes the Monkey, while Friar Sand opts to suffer in silence. This alludes to the then ruler’s propensity to favor corrupt officials over righteous ones and to ignore the suffering of the common folks. However, the age-old axiom of evil being punished and good being rewarded is repeatedly emphasized, with Tang Sanzang overcoming his many trials and tribulations with the aid of his disciples, particularly the courageous and loyal Monkey.

The Main Characters as the Embodiment of the Chinese Personality Tang Sanzang is simple and noble. He is easily deluded and cheated, and sometimes cannot distinguish between right and wrong, and good and evil. For instance, during a critical part of the journey, he chooses to listen to the rumors which the Pig spreads about the Monkey and drives the latter away, subsequently getting himself caught by cannibalistic demons and almost jeopardizing the entire mission. Tang Sanzang has to overcome a total of 81 challenges, many of which involve monsters who want to devour him in order to attain immorality. However, he is never actually harmed, and his sense of integrity and unwavering determination to access the Buddhist scriptures help him to stay on track. These challenges probably represent the various temptations a person is likely to encounter during his/her personal journey of self-cultivation towards the attainment of sagehood. The Monkey is characterized as vivacious, loyal, and righteous, and has been viewed as the embodiment of courage, quick-wittedness, and resourcefulness. He also fears neither deities nor demons. This fearlessness

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renders him virtually uncontrollable, so the Bodhisattva Guan Yin tricks him into wearing a metal wreath on his head which Tang Sanzang can tighten at will to make him behave. The metal wreath can be taken to symbolize the Monkey’s reluctant adherence to social and ritual propriety, and the thousandcatty metal cane he carries perhaps symbolizes his fierce intent to beat a path to what is right and good, and his innate desire to follow the Doctrine of the Mean (Sun, 1994). The Pig represents the little people through his greed and inclination to take advantage of others, his somewhat indolent behavior when he thinks no one is watching, his lust for beautiful women, and his attempt to get on the right side of authority figures by betraying his friends. However he does not make any attempt to hide these shortcomings. He is simple-minded, straightforward, does not hold grudges against others, and always manages to return to the side of righteousness during the most critical moments. The Pig could be said to be the embodiment of the Confucian belief that all are born good, but later go astray when they cannot resist temptations. However, when shown what is righteous, they can eventually return to the path of moral cultivation. According to Sun (1994), Friar Sand is the real Confucian gentleman (jun zi, 君子). He is not of noble descent like Tang Sanzang, yet he is loyal to him; he does not have the Monkey’s intelligence, yet he respects and loves him as an elder brother; and he knows that the Pig has a calculating personality, yet he chooses to accept him and is generous and permissive towards him. Thus, moral cultivation is shown not as a privilege restricted to a few, but as being accessible to all.

Taoism, Buddhism, and Confucianism Journey to the West is a novel about the Chinese supernatural world of deities and demons. Although the story is ostensibly about a monk in the Tang Dynasty who travels westward with his three disciples in a quest to find Buddhist scriptures, throughout the story there are numerous references to Taoist symbols and concepts, such as Taoist gods who reside in the Palace of the Jade Emperor, Taoist demons who wield magic to harm the Buddhist monk, and Taoist temples where the entourage sometimes seek accommodation and refuge. However, consciously or unconsciously, the Buddha and various bodhisattvas are always made out to be more powerful than the Taoist deities. This is interesting to note, as Taoism is indigenous to Chinese culture but Buddhism was imported from India. If one views religious practices today, Buddhist rituals continue to be held in much higher esteem than Taoist rituals. Confucian influences are also apparent in Journey to the West, in that even in the supernatural worlds, values

Outlaws of the Marsh

such as loyalty, filial piety, benevolence, and righteousness are upheld. The coexistence of Buddhist and Taoist deities, the frequent interchanges between them, and their portrayed interdependence may well reflect the indigenous religious beliefs that exist in Chinese societies even today.

Values and Beliefs Throughout the novel, the traditional theme that “evil cannot prevail over good” is repeatedly emphasized. For this reason, no harm can come to Tang Sanzang and his disciples, who are in pursuit of what is right and good. This theme illustrates the belief in a just world elucidated both in Confucianism and Taoism. Corollaries to this just-world belief are the notions of karma, retribution, and reincarnation. The supernatural worlds described in Journey to the West are evidently modeled on feudal societies with clear hierarchical and power structures. The Taoist world is presided over by the Jade Emperor, while Buddha heads the Buddhist world, and these two supernatural worlds have little or no overlap of authority, responsibilities, and power. Collective values are emphasized in the supernatural worlds, and individualism, such as that displayed by the Monkey, is frowned upon, controlled, or even punished. There is also an evident authoritarian orientation, with celestial beings in the novel displaying sensitivity to authority worship and authority dependence similar to human beings. Social propriety is also observed in the supernatural worlds. One of the most well-known and gravest of the mischievous acts committed by the Monkey is the disturbance he causes in the Heavenly Palace by eating a saucer of peaches of immortality meant for celestial beings higher up the hierarchy than himself, and by stealing and drinking the wine of immortality. The penalty for this violation of social propriety is loss of freedom and control by external forces, in which the Monkey has to suffer the indignity of wearing a metal wreath on his head which can be tightened to cause excruciating pain whenever Tang Sanzang recites a certain mantra.

OUTLAWS OF THE MARSH General Background Outlaws of the Marsh (Shui Hu Zhuan, 水滸傳), also translated as Water Margin, is set during the Song Dynasty (AD 960–1279). The chief antagonist in the novel is Gao Qiu (高俅), an extremely corrupt yet highly placed official

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who, through relentless endeavors, acquires exceptional influence in the imperial court as well as a great fortune. The chief protagonist is Song Jiang (宋江), a lowly placed official but a benevolent and righteous person, who is unjustly treated and victimized by his corrupt superiors and is eventually driven to become an outlaw. The first 30 or so chapters appear to be separate stories about different outlaws who are vaguely connected with each other. The story comes together somewhere around the fortieth chapter following the arrest, exile, and rescue of Song Jiang. Song Jiang becomes the leader of 108 outlaws and they set up camp in Mount Liang (梁山), in what is today’s Shandong Province. The 108 outlaws come from all walks of life, including a martial arts trainer from the Imperial Army, fishermen, a government official, and innkeepers. The common element drawing these outlaws together is their disgruntlement about the hardships endured by the common people due to the widespread corruption in the government. Although the majority of the characters are often involved in physical altercations and resort to the use of force quite easily, they are portrayed as being loyal to their comrades-in-arms, willing to sacrifice their lives for each other, and righteous in the sense that they rob the rich to aid the poor. After winning many battles against the government army, the outlaws’ apparent invincibility results in the Emperor granting them amnesty and commissioning them to form an army to quell invasions from enemies of the dynasty. However the 108 outlaws meet with tragic deaths in the ensuing battles.

The Culture of Chivalry Outlaws of the Marsh is an exemplar of the culture of chivalry (xia yi, 俠義) and heroism in China, and has been made into numerous movies, television serials, dramas, video games, and cartoons. Outlaws of the Marsh also vividly describes the life of the Chinese around the tenth century. The novel centers on the theme of rebellion of the people against suppression, corruption, and injustice in a feudal society. Such a right to rise up against a corrupt government was asserted by the great Confucian philosopher, Mencius. He suggested that rulers who had become non-benevolent and had ceased to follow the Way of Humanity should be replaced. In fact, it has been suggested that the society formed by the 108 outlaws and their followers was more authentically Confucian than orthodox society at the time, as the values of benevolence, righteousness, loyalty, and others were closely observed by the outlaws, whereas in orthodox society these values had been abandoned. Hence, it was a sad state of affairs

Synopsis

that ordinary men had to become robbers in order to be able to behave like Confucian gentlemen (Ruhlman, 1964). The 108 outlaws in the novel are worshipped as heroes because they are honest and straightforward in a world fraught with deceit, treachery, and pretensions. Their friendship, although formed under unusual circumstances and in humble places, is at least congenial and long-lived. These are men who would gladly lay down their lives for people they consider worthy of their friendship. They are not afraid of dying, and would rather die than be humiliated or disloyal to their friends. These qualities of personal integrity, loyalty, and courage were what the common people aspired to but, because of the demands of reality, could only experience through fictional heroes.

Values and Beliefs Collective orientation is apparent throughout the novel, as demonstrated in the formation of the brotherhood of outlaws, the amalgamation of their talents, the interdependence between the characters, and their power in numbers. The central values which keep the brotherhood together are loyalty and righteousness. Righteousness is shown in the fact that they fight against unjust and inhumane treatment, which gives meaning to their life as outlaws, and loyalty is shown in their allegiance to each other, which enables them to form an indomitable army. The acceptance of the amnesty granted by the Emperor alludes to authority worship, authority dependence, and the high value placed on demonstrating loyalty to authority of the highest order. Ending the story with the granting and acceptance of amnesty was ostensibly the author’s way of affirming the supremacy of Confucian values, because heroes and robbers are simply incompatible in the Confucian notion of moral cultivation. However, the author inserted a cynical note by having the “reformed” outlaws die tragic deaths. This was perhaps his way of sneering at the hypocrisy and pretentiousness of the scholarly elite, who preached the virtues of Confucian values but did not practice them.

SYNOPSIS Collectivistic Tendencies It is interesting to note that individualism is not lauded in any of the Four Classics. In Romance of the Three Kingdoms, Cao Cao (曹操), who is no less a military genius than his arch rival, Liu Bei (劉備), is referred to as an

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“unscrupulous hero” because he unashamedly admits that his ambitions are purely self-centered. In The Dream of the Red Chamber, Lin Daiyu (林黛玉), who thinks for herself, refuses to heed the advice of others, and does not conform to behavioral norms (e.g., she mourns the withering of flowering plants and performs a burial ceremony for flower petals), is considered immature and an unsuitable wife for the main protagonist. In Journey to the West, the Monkey (Sun Wukong, 孫悟空), who pays no regard to social and ritual propriety in the supernatural worlds, has to be reined in. In fact, he has to be taught through painful punishment to conform to the norms of the collective. In Outlaws of the Marsh, Gao Qiu (高俅), whose only concern is to amass power and wealth to satisfy his own needs, is made out to be a thorough villain. On the other hand, characters who place collective interests before personal desires openly receive social approval, and are lauded as heroes or even deified. In Romance of the Three Kingdoms, Guan Yu (關羽), who has no ambition of his own and is always ready to lay down his life for his brothersin-arms, is praised as the epitome of loyalty, righteousness, and courage, and is deified and worshipped even today. In The Dream of the Red Chamber, Xue Baochai (薛寶釵), who is always considerate and shows concern for the needs of others, is favored over Lin Daiyu and earmarked to marry Jia Baoyu (賈寶玉), the heir of the Jia household. This is despite the fact that everyone knows that Lin Daiyu is a more genuine person than Xue Baochai and is truly in love with Jia Baoyu. In Journey to the West, the Pig (Zhu Bajie, 豬八戒), who is evidently more collectively oriented than the Monkey, is more favored by the guileless monk, Tang Sanzang (唐三藏), although the Pig’s greed and stupidity almost cost Tang his life on more than one occasion. In Outlaws of the Marsh, Song Jiang (宋江), the leader of the gang of robbers, is portrayed as a hero for the benevolence he shows to people under his care, for his willingness to sacrifice himself for others, and for always putting the needs of others before his own. Familistic orientation is also apparent in the Four Classics. In The Dream of the Red Chamber, which centers around the rise and fall and the everyday life of the extended Jia household, lineage prolongation is emphasized, which explains the obvious son preference and the dotage that the male heir, Jia Baoyu, receives despite his indolence and unproductive behavior. The high value placed upon family prosperity and family honor is evidenced by the great joy felt by all when a Jia daughter is made an imperial concubine; and the pursuit of relational harmony is demonstrated by the clear division of labor in the women’s quarters. In both Romance of the Three Kingdoms and Outlaws of the Marsh, the familistic orientation is extended to the brotherhoods of military men and bandits, in which solidarity, honor, and prosperity are

Synopsis

emphasized. In Journey to the West, the entourage formed by total strangers gradually assumes the appearance of a family, with Tang Sanzang heading the household and possessing authority over the others, despite the fact that he is physically the weakest. The notion that families ought to stick together through thick and thin for the attainment of a collective goal is also clearly illustrated in Journey to the West.

The Self in the Four Classics In the Four Classics, introductions to individual characters invariably refer to their lineages, their provinces of origin, any positions they may hold in government, and their relationships with people of popularity or notoriety. It is as if their worth should be gauged in terms of those they know rather than who they are as individuals; or, as Ho (1998) puts it, the realness of the self can only be grasped when his/her relationships with others, groups, and society are explored. Furthermore, the operating self (da wo, 大我) always takes precedence over the private self (xiao wo, 小我), otherwise the characters find themselves facing the risk of being criticized, punished, or ostracized, as in the cases of Cao Cao, Lin Daiyu, and the Monkey. Characters in the Four Classics are constantly worried about the opinions of others and are always endeavoring to preserve similarities and reduce differences. Uniqueness, creativity, and originality are suppressed due to a high regard for reputation. Hence, face management becomes an integral part of everyday life. For instance, a chambermaid in The Dream of the Red Chamber commits suicide after being driven out of the Jia household because she construes this as a face-losing incident rather than a return to freedom. In Journey to the West, the celestial beings appeal to the Bodhisattva Guan Yin (觀音菩薩) to restrain the Monkey because he has embarrassed them and caused them to lose face. In Romance of the Three Kingdoms, Zhou Yu (周瑜), after thrice being outwitted by Zhuge Liang (諸葛亮), suffers an irredeemable loss of face and dies in utter frustration.

Confucianism, Taoism, and Buddhism in the Four Classics Confucian values are overwhelmingly emphasized in all of the Four Classics. In Romance of the Three Kingdoms, the plot is developed around the values of benevolence, righteousness, loyalty, and intelligence. In The Dream of the Red Chamber, values of family honor, prosperity, harmony, and solidarity are emphasized. In Journey to the West, the mission of obtaining the Buddhist sutras is completed because of the loyalty, righteousness, and intelligence

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demonstrated by the disciples of Tang Sanzang. Outlaws of the Marsh is an exemplar of the values of loyalty and righteousness, the essence of which is perhaps captured in the popular saying that even bandits follow the Way of Humanity (dao yi you dao, 盜亦有道). It is of interest to note that although filial piety was considered to be the greatest of all virtues in the Confucian tradition, its presence in the Four Classics is only peripheral. Perhaps the virtue of filial piety had been so deeply ingrained in the Chinese that it was considered unnecessary to emphasize it in the novels. As for Taoism, its presence in Romance of the Three Kingdoms is mainly depicted in the military strategies of Zhuge Liang, the chief counsel to Liu Bei. Zhuge Liang is extremely conversant with astrology and weather forecasting, both of which were widely used by practicing Taoists. Furthermore, when Liu Bei beseeches Zhuge Liang to become his chief counsel on three separate occasions, Zhuge Liang has already retired to a world of inaction (wu wei, 無為) and is living in a grass hut, leading the life of a typical Taoist. The Dream of the Red Chamber is structured on the popular Taoist theme of immortals being banished from Heaven, and the choice of the main protagonist, Jia Baoyu, to live a carefree life with his entourage of female cousins and chambermaids is reminiscent of the Taoist notion of following one’s impulses and instincts and rejecting the bondage of orthodoxy. In Journey to the West, while the position of Taoism as China’s folk religion is undisputed, Taoism and Buddhism are often presented as being complementary to each other. Regarding Buddhism, with the exception of Journey to the West, the classics reflect subscription to the notions of karma, retribution, and reincarnation. In Dream of the Red Chamber, upon the downfall of the Jia family, the main protagonist, Jia Baoyu, realizes that life is but an illusion and decides to relinquish all suffering and extricate himself from the Wheel of Karma by becoming a Buddhist monk. In Romance of the Three Kingdoms, karma is used to rationalize the fact that although Liu Bei is the most benevolent of all the overlords, he has been unable to unite China under his rule. In Outlaws of the Marsh, the meeting of the main characters and the formation of the brotherhood are readily attributed to karma. In Journey to the West, whilst the subscription to the notion of karma is not immediately apparent, the entire novel is structured upon the theme of an imperially ordained mission to obtain authentic Buddhist sutras from India. Additionally, the mission could not have been accomplished without the timely intervention of various bodhisattvas. Finally, the status of Buddhism in China is affirmed when the master and disciplines are rewarded not with earthly riches, but with promises of Nirvana. The Four Classics provide a glimpse into the Little Tradition of the Chinese people, and permit us to gain a realistic understanding of the values,

Synopsis

beliefs, and causal attribution of the common people. When these are compared with the Great Tradition espoused in the philosophies of Confucianism, Taoism, and Buddhism and the works of scholars, we can easily see that there is an absence of overt contradictions and a presence of interdependence between these two traditions. Indeed, the Great Tradition and the Little Tradition viewed together facilitate a more comprehensive understanding of the Chinese people, and should be explored side by side to render a fuller picture of the Chinese psyche.

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Key Terms

ba zheng dao 八正道 The Noble Eightfold Path, the way to follow to extricate oneself from the Wheel of Karma. Chinese value survey A Chinese tool for measuring cultural values. It includes four dimensions, namely social integration, human-heartedness, Confucian work dynamism, and moral discipline. cognitive model of emotion An appraisal of the environment as the major component determining emotional responses. da wo 大我

The large self or the operating self.

dao si 道士

Taoist monks.

diagnostic skills in TCM The Chinese terms for these are observation (wang, 望), listening and smelling (wen, 聞), questioning (wen, 問), and palpation (qie, 切). dimensions of emotion A circumplex in which emotion-related words fall roughly in a circle in a space with axes, such as pleasure–displeasure and sleepiness–arousal. face Represents an individual’s claimed sense of positive image in the context of social interaction (Ting-Toomey, 1988). The Chinese words for face are mian (面), mian zi (面子), and lian (臉). facework Refers to the strategies used in interpersonal communication to enact self-face, and to sustain, support, or challenge another person’s face (TingToomey & Kurogi, 1998).

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Key Terms

filial attitude Comprises filial cognition, filial affect, and filial intention. filial piety In Confucianism, it is deemed to be the most important virtue and is the precursor of all other virtues. Filial piety denotes attitudes of caring and respect for one’s elders. gender roles Refers to the culturally defined roles played by men and women. For example, in the Chinese culture, men are expected to be stern, and women are expected to be nurturing. guanxi 關係 hsien 仙

Refers to a network of personal ties or personal connections.

An immortal or celestial being.

Huangdi Neijing 黃帝內經 Translated as The Yellow Emperor’s Classic of Internal Medicine, this classical text for TCM comprises two parts. Part One is the “Common or Plain Questions” (su wen, 素問) and Part Two is the “Spiritual or Miraculous Pivot” (ling shu, 靈樞). hyper-recognition of emotions Refers to a situation where, as a result of cultural variants, certain emotions are much more readily recognized than others. idiocentricism–allocentricism The equivalent of individualism–collectivism at the level of the individual. independent construal of self The viewing of oneself as an individual whose behavior becomes organized and takes on meaning by referring to one’s internal processes of thoughts, feelings, and actions. individualism–collectivism A bipolar continuum used in cultural psychology, and the most researched dimension of culture. interdependent construal of self The viewing of oneself as part of a social relationship and the realization that one’s behavior is determined by what one perceives to be the thoughts, feelings, and actions of other people in the relationship. jun zi 君子

A moralist and/or gentleman.

karma A Buddhist concept. Karma is deemed to be produced by the things we do and the accompanying effect of these deeds. It is believed that our current state of being is the result of past karma (Niwano, 1990). li 禮 Propriety, includes a broad range of cognition and behavior from simple politeness to ritual propriety to understanding one’s correct place in society. lian 臉 A Chinese word for face, this has been philosophically interpreted as representing society’s confidence in the integrity of the average person. The best way of comprehending what lian represents is to understand that when a

Key Terms

person loses his/her lian, it becomes extremely difficult for him/her to operate properly in society (Hu, 1944). liu dao lun hui 六道輪迴

The Six Paths of Transmigration.

masculinity and femininity A bipolar dimension of culture. Masculinity is characterized by the high values placed upon success and achievement. Femininity is characterized by the value placed upon quality of life and caring for others. mian 面 or mian zi 面子 Refers to the reputation achieved through getting on in life, or through success and ostentation (Hu, 1944). Mian zi can be derived from a number of things, including ascribed and achieved status and social or non-personal factors (Hwang, 1987). ming yun 命運 The Chinese term for fate which is made up of two idiographs, 命 (ming) meaning life, and 運 (yun) meaning luck or auspiciousness. nan zhu wai, nu zhu nei 男主外, 女主內 Literally translated as “men in charge of the exterior, women in charge of the interior,” this is a Confucian demarcation of gender roles whereby men are responsible for matters on the outside, and women are responsible for matters related to the running of the household. However, men are still the recognized heads of the family. negative face Involves one’s quest for autonomy or not being imposed upon by others (Brown & Levinson, 1987). one-child policy Refers to the birth control policy instituted by the government of the People’s Republic of China which limits the number of births to each couple. In urban areas, couples are allowed to have one child. In rural areas, two children are allowed, and in some rural villages, couples can continue to bear children if they have previously had only daughters. positive face Involves the upholding of one’s self-esteem or the parts of self for which one seeks the appreciation and approval of others (Brown & Levinson, 1987). power distance Reflects what occurs in a group when differences in power are perceived. qi 氣

The vital force in the body, which is a synergy of yin and yang.

reciprocity The obligation most people feel to the care for their parents in return for the love, care, and concern they have received. ren 仁 Benevolence, humanity or human-heartedness. san bao 三寶

The three Taoist virtues of compassion, moderation, and humility.

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Key Terms

self-cultivation A Confucian concept which denotes an individual’s lifelong endeavors to become a moralist and gentleman. self-in-relations Suggested by Ho (1998), it states that individual behavior ought to be comprehended in its relational contexts. shen 神 Literally translated as “soul” or “spirit,” this refers to the spiritual capacity of the mind. shenjing shuairu 神經衰弱 Also known as SJSR or neurasthenia. Prior to the 1980s, this was the most popular diagnosis for mental and emotional distress in China. shi er yin yuan 十二因緣 rebirths and their fates.

The Twelve Yin Yuan, the whole vicious cycle of

si di 四諦 The Four Noble Truths: that the unenlightened life is one of suffering; suffering originates from greed; freedom from suffering is attainable through the cessation of greed; and to attain Nirvana, one has to follow the eightfold path. social orientation Put forward by Yang (1995), it consists of four modalities, i.e., familistic orientation, relationship orientation, authoritarian orientation, and other orientation. somatization Refers to the substitution of physical symptoms, including illness, for dysphoric affect (Kleinman, 1980). son preference Sons are more valued than daughters in the Chinese culture because of their responsibilities for family propagation, providing old age security to parents, and performing rites and rituals of ancestral worship. tao kuan 道觀

A Taoist temple.

tao 道 The order of nature, the way in which the Universe works. TCM (traditional Chinese medicine) A system of holistic medicine that has existed in China for over 5,000 years. The classical text for TCM is The Yellow Emperor’s Classic of Internal Medicine (Huangdi Neijing, 黃帝內經). Uncertainty avoidance Reflects the degree to which people feel threatened by ambiguous situations, and have created beliefs and institutions to avoid these. wu lun 五倫 The five dyadic relationships between ruler and minister, father and son, husband and wife, older and younger brother, and friends. wu wei 無為 Literally inaction or inactivity, but taken in Taoism to refer to an attitude of not engaging in any activity which is contrary to Nature.

Key Terms

wu xing 五行 The Five Elements of metal, wood, water, fire, and earth, used to explain and predict natural phenomena . They interact with each other either through inhibition or enhancement. xian qi liang mu 賢妻良母 Literally translated as devoted wife, dutiful spouse, and exemplary mother, this is the role prescribed for women in the Confucian and Neo-Confucian texts. xiao jin 孝敬 spect. xiao shun 孝順

Filial piety with an emphasis on showing reverence and reFilial piety with emphasis on obedience.

xiao wo 小我 The small self or the private self. The xiao wo is expected to sacrifice itself for the fulfillment of the da wo. xiao 孝 The Chinese ideograph for “filial”; filial piety. yi 義 Righteousness, demonstrated through matching one’s action with what is right and proper. yin and yang 陰陽 A Taoist concept that in nature, events and matters always exist in pairs of contrasting states. Within the context of health, disequilibrium between yin and yang is deemed to be responsible for feelings and sensations of distress and discomfort. yin yuan 因緣

Karma, produced by all of our behaviors, feelings, and thoughts.

yuan 緣 A traditional Chinese system of causal attribution in which it is denoted that the occurrence, type, duration, and content of a relationship are not held to be socially constructed, but to be somehow predestined, inevitable, and something over which people have limited control. Yuan has been translated as “cause” and “reason” (Yang & Ho, 1989), dependent co-origination (Dissanayake, 1983), and fatalism (Yeh, Arora, & Wu, 2006), to name just the more important ones. yuan fen 緣份 This is distinct from yuan, and refers to a situation where the conditions for forming a relationship are present and the relationship actually comes to fruition, such as in a marriage. There is a transient nature to yuan, whereas yuan fen is more stable and enduring. zhong 忠 Loyalty. zhong yong 中庸 The Doctrine of the Mean exhorting individuals to act in moderation at all times.

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