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American responses to five categories of shame in Chinese culture: A preliminary cross-cultural construct validation
Personality and Individual Dierences 28 (2000) 887±896
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American responses to ®ve categories of shame in Chinese culture: A preliminary cross-cultural construct validation Harry Frank a,*, O.J. Harvey b, Karen Verdun c a
b
Department of Psychology, The University of Michigan-Flint, Flint, MI 48502-2186 USA Department of Psychology, University of Colorado, Campus Box 345, Boulder, CO 80309-0345, USA c Flint, MI, USA Received 19 October 1998; received in revised form 27 May 1999; accepted 12 June 1999
Abstract Bedford (1994) presents ethnographic evidence for ®ve distinct forms of shame in Chinese language and culture. This study attempted to determine (1) whether these forms of shame were distinct emotional responses or linguistic categories identifying shame-appropriate circumstances and (2) whether these ®ve forms of shame are aectivily distinguishable by Americans, given that Americans typically use fewer categories in describing shame. Nine scenarios written to capture the ®ve forms of shame were rated on 28 aect descriptors by 85 American Ss. The descriptor means were calculated across Ss for each scenario and the inter-scenario correlations were submitted to a 5-factor principal axis factor analysis. Of the 45 factor pattern coecients generated by oblimin rotation, only two coecients on a single scenario were inconsistent with the a priori grouping of scenarios, suggesting that Americans are as capable as Chinese of experiencing distinct varieties of shame, even though the distinctions may not arise in everyday life nor be re¯ected in ordinary English usage. Implications for the Sapir±Whorf hypothesis are discussed. # 2000 Elsevier Science Ltd. All rights reserved.
1. Introduction Western psychology and sociology have an extensive tradition of distinguishing guilt from shame (see Harvey, Gore, Frank and Batres, 1997, for a review) but have only recently begun * Corresponding author. Tel.: +1-810-762-3424; fax: +1-810-762-3687. E-mail address: [email protected] (H. Frank). 0191-8869/00/$ - see front matter # 2000 Elsevier Science Ltd. All rights reserved. PII: S 0 1 9 1 - 8 8 6 9 ( 9 9 ) 0 0 1 4 7 - 6
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to explore the various faces of shame (e.g., Gore & Harvey, 1995). Sousa's (1977) factor analysis of the Dimensions of Conscience Questionnaire (DCQ) developed by Johnson and his associates (e.g., Johnson & Noel, 1970) yielded only a single shame/embarrassment factor, which was de®ned by items depicting ``status incongruity''. Johnson et al. (1987) found these results largely consistent across Ss from three countries, the United States (Hawaii), South Korea and China (Taiwan). In contrast, Bedford (1994) reports that Chinese culture and language have traditionally recognized at least ®ve distinct forms of shame: diu lian, can kui (pronounced shan quay ), xiu kui (pronounced sho quay ), xiu chi (pronounced sho tswi ) and two virtually interchangeable embarrassment responses, bu hao yi si and nan wei qing. Bedford's characterizations of these categories of shame were extracted from interviews with 34 Chinese and Taiwanese women and from the content of scenarios describing various improprieties, for which her informants identi®ed the form(s) of guilt and shame most likely to be evoked. Diu lian (lit.: loss of face). Feeling of shame that occurs with loss of reputation or standing in the eyes of others. Lian and its loss are both social judgments and have no direct implications for either one's character or competence. Diu lian therefore requires public exposure of one's transgression or shortfall and is painful only insofar as one values the opinions of others (Bedford, 1994, p. 46). Younger, less traditional Chinese women use the word much as an American might use `morti®ed', as in, ``I would be utterly morti®ed if anyone found out about. . . ''. Diu lian may thus be akin to ``shame anxiety'' as discussed by Wurmser (1981) or the form of shame anticipated in shame anxiety as treated by Harvey, Frank, Gore and Batres (1998). The one item reported by Bedford (1994, p. 62) for which diu lian was clearly the predominant response (68%) was, ``Xiao Fen is dumped by her boyfriend''. Can kui. Feeling of shame that occurs with failure to attain a personal ideal. According to Bedford (1994, p. 50±51), can kui is a mild, perhaps even wistful, regret that one did not do something dierently or better. Can kui often involves failing to meet an ideal that is important to another person but not to the actor him/herself (cf. Higgins's, 1987, other's ideal self vs. own ideal self). The essence of negative aect derives from having let down another person (the character kui connotes harm to another person), rather than failure per se, is frequently associated with acts of omission, rather than commission and is often mitigated by situational attribution. The item reported by Bedford for which can kui is the predominant response (35.8%) is, ``Mei Li has to give an important speech on a topic that she knows well. She does not prepare and the speech goes poorly'' (1994, p. 63). Xiu kui. Feeling of shame occasioned by perceived personal failure resulting in harm to someone else (cf. explanation of kui, above). This response accompanies a discovery of some personal inadequacy or other negative aspect of oneself (Bedford, 1994, p. 52), so unlike diu lian requires no public knowledge of the shortfall. Nor does it arouse a sense of indebtedness to the person harmed, which is a necessary concomitant of guilt, nei jiu. Rather, xiu kui ``brings thoughts of how to improve and resolve to change for the better in the future'' (Bedford, 1994, p. 52). Xiu chi: (deep shame). Feeling of shame that occurs with perceived social failure. According to Bedford, this is the strongest of the emotions identi®ed by her informants. Unlike the re¯exive xiu kui, which several of Bedford's informants described as the feeling of having a ``stain on the heart'' (Bedford, 1994, p. 52), xiu chi was characterized as a feeling of having a
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``stain on one's face'' (Bedford, 1994, p. 54), not unlike the Anglo-American ``blot on one's escutcheon''. Whereas a stain on the heart is invisible to others, a stain on the face is immediately visible to all, a scarlet letter that forever marks the infractor as deserving of universal condemnation. Bedford's description of xiu chi conforms most closely to the notion of shame advanced earlier by the present authors (Harvey et al., 1997): the feeling of an invalidated and ... fractured self-identity, accompanied by a suusive feeling of self-abasement triggered by a public shortfall on a role standard accepted by both the infractor and the referent other as a requirement for the status claimed by the infractor (p. 135). Accordingly, xiu chi is that form of shame attended by the fear of banishment, desire to hide and the likelihood of self-banishment (Bedford, 1994, p. 55) that Harvey et al. (1997) regard as the distinguishing emotional ®ngerprints of shame. More than any of the other forms of shame, xiu chi can be aroused by the conduct of others with whom one identi®es. Bu hao yi si and nan wei qing. Embarrassment due to social impropriety. These emotional responses are treated jointly by Bedford (1994, p. 64±67) and would seem from her informants to dier only slightly in their usage and emotional quality. Nan wei qing is invariably accompanied by the familiar, real or imagined, ¯ush of embarrassment, whereas bu hao yi si may involve a more purely cognitive recognition of a socially awkward situation. Both are mild, situation-speci®c and transient. The distinctions reported by Bedford are intriguing in many respects: public versus private knowledge of the shame-arousing shortfall, focus on action versus actor (cf. Niedenthal, Tangney and Gavanski's (1994) distinction between what one is and what one does ), focus on self versus other, etc. These issues, however, beg two more fundamental questions, which surround the historically debated issue of whether the scope and quality of perceptual discriminations and other experiences of impinging stimuli are limited by the linguistic categories available in one's language, so that individuals with dierent lexicons are incapable of similarly perceiving and otherwise experiencing the same stimulus situations: 1. Are the ®ve linguistic categories of shame subjectively distinct emotional experiences, or are they labels for situational factors that are considered culturally appropriate to arouse shame? 2. Are these ®ve categories cross-culturally generalizable, i.e. discernible to a culture group that makes fewer distinctions in ordinary discourse? Categorical determinists, particularly Sapir (1929) and Whorf (1950), argued that linguistic categories, as basic norms of a group or community, create unique views and experiences of the world not accessible to communities or persons with dierent lexicons. ``The fact of the matter,'' according to Sapir, is that the ``real world'' is to a large extent unconsciously built up on the language habits of the group. No two languages are ever suciently similar to be considered as representing the same social reality. The worlds in which dierent societies live are distinct worlds, not
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merely the same world with dierent labels. Even comparatively simple acts of perception are very much more at the mercy of the social patterns called words than we might suppose. . .. We see and hear and otherwise experience very largely as we do because the language habits of our community predispose certain choices of interpretation (1929, pp. 209±210). Whorf likewise conceived of language as embodying and perpetuating a world view, not as a ``cloak following the contours of thought'', but as ``molds into which infant minds are poured'' (Brown & Lenneberg, 1954, p. 454). Opposition to categorical determinism was largely grounded on the position that linguistic categories may in¯uence cognitive processes (e.g., Bartlett, 1932; Carmichael, Hogan & Walter, 1932; Sherif, 1935) but that individuals can distinguish their world in ways not embodied in their existing lexicon, thereby enabling persons with diering linguistic categories to perceive and experience common stimulus events in much the same way. The widely referenced (and overinterpreted) observation by Franz Boas (1911) that the traditional Eskimo used dierent words to distinguish dierent varieties of snow while English speakers had only one word for snow ``cannot be taken to mean that they [the English speakers] are unable to see the dierences'' (Brown & Lenneberg, 1954, p. 455). Klineberg presents a similar conclusion based on his research with the Huichol Indians, whose lexicon included words for ``my father'', ``your father'' and ``his father'', but no word for ``father''. Yet, they were ``perfectly capable of understanding the idea of `father' '' and could supply a word which ``could be used with that meaning'' (Klineberg, 1954, p. 51). In support of their opposition to the Sapir±Whorf hypothesis, Brown and Lenneberg (1954) demonstrated that American college students could code or distinguish more colors than those for which they had names. It remains unclear, however, whether dierent lexicons preclude similar distinctions and experiences of shame-inducing situations, which would be expected to be more stringently de®ned and of greater aective involvement than unnamed colors. This was the focal question of the present study, which we addressed by investigating the more speci®c question of whether American college students are capable of making aective distinctions among scenarios written to capture the conditions described by Bedford as appropriate to the ®ve categories of shame linguistically distinguished in Chinese culture. 2. Method 2.1. Subjects Participants were 85 undergraduate students (70 women and 15 men) recruited from psychology classes at the University of Michigan-Flint and awarded extra credit by their course instructors for research participation. 2.2. Measure: feelings questionnaire Based on Bedford's characterizations of the ®ve forms of shame (e.g., whether an audience is
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required, whether the transgressor is oneself or another, etc.), the ®rst and second authors drafted nine scenarios, two each intended to evoke diu lian, can kui, xiu kui and xiu chi and one intended to evoke nan wei qing (see Table 1). In addition, we included the two scenarios that de®ned the guilt factor Harm to Another Person and the two scenarios that de®ned the guilt factor Trust Violation in factor analyses reported by Gore and Harvey (1995). Each scenario was followed by the statement ``If I were in the situation described in the scenario above, I would feel'' followed by a list of 28 descriptors (see Table 2), each accompanied by a four-point scale, A=Very Strongly, B=Fairly Strongly, C=Somewhat, D=Not at All1. Twenty-four of the descriptors were intended to capture emotional qualities of shame and four were intended to capture emotional qualities of guilt. The shame descriptors were drawn in part from a key cluster analysis (Tryon & Bailey, 1970) by Gore and Harvey (1994) that used similar methodology to distinguish aective qualities of the guilt and shame factors extracted by Sousa (1977) from the DCQ. Our four guilt descriptors were the two each that loaded most highly on the guilt factors reported by Gore and Harvey (1995). The present paper examines only results bearing on the shame-evoking scenarios. 2.3. Procedures The third author administered the Feelings Questionnaire to groups of 10±20 participants. The ®rst page of the questionnaire included a reminder that participation was entirely voluntary and could be discontinued at any time but that some instructors who award extra credit for research participation might not give credit for incomplete participation. The last page of the instrument was a debrie®ng statement summarizing the forms of shame reported by Bedford and the basic research questions enumerated above. 3. Results Responses from each S produced a scenario descriptor matrix, which yielded a 3dimensional data collection: subjects scenarios descriptors. This required that data be collapsed along one dimension to obtain a workable matrix (i.e., a 2-dimensional array). The present report examines the matrix of the 28 descriptor means (calculated across Ss ) 9 shame scenarios. Factor analysis of this material therefore treated descriptors as cases and scenarios as variables, so the factors extracted in the analysis were de®ned by groups of scenarios. Data were submitted to a principal-factor factor analysis (Harman, 1968, pp. 136±186) using the SPSS (1997) software package.
1
Response categories on Ss`s answer sheets were arranged left to right from `Very Strongly' to `Not at All'. To minimize clerical errors, responses were scored 1=Very Strongly, 2=Fairly Strongly, 3=Somewhat and 4=Not at All. To facilitate interpretation of results, mean scores were subtracted from 5 by computer before data analysis. Thus, a raw score mean of 1 (Very Strongly) shows up in all output as 4. Also, factor scores derived from matrices of means were computed using these transformed means.
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Table 1 Shame and guilt scenarios Scenario
Intended response
xiu chia 1. You are caught in a police round-up of prostitutes and their clients and arrested despite your claim that you were simply asking directions in an unfamiliar neighborhood. Local newspaper reporters and TV crews accompany the police and you post bail in time to return home and see yourself named and prominently featured on the 11:00 o'clock news. 2. You reveal something about a person that the person told you con®dentially.
guilt-trust violation
3. For fear of becoming unpopular, you say nothing in defense of a friend who is being slandered, even though you know that the gossip is untrue.
xiu kui
4. As one of the top ®ve students in an undergraduate research seminar, you are selected to diu lian present your term project in class. You have worked long and carefully on the project and you are proud of it, but a few minutes into your presentation, your instructor points out a critical and extremely obvious error, which completely undercuts your theme and invalidates all of the conclusions to which you were leading. 5. Your boss makes frequent racist slurs and sexist jokes about your fellow employees and even though you are sickened by these comments, you always smile agreeably.
xiu kui
6. As manager of a small manufacturing plant, you retain working conditions that are known to be harmful to your workers' health and which violate basic safety standards.
guilt-harm to
7. Your College Quiz Bowl team is depending on you in an important match that will be broadcast on the local PBS television channel. Other activities leave you insucient time to prepare adequately and you perform badly. Your team loses.
can kui
8. You continually make promises to a close friend but fail to keep them.
guilt-trust violation
9. Your father is arrested near a local elementary school for indecent exposure.
xiu chi
another person
10. For an honor's thesis, you copy almost word for word an article that had appeared two diu lian years earlier in a professional journal. Your instructor recognizes the article and reports you to the University Discipline Committee for cheating and plagiarism, a report of which appears on the front page of the University Student Paper. 11. You allow someone else to be blamed for something that you have done when no one else knows you've done it.
guilt-harm to another person
12. Your parents have saved money for many years to help you pay tuition at a ®rst-rate college. Although you received excellent grades in high school, you ®nd that college work is just not satisfying. Your study habits are marginal and after a year you drop out to avoid ¯unking out.
can kui
nan wei qing 13. You are bicycling along a busy rural highway when a car coming up behind you honks its horn, causing you to swerve o the pavement. You make an obscene gesture at the passing motorist only to realize that the driver is a close friend who was merely beeping and waving ``hello.'' a Originally written to tap diu lian, but more highly correlated with xiu chi scenario (9) than with other diu lian scenarios (4 and 10).
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Table 2 Scenario descriptors 1. helpless 2. embarrassed 3. that I had caused myself to feel inferior 4. that I had disgraced myself 5. that I wish I could hide 6. that everyone I meet knows what's happened 7. like a fool 8. angry at myself 9. disgusted with myself 10. vulnerable 11. resentment toward someone else 12. about two inches tall 13. unworthy of respect 14. defenseless 15. shame 16. cheapened by someone else 17. that I can't do anything right 18. that I had harmed an innocent person 19. exposed 20. disgraced by someone else 21. responsible for the situation 22. that I was at fault 23. angry at someone else 24. like I'd been put down 25. that I had treated another unfairly 26. low self esteem 27. worthless 28. that other people will feel contempt for me
3.1. Estimation of communalities Communalities were obtained by maximum likelihood estimation. 3.2. Number of factors The study was intended in part to test the factorial validity of our scenarios, that is, to ascertain the extent to which our a priori classi®cation of the scenarios conformed to an empirical ®ve-factor solution. Accordingly, the number of factors was preset at 5, rather than determined by empirical criteria. 3.3. Rotation Bedford emphasizes that the forms of shame under investigation are by no means independent, so there was no a priori reason to assume that the aective factors should be
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Table 3 Oblique factor pattern coecients for mean ratings (across 85 Ss) of 9 shame scenarios on 28 aective descriptorsa Scenario
A priori classi®cation
Factor 1
Factor 2
Factor 3
Factor 4b
Factor 5
1 3 4 5 7 9 10 12 13
xiu chi xiu kui diu lian xiu kui can kui xiu chi diu lian can kui nan wei qing
0.912 ÿ0.305 0.061 0.112 0.026 0.912 0.042 ÿ0.197 0.113
0.128 0.615 0.008 0.999 0.028 ÿ0.045 ÿ0.080 0.023 0.041
0.018 0.073 0.054 ÿ0.041 0.882 ÿ0.083 0.837 0.877 0.290
0.162 ÿ0.098 0.939 0.032 ÿ0.039 0.024 0.141 0.099 0.170
ÿ0.054 0.417 ÿ0.043 ÿ0.019 0.196 ÿ0.056 ÿ0.060 ÿ0.031 0.684
a b
The highest two pattern coecients on each factor appear in italic print. Re¯ected.
independent. Accordingly, we used an oblique rotation (direct oblimin; Harman, 1976, pp. 320±327). Oblique factor rotations yield two output matrices, the matrix of structure coecients (Vmatrix) and the matrix of pattern coecients (P-matrix). Harman (1968, p. 291) explains that structure coecients are augmented by inter-factor covariance and are of most use in estimating factors, whereas pattern coecients represent the unique contribution of each factor to every variable and are therefore most useful in identifying factors. We therefore report the matrix of pattern coecients, shown in Table 3.
4. Discussion Factor 1 is de®ned by the xiu chi scenarios, 1 and 9 and it would therefore appear that Factor 1 is a clear xiu chi factor. However, it must be noted that scenario 1 (with its emphasis on public knowledge of the incident) was originally written to tap diu lian. Because ambiguities in Bedford's narrative description of xiu chi made us uncertain of our a priori classi®cation, scenario 1 seemed equally evocative of diu lian and xiu chi. It was eventually classi®ed as xiu chi because of its high correlation with scenario 9 (r1,9=0.91) and its lower correlations with our other a priori diu lian scenarios, 4 and 10 (r1,4=0.58; r1,10=0.006). Factor 2 is de®ned by scenarios 3 and 5, which were written to evoke xiu kui. Factor 2 would therefore appear to be clearly interpretable as a xiu kui factor. Factor 3 is de®ned by scenarios 7, 10 and 12. Scenarios 7 and 12 were those that were written to evoke can kui and Factor 3 is therefore interpreted as a can kui factor. Factor 4 (re¯ected) has only 1 de®ner, scenario 4, which was written to evoke diu lian. Scenario 10 was also intended to evoke diu lian but, as noted above, clustered instead with the two can kui scenarios, 7 and 12. Factor 5 has only 1 de®ner, scenario 13, which was written to evoke nan wei qing. The second highest loading on this factor (0.417) is, by conventional criteria for interpreting factor
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coecients, borderline negligible. Factor 5 would therefore seem to be an embarrassment factor. In all, the factor pattern in Table 3 shows only one departure from our a priori grouping of scenarios: Scenario 10 clustered with scenarios 7 and 12 (can kui ) instead of with scenario 4 (diu lian ). It would therefore appear that our scenarios did elicit distinct pro®les of aects and that even though the scenarios were framed in an American cultural context, the distinct aects they evoked are isomorphic with the forms of shame identi®ed by Bedford. If so, it would suggest that the various shames identi®ed by Bedford are indeed distinct emotional experiences for both Chinese and Americans. As encouraging as our results may be, any conclusions must be tempered by three caveats: Although the degree to which the factorial clustering of our scenarios matched our a priori grouping is strong evidence that the aective responses of our American Ss were isomorphic with Bedford's ®ve categories of shame, our data do not permit us to address the aective similarity of the American and Chinese emotional experience. Secondly, it must be remembered that scenario 1 was classi®ed post-hoc, rather than a priori. Thirdly and more substantively, these scenarios have not been reviewed by Chinese informants. It is therefore possible that our factor pattern may re¯ect extraneous sources of covariation, such as behavior domain. For example, scenarios 1 and 9 may evoke similar patterns of aect not because they tap a distinct form of shame (xiu chi ), but because they are the only scenarios that involve sexual impropriety. Sousa's (1977) analysis of the DCQ included a factor de®ned by sexual behavior scenarios that was independent of the shame/embarrassment factor but which showed up only for women Ss, and Ss in the present study were predominantly women. Whether or not our a priori grouping of scenarios captured the essential conditions appropriate to the shame categories identi®ed by Bedford, they did evoke the same diversity of emotional experience, despite the relative paucity of shame-linked linguistic categories of American students in their typical discourse in comparison to Bedford's Chinese informants. Accordingly, our results are consistent with those of Brown and Lenneberg (1954), particularly, and of others who have argued that individuals are capable of making dierentiations that are imperfectly re¯ected in their linguistic categories, a further rebuttal of the Sapir±Whorf hypothesis. It has been commonly held, outside the contingent of categorical determinists, that the degree of lexical elaboration for a particular domain made by members of a linguistic community re¯ects the importance or functional utility of that domain to the community and not a perceptual ability. If so, this would suggest a greater importance of shame-related notions among the Chinese participants studied by Bedford than among the American participants we investigated (cf. Creighton 1990; Shaver, Schwartz, Kirson & O'Connor, 1987), even though American students appeared as capable of making shame-linked distinctions as their Chinese counterparts.
References Bartlett, F. C. (1932). Remembering: A study in experimental social psychology. Cambridge, UK: Cambridge University Press.
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Bedford, O. (1994). Guilt and shame in American and Chinese culture. Unpublished Ph.D. dissertation, The University of Colorado. Boas, F. (1911). Introduction. Handbook of American Indian languages. Bureau of American Ethnology Bulletin No. 40. Washington, DC: Smithsonian Institution. Brown, R. W., & Lenneberg, E. H. (1954). A study in language and cognition. Journal of Abnormal and Social Psychology, 49, 454±462. Carmichael, L., Hogan, H. P., & Walter, A. (1932). An experimental study of the eect of language on the reproduction of visually perceived forms. Journal of Experimental Psychology, 15, 73±86. Creighton, M. (1990). Revisiting shame and guilt cultures: A forty-year pilgrimage. Ethos, 18, 279±307. Gore, E. J., & Harvey, O. J. (1994). [A step toward a new measure of shame and guilt]. Unpublished raw data. Gore, E. J., & Harvey, O. J. (1995). A factor analysis of a scale of shame and guilt: Dimensions of conscience questionnaire. Personality and Individual Dierences, 19(5), 769±771. Harman, H. H. (1968). Modern factor analysis (2nd revised ed.). Chicago: The University of Chicago Press. Harman, H. H. (1976). Modern factor analysis (3rd revised ed.). Chicago: The University of Chicago Press. Harvey, O. J., Gore, E. J., Frank, H., & Batres, A. R. (1997). Relationship of shame and guilt to gender and parenting practices. Personality and Individual Dierences, 23(1), 135±146. Harvey, O. J., Frank, H., Gore, E. J., & Batres, A. R. (1998). Relationship of belief systems to shame and guilt. Personality and Individual Dierences, 25, 769±783. Higgins, E. T. (1987). Self-discrepancy: a theory relating self and aect. Psychological Review, 94(3), 319±340. Johnson, R. C., Danko, G. P., Huang, Y-H., Park, J. Y., Johnson, S. B., & Nagoshi, C. T. (1987). Guilt, shame and adjustment in three cultures. Personality and Individual Dierences, 8(3), 357±364. Johnson, R. C., & Noel, R. (1970). Dimensions of conscience. Unpublished manuscript. University of Colorado, Boulder, CO. Klineberg, O. (1954). Social psychology (2nd ed.). New York: Henry Holt. Niedenthal, P. M., Tangney, J. P., & Gavanski, I. (1994). ``If only I weren't'' versus ``If only I hadn't'': Distinguishing shame and guilt in counterfactual thinking. Journal of Personality and Social Psychology, 67(4), 585±595. Sapir, E. (1929). The status of linguistics as a science. Language, 5, 209±210. Shaver, P., Schwartz, J., Kirson, D., & O'Connor, C. (1987). Emotion knowledge: Further exploration of a prototype approach. Journal of Personality and Social Psychology, 52, 1061±1086. Sherif, M. (1935). A study of some social factors in perception. Archives of Psychology (No. 187). Sousa, S. P. (1977). Elements of conscience. Unpublished doctoral dissertation. University of Hawaii, Honolulu, HI. SPSS Inc (1997). SPSS for Windows, Rel. 8.0.0. Chicago: SPSS Inc. Tryon, R. C., & Bailey, D. E. (1970). Cluster analysis. New York: McGraw-Hill. Whorf, B. L. (1950). Four articles on metalinguistics. Washington, DC: Foreign Service Institute. Wurmser, L. (1981). The mask of shame. Baltimore: Johns Hopkins University Press.
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American responses to ®ve categories of shame in Chinese culture: A preliminary cross-cultural construct validation Harry Frank a,*, O.J. Harvey b, Karen Verdun c a
b
Department of Psychology, The University of Michigan-Flint, Flint, MI 48502-2186 USA Department of Psychology, University of Colorado, Campus Box 345, Boulder, CO 80309-0345, USA c Flint, MI, USA Received 19 October 1998; received in revised form 27 May 1999; accepted 12 June 1999
Abstract Bedford (1994) presents ethnographic evidence for ®ve distinct forms of shame in Chinese language and culture. This study attempted to determine (1) whether these forms of shame were distinct emotional responses or linguistic categories identifying shame-appropriate circumstances and (2) whether these ®ve forms of shame are aectivily distinguishable by Americans, given that Americans typically use fewer categories in describing shame. Nine scenarios written to capture the ®ve forms of shame were rated on 28 aect descriptors by 85 American Ss. The descriptor means were calculated across Ss for each scenario and the inter-scenario correlations were submitted to a 5-factor principal axis factor analysis. Of the 45 factor pattern coecients generated by oblimin rotation, only two coecients on a single scenario were inconsistent with the a priori grouping of scenarios, suggesting that Americans are as capable as Chinese of experiencing distinct varieties of shame, even though the distinctions may not arise in everyday life nor be re¯ected in ordinary English usage. Implications for the Sapir±Whorf hypothesis are discussed. # 2000 Elsevier Science Ltd. All rights reserved.
1. Introduction Western psychology and sociology have an extensive tradition of distinguishing guilt from shame (see Harvey, Gore, Frank and Batres, 1997, for a review) but have only recently begun * Corresponding author. Tel.: +1-810-762-3424; fax: +1-810-762-3687. E-mail address: [email protected] (H. Frank). 0191-8869/00/$ - see front matter # 2000 Elsevier Science Ltd. All rights reserved. PII: S 0 1 9 1 - 8 8 6 9 ( 9 9 ) 0 0 1 4 7 - 6
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to explore the various faces of shame (e.g., Gore & Harvey, 1995). Sousa's (1977) factor analysis of the Dimensions of Conscience Questionnaire (DCQ) developed by Johnson and his associates (e.g., Johnson & Noel, 1970) yielded only a single shame/embarrassment factor, which was de®ned by items depicting ``status incongruity''. Johnson et al. (1987) found these results largely consistent across Ss from three countries, the United States (Hawaii), South Korea and China (Taiwan). In contrast, Bedford (1994) reports that Chinese culture and language have traditionally recognized at least ®ve distinct forms of shame: diu lian, can kui (pronounced shan quay ), xiu kui (pronounced sho quay ), xiu chi (pronounced sho tswi ) and two virtually interchangeable embarrassment responses, bu hao yi si and nan wei qing. Bedford's characterizations of these categories of shame were extracted from interviews with 34 Chinese and Taiwanese women and from the content of scenarios describing various improprieties, for which her informants identi®ed the form(s) of guilt and shame most likely to be evoked. Diu lian (lit.: loss of face). Feeling of shame that occurs with loss of reputation or standing in the eyes of others. Lian and its loss are both social judgments and have no direct implications for either one's character or competence. Diu lian therefore requires public exposure of one's transgression or shortfall and is painful only insofar as one values the opinions of others (Bedford, 1994, p. 46). Younger, less traditional Chinese women use the word much as an American might use `morti®ed', as in, ``I would be utterly morti®ed if anyone found out about. . . ''. Diu lian may thus be akin to ``shame anxiety'' as discussed by Wurmser (1981) or the form of shame anticipated in shame anxiety as treated by Harvey, Frank, Gore and Batres (1998). The one item reported by Bedford (1994, p. 62) for which diu lian was clearly the predominant response (68%) was, ``Xiao Fen is dumped by her boyfriend''. Can kui. Feeling of shame that occurs with failure to attain a personal ideal. According to Bedford (1994, p. 50±51), can kui is a mild, perhaps even wistful, regret that one did not do something dierently or better. Can kui often involves failing to meet an ideal that is important to another person but not to the actor him/herself (cf. Higgins's, 1987, other's ideal self vs. own ideal self). The essence of negative aect derives from having let down another person (the character kui connotes harm to another person), rather than failure per se, is frequently associated with acts of omission, rather than commission and is often mitigated by situational attribution. The item reported by Bedford for which can kui is the predominant response (35.8%) is, ``Mei Li has to give an important speech on a topic that she knows well. She does not prepare and the speech goes poorly'' (1994, p. 63). Xiu kui. Feeling of shame occasioned by perceived personal failure resulting in harm to someone else (cf. explanation of kui, above). This response accompanies a discovery of some personal inadequacy or other negative aspect of oneself (Bedford, 1994, p. 52), so unlike diu lian requires no public knowledge of the shortfall. Nor does it arouse a sense of indebtedness to the person harmed, which is a necessary concomitant of guilt, nei jiu. Rather, xiu kui ``brings thoughts of how to improve and resolve to change for the better in the future'' (Bedford, 1994, p. 52). Xiu chi: (deep shame). Feeling of shame that occurs with perceived social failure. According to Bedford, this is the strongest of the emotions identi®ed by her informants. Unlike the re¯exive xiu kui, which several of Bedford's informants described as the feeling of having a ``stain on the heart'' (Bedford, 1994, p. 52), xiu chi was characterized as a feeling of having a
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``stain on one's face'' (Bedford, 1994, p. 54), not unlike the Anglo-American ``blot on one's escutcheon''. Whereas a stain on the heart is invisible to others, a stain on the face is immediately visible to all, a scarlet letter that forever marks the infractor as deserving of universal condemnation. Bedford's description of xiu chi conforms most closely to the notion of shame advanced earlier by the present authors (Harvey et al., 1997): the feeling of an invalidated and ... fractured self-identity, accompanied by a suusive feeling of self-abasement triggered by a public shortfall on a role standard accepted by both the infractor and the referent other as a requirement for the status claimed by the infractor (p. 135). Accordingly, xiu chi is that form of shame attended by the fear of banishment, desire to hide and the likelihood of self-banishment (Bedford, 1994, p. 55) that Harvey et al. (1997) regard as the distinguishing emotional ®ngerprints of shame. More than any of the other forms of shame, xiu chi can be aroused by the conduct of others with whom one identi®es. Bu hao yi si and nan wei qing. Embarrassment due to social impropriety. These emotional responses are treated jointly by Bedford (1994, p. 64±67) and would seem from her informants to dier only slightly in their usage and emotional quality. Nan wei qing is invariably accompanied by the familiar, real or imagined, ¯ush of embarrassment, whereas bu hao yi si may involve a more purely cognitive recognition of a socially awkward situation. Both are mild, situation-speci®c and transient. The distinctions reported by Bedford are intriguing in many respects: public versus private knowledge of the shame-arousing shortfall, focus on action versus actor (cf. Niedenthal, Tangney and Gavanski's (1994) distinction between what one is and what one does ), focus on self versus other, etc. These issues, however, beg two more fundamental questions, which surround the historically debated issue of whether the scope and quality of perceptual discriminations and other experiences of impinging stimuli are limited by the linguistic categories available in one's language, so that individuals with dierent lexicons are incapable of similarly perceiving and otherwise experiencing the same stimulus situations: 1. Are the ®ve linguistic categories of shame subjectively distinct emotional experiences, or are they labels for situational factors that are considered culturally appropriate to arouse shame? 2. Are these ®ve categories cross-culturally generalizable, i.e. discernible to a culture group that makes fewer distinctions in ordinary discourse? Categorical determinists, particularly Sapir (1929) and Whorf (1950), argued that linguistic categories, as basic norms of a group or community, create unique views and experiences of the world not accessible to communities or persons with dierent lexicons. ``The fact of the matter,'' according to Sapir, is that the ``real world'' is to a large extent unconsciously built up on the language habits of the group. No two languages are ever suciently similar to be considered as representing the same social reality. The worlds in which dierent societies live are distinct worlds, not
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merely the same world with dierent labels. Even comparatively simple acts of perception are very much more at the mercy of the social patterns called words than we might suppose. . .. We see and hear and otherwise experience very largely as we do because the language habits of our community predispose certain choices of interpretation (1929, pp. 209±210). Whorf likewise conceived of language as embodying and perpetuating a world view, not as a ``cloak following the contours of thought'', but as ``molds into which infant minds are poured'' (Brown & Lenneberg, 1954, p. 454). Opposition to categorical determinism was largely grounded on the position that linguistic categories may in¯uence cognitive processes (e.g., Bartlett, 1932; Carmichael, Hogan & Walter, 1932; Sherif, 1935) but that individuals can distinguish their world in ways not embodied in their existing lexicon, thereby enabling persons with diering linguistic categories to perceive and experience common stimulus events in much the same way. The widely referenced (and overinterpreted) observation by Franz Boas (1911) that the traditional Eskimo used dierent words to distinguish dierent varieties of snow while English speakers had only one word for snow ``cannot be taken to mean that they [the English speakers] are unable to see the dierences'' (Brown & Lenneberg, 1954, p. 455). Klineberg presents a similar conclusion based on his research with the Huichol Indians, whose lexicon included words for ``my father'', ``your father'' and ``his father'', but no word for ``father''. Yet, they were ``perfectly capable of understanding the idea of `father' '' and could supply a word which ``could be used with that meaning'' (Klineberg, 1954, p. 51). In support of their opposition to the Sapir±Whorf hypothesis, Brown and Lenneberg (1954) demonstrated that American college students could code or distinguish more colors than those for which they had names. It remains unclear, however, whether dierent lexicons preclude similar distinctions and experiences of shame-inducing situations, which would be expected to be more stringently de®ned and of greater aective involvement than unnamed colors. This was the focal question of the present study, which we addressed by investigating the more speci®c question of whether American college students are capable of making aective distinctions among scenarios written to capture the conditions described by Bedford as appropriate to the ®ve categories of shame linguistically distinguished in Chinese culture. 2. Method 2.1. Subjects Participants were 85 undergraduate students (70 women and 15 men) recruited from psychology classes at the University of Michigan-Flint and awarded extra credit by their course instructors for research participation. 2.2. Measure: feelings questionnaire Based on Bedford's characterizations of the ®ve forms of shame (e.g., whether an audience is
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required, whether the transgressor is oneself or another, etc.), the ®rst and second authors drafted nine scenarios, two each intended to evoke diu lian, can kui, xiu kui and xiu chi and one intended to evoke nan wei qing (see Table 1). In addition, we included the two scenarios that de®ned the guilt factor Harm to Another Person and the two scenarios that de®ned the guilt factor Trust Violation in factor analyses reported by Gore and Harvey (1995). Each scenario was followed by the statement ``If I were in the situation described in the scenario above, I would feel'' followed by a list of 28 descriptors (see Table 2), each accompanied by a four-point scale, A=Very Strongly, B=Fairly Strongly, C=Somewhat, D=Not at All1. Twenty-four of the descriptors were intended to capture emotional qualities of shame and four were intended to capture emotional qualities of guilt. The shame descriptors were drawn in part from a key cluster analysis (Tryon & Bailey, 1970) by Gore and Harvey (1994) that used similar methodology to distinguish aective qualities of the guilt and shame factors extracted by Sousa (1977) from the DCQ. Our four guilt descriptors were the two each that loaded most highly on the guilt factors reported by Gore and Harvey (1995). The present paper examines only results bearing on the shame-evoking scenarios. 2.3. Procedures The third author administered the Feelings Questionnaire to groups of 10±20 participants. The ®rst page of the questionnaire included a reminder that participation was entirely voluntary and could be discontinued at any time but that some instructors who award extra credit for research participation might not give credit for incomplete participation. The last page of the instrument was a debrie®ng statement summarizing the forms of shame reported by Bedford and the basic research questions enumerated above. 3. Results Responses from each S produced a scenario descriptor matrix, which yielded a 3dimensional data collection: subjects scenarios descriptors. This required that data be collapsed along one dimension to obtain a workable matrix (i.e., a 2-dimensional array). The present report examines the matrix of the 28 descriptor means (calculated across Ss ) 9 shame scenarios. Factor analysis of this material therefore treated descriptors as cases and scenarios as variables, so the factors extracted in the analysis were de®ned by groups of scenarios. Data were submitted to a principal-factor factor analysis (Harman, 1968, pp. 136±186) using the SPSS (1997) software package.
1
Response categories on Ss`s answer sheets were arranged left to right from `Very Strongly' to `Not at All'. To minimize clerical errors, responses were scored 1=Very Strongly, 2=Fairly Strongly, 3=Somewhat and 4=Not at All. To facilitate interpretation of results, mean scores were subtracted from 5 by computer before data analysis. Thus, a raw score mean of 1 (Very Strongly) shows up in all output as 4. Also, factor scores derived from matrices of means were computed using these transformed means.
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Table 1 Shame and guilt scenarios Scenario
Intended response
xiu chia 1. You are caught in a police round-up of prostitutes and their clients and arrested despite your claim that you were simply asking directions in an unfamiliar neighborhood. Local newspaper reporters and TV crews accompany the police and you post bail in time to return home and see yourself named and prominently featured on the 11:00 o'clock news. 2. You reveal something about a person that the person told you con®dentially.
guilt-trust violation
3. For fear of becoming unpopular, you say nothing in defense of a friend who is being slandered, even though you know that the gossip is untrue.
xiu kui
4. As one of the top ®ve students in an undergraduate research seminar, you are selected to diu lian present your term project in class. You have worked long and carefully on the project and you are proud of it, but a few minutes into your presentation, your instructor points out a critical and extremely obvious error, which completely undercuts your theme and invalidates all of the conclusions to which you were leading. 5. Your boss makes frequent racist slurs and sexist jokes about your fellow employees and even though you are sickened by these comments, you always smile agreeably.
xiu kui
6. As manager of a small manufacturing plant, you retain working conditions that are known to be harmful to your workers' health and which violate basic safety standards.
guilt-harm to
7. Your College Quiz Bowl team is depending on you in an important match that will be broadcast on the local PBS television channel. Other activities leave you insucient time to prepare adequately and you perform badly. Your team loses.
can kui
8. You continually make promises to a close friend but fail to keep them.
guilt-trust violation
9. Your father is arrested near a local elementary school for indecent exposure.
xiu chi
another person
10. For an honor's thesis, you copy almost word for word an article that had appeared two diu lian years earlier in a professional journal. Your instructor recognizes the article and reports you to the University Discipline Committee for cheating and plagiarism, a report of which appears on the front page of the University Student Paper. 11. You allow someone else to be blamed for something that you have done when no one else knows you've done it.
guilt-harm to another person
12. Your parents have saved money for many years to help you pay tuition at a ®rst-rate college. Although you received excellent grades in high school, you ®nd that college work is just not satisfying. Your study habits are marginal and after a year you drop out to avoid ¯unking out.
can kui
nan wei qing 13. You are bicycling along a busy rural highway when a car coming up behind you honks its horn, causing you to swerve o the pavement. You make an obscene gesture at the passing motorist only to realize that the driver is a close friend who was merely beeping and waving ``hello.'' a Originally written to tap diu lian, but more highly correlated with xiu chi scenario (9) than with other diu lian scenarios (4 and 10).
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Table 2 Scenario descriptors 1. helpless 2. embarrassed 3. that I had caused myself to feel inferior 4. that I had disgraced myself 5. that I wish I could hide 6. that everyone I meet knows what's happened 7. like a fool 8. angry at myself 9. disgusted with myself 10. vulnerable 11. resentment toward someone else 12. about two inches tall 13. unworthy of respect 14. defenseless 15. shame 16. cheapened by someone else 17. that I can't do anything right 18. that I had harmed an innocent person 19. exposed 20. disgraced by someone else 21. responsible for the situation 22. that I was at fault 23. angry at someone else 24. like I'd been put down 25. that I had treated another unfairly 26. low self esteem 27. worthless 28. that other people will feel contempt for me
3.1. Estimation of communalities Communalities were obtained by maximum likelihood estimation. 3.2. Number of factors The study was intended in part to test the factorial validity of our scenarios, that is, to ascertain the extent to which our a priori classi®cation of the scenarios conformed to an empirical ®ve-factor solution. Accordingly, the number of factors was preset at 5, rather than determined by empirical criteria. 3.3. Rotation Bedford emphasizes that the forms of shame under investigation are by no means independent, so there was no a priori reason to assume that the aective factors should be
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Table 3 Oblique factor pattern coecients for mean ratings (across 85 Ss) of 9 shame scenarios on 28 aective descriptorsa Scenario
A priori classi®cation
Factor 1
Factor 2
Factor 3
Factor 4b
Factor 5
1 3 4 5 7 9 10 12 13
xiu chi xiu kui diu lian xiu kui can kui xiu chi diu lian can kui nan wei qing
0.912 ÿ0.305 0.061 0.112 0.026 0.912 0.042 ÿ0.197 0.113
0.128 0.615 0.008 0.999 0.028 ÿ0.045 ÿ0.080 0.023 0.041
0.018 0.073 0.054 ÿ0.041 0.882 ÿ0.083 0.837 0.877 0.290
0.162 ÿ0.098 0.939 0.032 ÿ0.039 0.024 0.141 0.099 0.170
ÿ0.054 0.417 ÿ0.043 ÿ0.019 0.196 ÿ0.056 ÿ0.060 ÿ0.031 0.684
a b
The highest two pattern coecients on each factor appear in italic print. Re¯ected.
independent. Accordingly, we used an oblique rotation (direct oblimin; Harman, 1976, pp. 320±327). Oblique factor rotations yield two output matrices, the matrix of structure coecients (Vmatrix) and the matrix of pattern coecients (P-matrix). Harman (1968, p. 291) explains that structure coecients are augmented by inter-factor covariance and are of most use in estimating factors, whereas pattern coecients represent the unique contribution of each factor to every variable and are therefore most useful in identifying factors. We therefore report the matrix of pattern coecients, shown in Table 3.
4. Discussion Factor 1 is de®ned by the xiu chi scenarios, 1 and 9 and it would therefore appear that Factor 1 is a clear xiu chi factor. However, it must be noted that scenario 1 (with its emphasis on public knowledge of the incident) was originally written to tap diu lian. Because ambiguities in Bedford's narrative description of xiu chi made us uncertain of our a priori classi®cation, scenario 1 seemed equally evocative of diu lian and xiu chi. It was eventually classi®ed as xiu chi because of its high correlation with scenario 9 (r1,9=0.91) and its lower correlations with our other a priori diu lian scenarios, 4 and 10 (r1,4=0.58; r1,10=0.006). Factor 2 is de®ned by scenarios 3 and 5, which were written to evoke xiu kui. Factor 2 would therefore appear to be clearly interpretable as a xiu kui factor. Factor 3 is de®ned by scenarios 7, 10 and 12. Scenarios 7 and 12 were those that were written to evoke can kui and Factor 3 is therefore interpreted as a can kui factor. Factor 4 (re¯ected) has only 1 de®ner, scenario 4, which was written to evoke diu lian. Scenario 10 was also intended to evoke diu lian but, as noted above, clustered instead with the two can kui scenarios, 7 and 12. Factor 5 has only 1 de®ner, scenario 13, which was written to evoke nan wei qing. The second highest loading on this factor (0.417) is, by conventional criteria for interpreting factor
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coecients, borderline negligible. Factor 5 would therefore seem to be an embarrassment factor. In all, the factor pattern in Table 3 shows only one departure from our a priori grouping of scenarios: Scenario 10 clustered with scenarios 7 and 12 (can kui ) instead of with scenario 4 (diu lian ). It would therefore appear that our scenarios did elicit distinct pro®les of aects and that even though the scenarios were framed in an American cultural context, the distinct aects they evoked are isomorphic with the forms of shame identi®ed by Bedford. If so, it would suggest that the various shames identi®ed by Bedford are indeed distinct emotional experiences for both Chinese and Americans. As encouraging as our results may be, any conclusions must be tempered by three caveats: Although the degree to which the factorial clustering of our scenarios matched our a priori grouping is strong evidence that the aective responses of our American Ss were isomorphic with Bedford's ®ve categories of shame, our data do not permit us to address the aective similarity of the American and Chinese emotional experience. Secondly, it must be remembered that scenario 1 was classi®ed post-hoc, rather than a priori. Thirdly and more substantively, these scenarios have not been reviewed by Chinese informants. It is therefore possible that our factor pattern may re¯ect extraneous sources of covariation, such as behavior domain. For example, scenarios 1 and 9 may evoke similar patterns of aect not because they tap a distinct form of shame (xiu chi ), but because they are the only scenarios that involve sexual impropriety. Sousa's (1977) analysis of the DCQ included a factor de®ned by sexual behavior scenarios that was independent of the shame/embarrassment factor but which showed up only for women Ss, and Ss in the present study were predominantly women. Whether or not our a priori grouping of scenarios captured the essential conditions appropriate to the shame categories identi®ed by Bedford, they did evoke the same diversity of emotional experience, despite the relative paucity of shame-linked linguistic categories of American students in their typical discourse in comparison to Bedford's Chinese informants. Accordingly, our results are consistent with those of Brown and Lenneberg (1954), particularly, and of others who have argued that individuals are capable of making dierentiations that are imperfectly re¯ected in their linguistic categories, a further rebuttal of the Sapir±Whorf hypothesis. It has been commonly held, outside the contingent of categorical determinists, that the degree of lexical elaboration for a particular domain made by members of a linguistic community re¯ects the importance or functional utility of that domain to the community and not a perceptual ability. If so, this would suggest a greater importance of shame-related notions among the Chinese participants studied by Bedford than among the American participants we investigated (cf. Creighton 1990; Shaver, Schwartz, Kirson & O'Connor, 1987), even though American students appeared as capable of making shame-linked distinctions as their Chinese counterparts.
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