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  There is an enduring misconception about the r01e of nonverbal behavior in

communication attributing it with more than 90%ofthe message. Although it has

become an entrenched belief in popular culture, this idea has been debunked by

Beattie(2004)who pointed out that it is a misapplication of the results of some

classic research in psych010gy that investigated how facial expression afTects the

interpretation of attitudes (Mehrabian&Fe吊s,1967; Mehfabian &Wiener,1967)・

Still,it is important for native speakers*and language leamers alike to properly

interpret intention fbr speech acts suchas re恒saIs.ln the case ofJapanese refilsa1s,

for example, research has shown that leamers of Japanese as a second language

(JSL)perform refusaIs ofan offer and refusals ofan invitation somewhat differently

斤om Japanese native speakers (Jungheim,2004),and JSL leamers are not as good

at interpreting Japanese re血saIsasnative speakers when only the visual channel is

available(Jungheim,2006,2008)・

  Previous research suggests that thereare not any obligatory contexts for

including gestures with refllsals (Jungheim,2009b),although anecdotal evidence

f10m this researcher s experience in Japan and 介om some participants in the present

study does suggest that gestures may serve to clarify the intention to refiIse.

Evidence from research on English as a fi)reign language (EFL)leamers shows

how gestures and fllcial eχpressions can aid listening comprehension (Sueyoshi&

      ZI

The interaction of language and nonverbal  behavior innuencing the perception of         Japanese refusals

       Nicholas O. Jungheim

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Hardison,2005).Finally,according to Calbris (1990), IFacial expression, positive

or negative, plays an even more positive role for foreign subjects whenever it lifts

theambiguityofanisolatedgesture,orwhenitcorroboratestheinformationcarried

by the gesture  (p.36)・

  ln light ofthe above, the purpose ofthis study is to examine how language and

nonverbal behavior interact to influence the perception of Japanese renlsals.

Combinationsof verbal negation, gesture, and facial eχpression will be used to

invelstigatel what is the most optimal way tol co lmunicate a sleriousl inltention to

refilse。

       BaCkgrOund

  Gestures have long been considered an integral component of language

leamers  communicative competence (Canale,1983; Canale &Swain,1980; Celce−

Murcia,2008; Jungheim, 1995, 2001),Gestures are included in strategic and

sociolinguist competence (Canale,1983; Canale &Swain,1980).Celce−Murcia゛s

(2008)reeonsideration ofc01nnlunicative competence includes both the use of

speech acts and speech act sets along with gestures under interactionaI competence,

although it is not clear whethcr faciaI cχpressions are included in the category of

gestures as they are by some researchers who call them facial gestures. Finally,

Jungheim(1995,2001)provided a framework for evaluating leamers  nonverbal

ability including gestures, head nods, and gaze direction under textual ability,

sociolinguistic ability,and strategic ability parallel to categories of Bachman s

(1990)Communicative Language Ability・

  A number of problems related to nonverbal ability are also pertinent to the

performance of speech acts. For eχample, nonverbal behavior can afTbct the

evaluation of a lcamer゛s proficiency (Gullberg,1998; Jungheim, 2001; Nell, 1990;

Yamashita,1996).Neu(1990)found that a Japanese leamer of English received a

10wer rating for his oral proficiency than he deserved due to the nonverbal behavior

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  Theintera(ion oflanguage and nonvert)albehaviorinluencingtheperceplionofJapaneserefusals

accompanying his speech. Rat㎡s in Yamashita (1996)noted that JSL leamers

nonverbal behavior affbcted their ratings. ln an analysis of videos used in that

study, Jungheim (2004)fk)und that JSL learners used excessive bowing with their

re血sals of an invitation. This was related to the crosslinguistic influence of an

Englishre血sal formula that begins with an apology. lt is appropriate to bow when

saying jg朋加鉛印(I m sorry)in Japanese, but in Japanese refusaIs it usually

fbllows the reason for refusing, and it is optiona1. Jungheim(2004)also noted that

when JSL leamers refllsed an oar,they often used larger gestures with hand shapes

more indicative ofan English refilsal gestufe called the hand wag by Morris (1994)

that diflbrs fiom the so−called Hand Fan (Mo㎡s,1994)found only in Japan

(Jungheim,2006).

  Although this study will fk)cus on only one gesture and two fllcial eχpressions

in relation to a re血sal of an oflbr, the above description of problems related to

language learners illustrates the importance ofthe appropriate use and performance

of gestures accompanying speech. The fbIIowing section is a review of issues

related to negation, gestures, and facial eχpression.

      From Verbal to Nonverbal

  Refusing in any language is not a simple act of saying no. ln face−to−face

interaction it includes a compleχ Γelationship among language, gesture, facial

expression,and even head movement such as bowing and head tilting as in the case

ofJapanese(Jungheim,2004),aII ofwhich are 助 ther mediated by the relationship

of the interlocutors.

The verbal side of refusals

  This study will use only one allegedly simple Japanese refuse,kekkou desu.

When this researcher was a JSL student in loky0 40 years ago, his teacher made

only a cursory attempt to teach re血saIs.ln spite of this single mention in class, it

left a strong impression. ln Japanese the teacher explained that refilsa1s in Japanese

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are very dimcult, sojustsaykekkou desu.W le this may work in some situations,

it would be somewhat rude to say if someone gives you an invitation, for eχample,

when it is more 叩propriate to give an eχcuse than to use a very direct re毎sallike

kekkou desu,even though the eχpression itsclfis p011te。

   This eχpression is also quite ambiguous. Tiken alone, it can either be

interpreted as an acceptance or a refusal. A simple look at translations provided in

a Japanese−English diclionary can confirm this. Shogakukan s Japanese−English

dictionary(Kondo&Takan0,1986)translates it variously as ¨good;nice¨and゛NO,

涜α戒ya (p. 536).This ambiguity has been co㎡irmed thfough the researcher s

own experience. χVhen buying an θろa71θ(boχedlunch)at a convenience store, the

clerk asks ifyou would like some chopsticks. A number oftimes I said kekkou desu

and the clerk still put chopsticks in the bag. l neither gestured nor included the

verbal negation i泌.The clerk misinterpreted my intention. 0ne participant in the

current study further confirmed this ambiguity 丘om his own eχperience working in

a convenience store where he sometimes inadvertently put some chopsticks in a

bag because he misunderstood the customer s intention。

   A110ther example of this kind of ambiguity is the use oldaりoubu,which can

a1so mean  all right` (Kondo&T11kan0,1986,p. 997).Some participants in

Jungheim(2008)used the expression daUoubu when interpreting silent video clips

ofpeople re血sing given only visual clues to their meaning. M41en videos of these

interpretations were shown to participants in a subsequent study on obligatory

contexts for gestufes (Jungheim,2009b),some ofthose participants stated that they

were not sure ifthe person in the video meant to re恒se when they said jαびθ詞,z4。

   1n the final analysis,sonle nleans are necessary to help disambiguate these

re恒saIs,Verbal negation such as j泌,gesture,and fllcial eχPression may contribute

to clari抄ing speakers  intentions.

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  Theinteraction oflanguage and nonvert)albehaviorinluencing the percepljon of Japanese refusals

The gestural side of refusaIs

   Gestures and speech may be two different communication channeIs, butthey

are part of the same psycho10gical process (McNeiII,1992,2005).Gesture and

speech unf01d simultaneously,  bound to each other in time¨(McNeill,1992,p・

23).This linkage aIso includes semantic and pragmatic coeχpressiveness. ln other

words,co−occurring gestures and speech eχpress the same meaning and have the

same pragmatic fimction.

   According to McNeill (1992),gestures can be iconics, metaphorics,beats,

cohesives,0r deictics. lconic gestures are cIosely related to the semantic content of

speech.Metaphoric gestures are similar to iconics, but rather than representing a

concrete image, they are more abstract. Beats are rhythmic gestures that indicate a

word is significant. Cohesive gestures serve to tie together related events that are

separated by time. Finally,deictic gestures are pointing gestures, which may be

pointing at a concrete or an imagined o句ect.A deictic gesture might even be

considered metaphoric when someone points backwards while refe哺ng to

something in the past, so that categories may not be mutually eχcIusive.

   There are aIso gestures called emblems, 0r quotable gestures (Kendon,2004).

These are gestures that may occur without speech and are understood in the same

way by members of the same culture. The gesture for  okay  with the thumb and

index finger fk)rming a circle and the remaining three nngers spread vertically is one

example that can be very differently and even negatively understood in some

cultures.

   Re血sal gestures are related to a specific speech act, the refilsa1. They a1so will

be a refilsaI of another speech act such as an offer, an invitation, 0r a suggestion.

XVhen used without speech, they may be considered emblems representing simple

negation.The head shake  no  could either be negation or a refusal, andthepalm

forward¨stop  gesture could be interpreted as a refusal due to its hand shape, which

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is related to the vertical palm (VP)group ofthe Open H回d Prone (OHP)family of

gestufes(Kendon,2004)。

   ln his classic work, de Jorio (1832/2000)described in detail some gestufes that

are used in Naples. He illustrated some of the more familiar gestures of negation

such as the headshake as  head held vertica1, tuming it altemately 丘om right to len,

the neck remaining straight  (p.290).There is the re血sal gesture of  open hand

raised and oscillated fiom right t0 1eft  (p.292),found among renlsa1s performed

by JSL leamers (Jungheim,2004).He a1so described a gesture in which the  hands

lifted naturally towards the shoulders, with the palms opposed to whatever is denied

or rejected  (p.294),which is similar to the 柘rm referred to by Kendon (2004)as

the VP/OHP, which resembles the above−mentioned gesture used to mean  stop.

He noted that any gestu】″e that is used to express negation can aIso show the

intention to refuse。

   The pragmatic 血nction of gestures and how they mark the particular function

of a speech act has a1so been emphasized in past research (Kendon 1995, 2004).

Among the pragmatic functions of gestures suggested by Kendon (2004)is the

performative function in which the gestuTe indicates the speech act a speaker is

performing. This is an especially marked feature of OHP family gestures that can

aIso fhnction as negative particles. Gestures fiom the VP group of gestures in the

OHP family  can beseen asderived n・om actions of creating a barrier against the

advance of something, 0r pushing or sweeping something away¨(Kendon,2004,p.

283).These gestures can add meaning to the verbal message, lending valuable

support for re血sals that are ambiguous and use language that can be either

positively or negatively interpreted. Understanding these gestures could assist

language leamers whose conununicative skills are sti11 1ess than well developed。

   ln four studies conceming the r01e of speech and gesture to aid pragmatic

understanding,Kel以Barr,Church,and Lynch (1999)revealed a number of

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  The interaclion oflanguage and nonverbalbehaviorinluencingtheperceplionofJapaneserefusals

important ways that gesture and speech interacted to aid comprehension. First,they

found that people were better able to understand indirect requests if speech was

accompanied by an appropriate gesture, Second, they found that speech and gesture

were mutually disambiguating. Finally, they were able to apply these findings to

difkrent t)1)es of speech acts and gestures. These studies have important

implications for the present study ofthe interaction oflanguage, gesture, and facial

expression to realize a Japanese refusal.

   Thereぷn are, however, very few studies of how Japanese use gestures with

re恒sals.ln their study ofJapanese learnersofEnglish as a foreign language (EFL),

Gass and Houck (1999)described what they referred to as a  hand wave  (p.125−

128)used as a refusal. They neglected, however,to note how this represents cross−

linguistic influenceof a gesture commonly used for negation in Japan. Mo哺s

(1994)called this the Hand Fan, which he attributed to Japan, describing the action

as,  The open right hand, with palm to thc len, is moved back and forth in fyont of

the face, as if fanning a name….The hand takes over the role of the latera1 Head

Shake (p. 10).This gesture appears to be related to the VP gestures described by

Kendon(2004),although the orientation of the palm is to the left, rather than

fk)rward,suggesting that the forearrnis rotated to the  neutraP position in the Hand

Fan gesture. Theacconlpanying illustration in Mo㎡s  book is interesting in that the

gesture is pe咄)rmed directly in fiont ofthe face, unlike Gass and Houck s language

leamer who appears to be performing it slightly to the side ofthe face while shaking

herhead.See Figure l for an eχample ofa Japanese re血salusing a gesture n・om the

VPgroupoftheOHPfamilyandaneχampleofarefusalusingtheHandFanwith

the left hand.

   As mentioned above,refusals are a response to another speech act. ln a

descriptivestudyofJSLleamerandJNSrefusaIsofanofTer of something to drink

and refusals of an invitation to attend a sale, Jungheim(2004)found that gestures

       ZZ

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     [ano kekkou degozaimasu]      [iie iie kekkou desu]

     uh aU right is      no no a11 right is

      Uhl,nol.thank yolu/,|li       tlN0,n0,that s万all righlt,

Figure l. The figure on the ld is an example of a Japanese native speaker s gesture in the      VP group of the OHP family of gestures used for refilsing an offer (Jungheim,

     2006,p. 127),ThefigureontherightisanexampleofJapaneseHandFangesture      usedforre鮨ing an offer(Jungheim,2006,p, 130),

varied not only according to the eliciting speech act but aIso according to whether

the refusal was performed by a JSL leamer or a JNS. For native speakers and

language leamers alike, re血sals of the offer of a drink were accompanied by

manual gestures. 0n the other hand, refilsaIs ofthe invitation were accompanied by

head movement, including bowing・

  Gestures for refhsals of an oflbr1¥ereof the VP variety. Differences between

language leamers and native speakers aIso involved the style of the gesture. Both

groups included the VP gestures described here. However,three out of ten JNSs

used the Hand Fan, something JSL leamers did not d0. Language leamers used

whatMo㎡s(1994)calIs the Hand Wag,  ‥.hand,with palm showing, is wagged

rapidly fiom side to side  (p.131)and aIso the same gesture using both hands with

the nngers spread. JNSs did not use either a single−handed or double−handed Hand

Wag. As previously stated, JSLlearnersalso used more bowing with refusals ofan

invitation because many ofthem began their refusal with an apology, much like the

English formula of preceding a refusal with  Fm sorry but ‥.¨bef1)re giving a

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  Theinteractionoflanguageandnonverbalbehaviorinluencin91heperception of Japanese refusals

reason in order to mitigate the effbct of refilsing・

The facial side of refusals

   As mentioned in the introduction, there is a popular misunderstanding about

theroleofnonverbalbehaviorinc01nnlunication giving it a much larger percentage

of the message than it actually deserves (Beattie,2004).This is not to say that

gesture and facial eχpression do not bear an important share ofthe communication

load. CampbeII (1999)pointed out how facial expression is pragmatically important

in sign languages. ln other research that was ca函ed out to deveIop a model fi)rthe

construction of an artificial agent, the goal was to be able to express performatives

thfough facial expressions (Poggi&Pelachaud,1998).As Ekman (1999)noted,

The face is one of the primary sites of emotional eχpressions: the voice is the

other (p.51).

   When there is ambiguity with the possibility of a number of meanings, facial

expression can play the role of eliminating inappropriate possibilities and focus on

the most likely one (Calbris,1990).Calbris also spoke of superfluous vs.

complimentary facial expression, stating that,  A superfluous facial eχpression can

modify the meaning of a gesture  (p. 17).Facial expression can not be overlooked

because it does carry a portion ofthe communication Ioad.

   ln Japanese, it is p011te to refuse an offer,evenif you do not mean it. Even

though the person on the left in Figure l did not smile, greater politeness is indicated

bytheuseof面gθzα加心zj for the linking verb instead oldesu.lt has been suggested

that Japanesedo not like to display emotion either verbally ornonverbany,which

might cause them to avoid facial expressiveness (Bamlund,1989),although studies

ofre仙sals have had participants smile when they re血sed ofTers and invitations

(Jungheim,2004,2008,2009b).ln a talk given while deve10ping the test used in

this study, the researcher showed a video clip created for the test that had verbal

negation,a refusal gesture, anda neutral fllcial eχpression. 0ne immediate reaction

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was/ He Iooks rude¨(McNeill,2007).ln French as we11  The relilsal can be

modulated:with a smile, the outward palm will be interpreted as a polite refusaL‥

(Calbris,1990,p. 102),This also seems to be the case for Japanese; there is the

expression wα,・αZZe go。1α尨皿。which is literally to try to deceive someone by

laughing or to  smile it away  (Kondo&Takan0,1986,p.632).

   Listener gaze is another factor invoIving fllcial eχpression, as well as gestures・

The fllce is the default 10cation for fixation. Nobe,Hayamizu, Hasegawa, and

Takahashi(2000)pointed out that it is possible for a person to process a large

amount of information in the small area around a fiχation. 0n the other hand,

fiχation is not essential fbr comprehension (Jungheim,2008; Nobe, et al.,2000),

and peripheral gestures may be more salient (Gullberg&Holmqvist,1999).From

the culturaI standpoint, Watson(1970)claimed that Asians tend to have more

peripheral gaze rather than focusing on a person s f11ce or head. Participants in his

study thought that too much gaze was disrespect血l and insulting。

      This Study

   Thepurposeofthis study is to eχamine how language and nonverbal behavior

interact to infhlence a listener s perception of a refusal in Japanese. Focusing on

verbal and nonverbal featuresof a Japanese refusaI of an oflbr, the foIIowing

research questions are addressed:

1)To what eχtent do verbal negation, gesture, and fllcial eχpression affbct the

   perception of someone s intention to refuse in Japanese?

2)To what eχtent are speakers of Japanese as a mother tongue conscious of the

   efTect ofverbal negation, gesture,and facial eχpression on their perception of

   someone s intention to refuse?

   Abcttcrundcrstandingofthcr01cofgcsturcsandfaciaIcxprcssionsinrcfusals

may contribute to the teaching of JSL pragmatics.

二二七

80

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二二六

white cup was placed. The background was also

dark blue. Performers were instructed to take their

glasses and jewelry off and wear a black t−shijlll

provided by the researcher (see Figure 2 for the・

setting).This was done to eliminate as much

context fiom the videos as possible and to remove

any supernuous distractions.

  Theinteraction oflanguage and nonvert)al behavior influencing the perception of Japanese re粕sals

      IVlethOd

Participants

   Participants in this study werc 72 Japanese native speakcrs (41 females, 31

males)who were l8−66 years old (λf=31).They were recruited fiom among

undergraduate and graduate students, faculty members ofthe researcher s university,

and residents of the researcher s neighborhood, which gave the sample a greater

range of ages and backgrounds.

Nlaterials

   Materials were a data c011ection video with 13 video clips ofpersons refilsing

an ofTbr of a drink (one example, eight target items, and four distractors)and a

rating sheet. The target items had eight combinations of士negation(治?),士gestufe

(VP/OHP gesture),and士facial expression(十=smile,−=neutral fllcial expression).

Performers in the videos were recruited fiom the local population in a m4jor

Ameriean city and paid S20.00 for their help. They were two fi,males and two males

in their 20s.

   The videos f1)r the data collect instrument called the Refusal Perception Test

were created at a gesture lab attached to the psych010gy department of an American

university. AIl performers sat at a table covered with a dark blue c10th on which a

Each perfomler was shown a sample video of F桓a2.mustration of the        seuing for the data

8 1 someone refi1sing an ofTer, They were then video conection videos.

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十 一十 一十 一十 一十 一十 一

結構です(kekkou desu)

結構です(kekkou desu)

結構です(kekkou desu)

結構です(kekkou desu)

結構です(kekkou desu)

結構です(kekkou desu)

結構です(kekkou desu)

お構いなく(okamainaku)

いいです(iidesu)

いりません(irimasen)

Table l

Rゆ4s㎡Formulas Used in the Re和sal Perception Rst

L2 3 4 5 6 7 8 9 10Hp一 +十 一 一十十十 ︼

⊇一五

++十十十 一

recorded in the order shown in Table l with the researcher sitting by the camera and

saying b晶丿尨zjαzz辿θηθ朋jz?7心z4加(Would you like some cofTee or something

eIse to drink?)and actors responding with the designated refusal formula. They also

repeated the ofTeritself,and their voices were used to replace the researcher s voice

on the RefusaI Perception Test。

   Four versions of the Re伍sal Perception Test were created by randomly

distributing the four sets of performances, making sure that no videos with similar

fk)rmulas were perfbrmed by the same person, which might make participants think

a performance was used twice. These were then arranged randomly in a PowerPoint

presentation.AIl instructions were included in the Refilsa1 Perception Test itselfl

   The rating sheet and test instructed participants to rate the videos perfomlances

on whether or not they thought the person was serious about refusing the offbr of a

drink on a scale of l t0 5 from α&θ/zjZ6?加zlθZ∫erjθzgα&θ爾阿/沁加gtoα&θ/z4Zに砂

serious about 尺φ4sing・ The Japanese expression used for  serious  was /zθz7肩.A

space was providcd neχt to cach item for wTiting the reason for the rating, and the

back ofthe sheet was used for retrospective comments.

82

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  Theinleraction oflanguage and nonverbalbehaviorinluencingtheperoeptionofJapanese励Jsals

Procedure

   Participants sat at a table with a notebook computer in fiont of them. The

researcher sat to the side and operated the Re恒saI Perception Test by remote

control.After reading the instructions, participants were aIIowed to ask for

clarification. They then viewed a sample video and rated it. The researcher gave

participants ample time to rate each video and write their explanations. After

completing the rating and comments, participants wrote retrospective comments on

the back of the rating sheet. The researcher read these immediately and asked

follow−up questions.W11en the data collection was completed, the purpose of the

study was explained and participants could ask questions or make further comments.

AIl participants were given chocolates or a tea bag set for their participation.

   Ratings were input into a spreadsheet, and comments about each rating, as

well as retrospection, were coded by two graduate student JNS raters  for mentions

of negation, gesture,and fllcial eχpression. This coding was also input into a

spreadsheet.

Analysis

   ln this study, the independent variable is Japanese refilsal and the dependent

variable is native speaker perception. Native speaker perception was measured

using the RenlsaI Perception Test. Thealphalevelofsignificanceforthisstudywas

setat.05.

   Descriptive statistics were calculated fbr the eight target items of the Refusal

Perception Test. A Multivariate Analysis of Variance (MANOVA)was carried out

comparing four items with a smile (十fllcial expression)with four items that had a

neutral face Gfacial expression)to determine ifthere was any significant difkrence

between participants  judgments of seriousness to re拓se among the various

combinations of negation, gesture,and facial eχpression. The comparison of only

士facial eχpression pairs ofitems was made after it was found that facial eχpression

       83

二二四

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