5.1 Overview of the thesis
Self-conscious emotions, such as envy, jealousy, pride, shame, guilt, and embarrassment, are a class of emotions that require the capacity for self-awareness and the ability to form self-representations. In spite of their late arrival into the field of emotion studies, self-conscious emotions have created a revolution of sorts by distinguishing themselves as different from the ‘basic’ emotions in several respects. In contrast to contemporary Western psychology, Indian psychology - an approach to psychology based on traditional Indian knowledge systems - has not made significant progress in understanding these emotions. While this sad state of affairs is partly because the study of self-conscious emotions is itself a recent phenomenon, a more pertinent cause is the absence in Indian psychology of coherent models that can explain indigenous psychological constructs (including those corresponding to self-conscious emotions) and their mutual interactions.
It is the context described above that frames the background for this thesis and renders it important. In the process of studying asūyā, garva, and vrīḍā, three mental states described in Sanskrit poetics and roughly corresponding to the self-conscious emotions of envy/jealousy, pride, and shame/guilt/embarrassment respectively, this thesis not only performs the function of documenting pre-existing data from as many as 22 primary texts spanning across more than two millennia but also isolates three indigenous models that facilitate understanding of mental states as communicated to us through literary characters.
Whereas model 1 is explicitly identifiable in that Sanskrit aestheticians frequently employ it, the remaining two models are more or less implicit, requiring the researcher to develop them fully and for the first time by bringing together their constituent elements that
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lie scattered in the vast corpus, not only of Sanskrit poetics but also of the Indian philosophical systems that have had an influence on the former’s theorizations.
Model 1 looks at isolated mental states, removed from their context and understood in terms of stimulus-response pairs. Model 2 looks at mental states in their dynamic interaction with other mental states. Such interaction takes at least 15 different forms. The schematic representation of a character’s interacting mental states at any given moment in the narrative can be termed as his/her current ‘mental state signature’- a novel concept introduced in this thesis. A drastic change in the character’s mental state signature is an indication of a change in his/her life-goal - a conclusion that can be reached on the basis of model 3. According to model 3, developed mostly on the basis of Bhoja’s theory as expounded in his Śṛṅgāraprakāśa, a character’s personality (uddhata, lalita, udātta, or śānta) is closely related to his/her specific life-goal (material prosperity, material enjoyment, ethical conduct, or spiritual liberation) and the pursuit of a specific life-goal imparts to him/her an experience of pleasurable or displeasurable mental states both before and after acquiring specific objects that are accordingly and respectively evaluated as goal-congruent or goal-incongruent. In short, according to model 3, literary characters (or real-world individuals that are more or less akin to such characters) experience pleasure or displeasure consequent to their encounter with certain objects and this experience informs them whether or not those objects are congruent with their life-goals and therefore worthy or otherwise of their pursuit (acquisition, protection, augmentation, and utilization). Alternatively, individuals actively pursue or attempt to eliminate an object after evaluating it as goal-congruent and goal-incongruent respectively. They experience pleasure or displeasure consequent to their success or failure in the pursuit or elimination of objects. This thesis employs the models detailed above for analyzing three vignette verses provided by Sanskrit aestheticians to illustrate asūyā, garva
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(both in the character Parashurama, from the play Mahāvīracarita), and vrīḍā (in the character Rama, from the play Anargharāghava).
Finally, this thesis compares and contrasts the indigenous concepts of asūyā, garva, and vrīḍā with their counterpart self-conscious emotions. Since asūyā, garva, and vrīḍā, as studied here, are not simply standalone concepts but concepts that occur in the context of or interact dynamically with other indigenous concepts such as mental state (bhāva), personality type (prakṛti), personality traits (guṇa-s), and goals (puruṣārtha-s), the exercise of comparing and contrasting them with self-conscious emotions has also meant comparing and contrasting other related indigenous concepts with their counterparts in Western psychology. The thesis’s deliberation on the nature of relationship between sthāyibhāva-s and vyabhicāribhāva-s as compared to that between basic and self-conscious emotions, the juxtaposing of Bhoja’s personality types with Fromm’s (1947/2002) ‘orientations’, and the observation of similarities between character traits enumerated by Bhoja and ‘personality strengths’ listed by Peterson and Seligman (2004) exemplify a broad-based evaluation of conceptual similarities and differences underlying Indian and Western psychological approaches rather than a forced and simplistic matching of some handpicked psychological categories. At a higher level, it has been noted that model 2 is compatible with a dynamical systems approach to emotions.
By grounding the specificity of stimulus-response pairing in personality type, model 3 takes the concept of ‘mini-narrative’ (Hogan, 2003) to its logical end, demonstrating thereby that the dialogue between Indian psychology and contemporary Western psychology is a two-way process that can benefit both the parties involved. ** **
Below, the original contributions of this thesis and its implications for exploring mental states other than asūyā, garva, and vrīḍā, understanding the mental states of real-world actors, well-being, and therapy are discussed.
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5.2 Original contributions of this thesis
5.2.1 Bridging the psychology of self-conscious emotions and Sanskrit poetics As the review of literature demonstrates, Indian psychological research on mental states expounded in Sanskrit poetics and corresponding to self-conscious emotions is non-existent. Studies of the kind attempted here need an interdisciplinary engagement. Not only must the researcher stay abreast of contemporary research but also have the skills needed to read, understand, and interpret texts that were produced in a bygone era by scholars using the idiom of a classical language. Furthermore, for the study to be complete in its strictest sense, the researcher must be able to analyze traditional texts afresh, i.e., in the light of contemporary knowledge. Simultaneously, he or she must also be able to recognize correspondences and deviations between contemporaneous and traditional conceptualizations about the subject matter at hand. Last but not least, through his/her analysis of texts from the past, the researcher needs to explicate the relevance of historically produced knowledge in furthering contemporary insights provided by fields such as emotion studies. These aspects of a research driven by interdisciplinary concern are discernable in this first-of-its-kind thesis on self-conscious emotions from an Indian psychological perspective. Its special focus on Śṛṅgāraprakāśa, a voluminous work never translated before, points to the sort of textual engagement that interdisciplinary research in Indian psychology demands.
5.2.2 Exhaustive textual documentation from Sanskrit poetics on the mental states of **asūyā, garva, and vrīḍā **
It is important to consolidate existent textual knowledge before models can be built on its basis. Whereas Sinha (1986) does document information on asūyā, garva, and vrīḍā from primary texts on Sanskrit poetics, the present researcher consults many more texts than him.
Prominent among the texts from which Sinha does not document is Bhoja’s Śṛṅgāraprakāśa.
Also, Sinha does not organize documented information under as many categories as this
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thesis does. Lastly, documentation of textual knowledge about other mental states that are conceptually related to asūyā, garva, and vrīḍā finds a prominent place in this thesis unlike in Sinha’s work. As has been already mentioned in Chapter 3, some of the source texts from which this thesis draws documented data have not yet been published and are extant only in manuscripts.
5.2.3 Evolving models that can be used in Indian psychology to study mental states **documented by Sanskrit aestheticians **
A major problem encountered in Indian psychology, as already pointed out a couple of times in this study, is the absence of models that can help understand indigenous psychological constructs and the patterns of their mutual interaction. Psychological models are not readily available in the textual corpus of Indian intellectual tradition. Rather, they must be constructed de novo by identifying, bringing together, and logically organizing their constituent elements. Here again, the constituent elements of a model are not always found in one place. We may have to search for them in the nooks and corners of a single text.
Alternatively, we may have to extract them from a host of texts dealing with the same discipline but situated in different historical times. Sometimes, we must look for them in texts that are from different disciplinary backgrounds. Lastly, a small suggestion or comment made somewhere by some author may become the initial building block for constructing a model.
All the above mentioned possibilities have been encountered in this thesis. Some of the elements of model 3 are found in Bhoja’s Śṛṅgāraprakāśa, mostly between chapters 18
and 21 but also in chapters 11 and 13. However, for other elements, one must consult texts on the Samkhya, Yoga, and Nyaya philosophical systems (see under 3.3.3.1 and 3.3.3.3). The rationale for model 2 is provided by Abhinavagupta’s criticism of model 1 (see 3.3.1). Its elements can be gathered from texts on Sanskrit poetics composed by non-contemporaneous
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aestheticians, including Bhoja, Rupa Gosvamin, and Jagannatha. As shall be discussed below under 5.3, these models are general enough to be applicable for studying any mental state.
5.2.4 New approaches for analyzing narratives and understanding the mental states of **literary characters **
The three models developed in this study allow for new approaches to narrative analysis and investigation of character mental states. Though model 1 is indeed frequently employed by Sanskrit aestheticians for analyzing vignette verses that illustrate mental states of literary characters, it has been more fully explored in this study. The analysis of vignette verses that is presented here underscores the fact that a single mental state such as asūyā can be communicated by multiple stimulus-response pairs within the same verse and that an isolated dialogue unit within the verse may not only inform us about the stimulus of a mental state but also function in the capacity of a consequent response stemming from that mental state.
As for model 2, aestheticians such as Bhoja and Jagannatha spell out the conclusions they arrive at by analyzing verses based on elements of this model without however delineating the exact process by which they arrive at them. According to this thesis, employing model 2 to understand the dynamic interactions between mental states (of a given character) that populate a vignette verse and its immediate context entails ordering of those mental states hierarchically and temporally. Hierarchical ordering nestles transient mental states within enduring mental states. Temporal ordering involves finding out which mental state follows which other mental state. It is based on the premise that the emergence of one mental state may logically require the prior emergence of another mental state. When one arranges mental states in the manner described above, one derives what can be called the current ‘mental state signature’ of a character. This thesis thus builds on the existing knowledge base that is related to model 2.
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In the case of model 3, Bhoja provides vignette verses that illustrate individual elements of this model such as character traits (say, Parashurama’s trait of excessive pride), trait-based self-identity (say, Parashurama’s lineage-based self-identity), and mental states (say, Parashurama’s asūyā). However, he does not bring all the elements of this model together in a single place or use the model to comprehensively understand a character’s mental state in the backdrop of his/her personality type. By evolving a model based on Bhoja’s theorization and employing it for the purpose of narrative analysis – one in which character typology plays a dominant role - this thesis reiterates Raghavan’s (1978) remark (see Footnote no. 32 in Chapter 3) regarding the importance of such work.
5.2.5 Connecting the three proposed models through the novel concept of ‘mental state **signature’ **
The concept of ‘mental state signature’ is not relevant only to model 2 though it plays a pivotal role in this model. Rather, its importance cuts across all the three models developed in this thesis. To come up with a character’s mental state signature, one must single out his/her mental states. This, in turn, demands isolating the stimulus-response pairs that suggest these mental states. Thus, in our quest for stimulus-response pairs, we are led towards model 1. Having come up with a character’s mental state signature, we realize its full importance only by invoking, on the basis of model 3, its relationship with personality type and life-goal.
Mental state signatures represent the pooling together of a character’s pleasurable or displeasurable mental states. The mental state signatures of a śānta and udātta characters are dominated by pleasurable mental states. At the other end of the spectrum, the mental state signatures of an uddhata character are dominated by displeasurable mental states. In short, model 2 is constructed on the basis of model 1 but interpreted in the light of model 3. Figure 5.1 is a schematic representation of the relationship between models 1, 2, and 3.
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Model 1
Model 2
Model 3
S1-R1 (MS1)
Mental state signature 1
Personality 1, life-goal 1
MS1
Mental sta
te signature 1
S2-R2 (MS2)
MS1
MS2
MS3
S3-R3 (MS3)
MS2
MS3
S4-R4 (MS4)
Mental state signature 2
Personality 2, life-goal 2
MS4
S5-R5 (MS5)
Mental state signature 2
MS5
MS6
MS4
S6-R6 (MS6)
MS5
MS6
Figure 5.1. Schematic representation of the relationship between models 1, 2, and 3. Model 1
deals with isolated mental states (suggested by stimulus-response pairs), model 2 studies interacting mental states, and model 3 relates mental states to a character’s personality type and his/her life-goal (Note: ‘S’, ‘R’, ‘MS’ stand for stimulus, response, and mental state respectively; numbers indicate hypothetical stimulus, etc.; arrows convey temporal order).
5.2.6 Linking the concept of ‘mini-narrative’ to personality type Whereas Hogan (2003) has discussed the relationship between a character’s goal and emotions such as sorrow and love, understood in terms of ‘mini-narratives’ that pair together the prototypical stimulus and response of those emotions, he does not allude to character personality or its relationship with life-goals and emotions. According to this thesis, personality type determines which among an emotion’s (or more generally, mental state’s) numerous mini-narratives can operate in the case of a given character. It does so by influencing the nature of life-goals that the character can pursue.
5.3 Future implications
The three models developed in this study are general enough to be applicable for the study of any mental state listed in Sanskrit poetics. According to model 1, we can only infer a character’s mental state and we can do so only from our knowledge of the stimulus-response pair related to that mental state. This is true of every mental state because every mental state
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is evoked by some or the other stimulus and generates some or the other response. Coming to model 2, mental states are not constrained in their ability to interact with other mental states.
In fact, according to model 2, a mental state – whatsoever it may be – always occurs in its mutual interaction with other mental states and never as an isolated entity. Finally, model 3 is helpful for understanding any given mental state because of the following reason: the principal component in model 3 is personality type; personality type determines life-goal; the pursuit of a life-goal allows us to experience pleasure or displeasure upon encountering specific worldly objects, and all mental states, in the final analysis, can be identified as pleasurable or displeasurable. The feasibility of models 1, 2, and 3 for understanding any indigenously documented mental state thus argued out, one potential area of study could concentrate on applying these models to analyze vignettes provided by Sanskrit aestheticians for a host of mental states. One such mental state that assumes importance in the back drop of this thesis is ‘amarṣa’, corresponding to the self-conscious emotion of humiliation.
In this thesis, only vignette verses taken from Sanskrit literature are analyzed. It may be worthwhile to examine if the models used here are also useful for understanding the mental states of literary characters in languages other than Sanskrit.
As regards the question of whether these models can be used to understand and explain the mental states of real-world actors, only empirical research can provide a definitive answer. In this context, it is necessary to say a few words about the applicability of model 3
for mundane, rather than aesthetic, concerns. Concepts such as guṇa-s and puruṣārtha-s that feature prominently in model 3 are already present in Samkhya philosophy where they are used to make sense of real-world phenomena. Bhoja only borrowed these concepts from Samkhya philosophy for the purpose of formulating a theory that can help us appreciate the mental states of literary characters. In other words, by lending themselves to be classified on the basis of guṇa-s and puruṣārtha-s, literary characters are only mirroring real-world actors.
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Therefore, model 3, at least theoretically, is as much about real-world actors as it is about literary characters.
A close correspondence of the 24 commonly shared personality traits enumerated by Bhoja with Peterson and Seligman’s (2004) 24 personality strengths has been pointed out in this thesis. The correlation between increased well-being and the presence of personality strengths has also been studied (e.g., Sheldon, Jose, Kashdan, and Jarden, 2015). Taken together, these two observations must prompt us to empirically investigate whether well-being and the presence of Bhoja’s 24 personality traits go together. Theoretically speaking, there is nothing that can prevent us from making such a connection. The four personality types mentioned by Bhoja – uddhata, lalita, udātta, and śānta – are not value-free categories.
They exist along a hierarchical continuum with the uddhata character (inferior subtype), abounding in the guṇa of tamas, occupying the lowest position and the śānta character (superior subtype), abounding in the guṇa of sattva, occupying the highest position. The lower a character is placed in the hierarchy, the fewer of the 24 personality traits he/she possesses, the stronger he/she is gripped by erroneous knowledge, the more materialistic and less spiritual is his/her life-goal, and the frequenter is his/her experience of displeasurable mental states.
Given its implicit orientation towards well-being, model 3 may be a good candidate on which to base an indigenous therapeutic approach. At an individual level, model 3
anticipates a tool for self-reflection and personal growth. It informs us that the extent of one’s displeasurable experience at any given point in time is an indirect indication of the life-goal one is preoccupied with at that instant. Reorienting one’s life-goal can help reduce the burden of displeasure. To put it more specifically, an uddhata-like individual must graduate from merely acquiring objects to enjoying them, a lalita-like individual from merely enjoying objects to acquiring as well as enjoying them within an ethical framework, and an udātta-like
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individual from merely acquiring and enjoying objects within an ethical framework to realizing their imminent mutability. According to model 3, an individual evolves when he/she moves vertically upwards from the life-goal of material prosperity towards that of spiritual liberation and not when he/she moves horizontally sidewards from, say, lesser to greater material prosperity or material enjoyment. Moving up the ladder of life-goals can be regarded as evolution because it is associated with a progressive decrease in the experience of displeasurable mental states. It is important to specify that terms such as ‘uddhata-like’ have been used here to momentarily, and not generally, characterize an individual. In the final analysis, our lives can be regarded as more or less effective endeavors aimed at reaching the ideal of a śānta character since all of us seek eternal freedom from displeasure – a state that allows for no distinctions of low and high unlike states reached by those pursuing material prosperity, material enjoyment, or ethical conduct: Individuals may be richer or poorer than others in their material possessions, more or less happy than others in their enjoyment of material objects, and superiorly or inferiorly meritorious than others in their performance of ethical actions but cannot be spiritually liberated to varying degrees.
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