Escapism, Pathology, and the Otaku

A reading and analysis of Neon Genesis Evangelion and End of Evangelion using
psychological, auteur and genre theory

Year 12 English and Literature Extension – IA3

Joel Sanchez-Carn Word Count (excluding references): 2997

 Escapism, Pathology, and the Otaku
A reading and analysis of Neon Genesis Evangelion and End of Evangelion using
psychological, auteur and genre theory

The brainchild of Hideaki Anno, Neon Genesis Evangelion is a postmodernist anime

(Japanese animation) series that investigates the psyches and afflictions of its
characters. Evangelion aired from 1995-96 on TV Tokyo (Fergus, 2021). The series’
companion feature film, End of Evangelion (1997) serves as the latter bookend to the
television series. Evangelion was ‘placed in the children’s television time slot’ and
supposedly targeted adolescents (OptimistMinds, 2021, para. 8). Therefore, Neon Genesis
Evangelion could potentially be classified as a ‘Shōnen’, ‘a subgenre of anime aimed at
adolescent boys ages twelve to eighteen’ (Milford Public Library, 2021, para. 1). However,
both the end of the series and its accompanimental film are markedly darker, more esoteric,
and more introspective than the series’ beginning, and hence have resonated more strongly
with older audiences, specifically the ‘Otaku’ demographic, so much so that Japanese critic
Tsuribe (1999) has posited that ‘Evangelion is extremely interior and is lacking in sociality…
it seems to reflect the pathology of the times.’ (para. 4).

Evangelion is set in a fictional ‘Tokyo-III’, recovered from the ‘Second Impact’, an event
that has destroyed half of humanity. A team of youths stricken with social traumas are
commissioned by the callous Gendoh Ikari to pilot ‘Evas’ to combat the malicious ‘Angels’.
The text privileges Shinji, Gendoh’s estranged son, as he is forced to confront death,
sexuality, mental illness, and existentialism. The series becomes increasingly challenging as
it progresses, interrogating the traumas of its characters. Eventually, it is revealed that
Gendoh intends to trigger the ‘Human Instrumentality Project’ (an extinction event
achievable through the ‘Third Impact’) that merges the souls of every being, to reunite with
his deceased wife (and Shinji’s mother), Yui Ikari. He is successful, and as the Human
Instrumentality Project begins, the characters are forced to confront their disorders and
resolve them. For the sake of the investigation, the series’ companion film, End of
Evangelion must also be summarised. The film canonically parallels the events of the final
two episodes of the series; whereas the television series follows the inner dialogues of its
characters, the film observes these events from an external perspective. In the film, the Third
Impact begins, instigated by Rei, who carries the soul of Yui Ikari - Shinji’s mother - and
Lillith, the progenitor of human life. Shinji is crucified, as Lillith is revived and those left
alive are dissolved into liquid and merged. Ultimately, Shinji decides against this merging of
souls, and destroys Lillith, allowing those killed to return to the Earth.

This essay will explore whether Evangelion was reflective of the ‘pathology of the times’. To
achieve this, it will evaluate the audience to which the text was truly authored to appeal to.
Theories used include psychological theory, genre theory, and auteur theory.

The term ‘psychological theory’ is used in reference to a set of disciplines situated under the
general branch of psychology. Due to the wide range of disciplines in this field, sub-
disciplines – namely humanism and psychoanalysis - will be applied to the deconstruction of
the text. Psychoanalytic theory ‘emphasizes that the human organism is constantly, though
slowly, changing through perpetual interactions, and that, therefore, the human personality
can be conceived of as a locus of change with fragile and indefinite boundaries’ (Peters et al.,
2016, para. 10). Humanism concerns the human experience’s pertinence to and interactions
with ‘philosophical humanism, existentialism and phenomenology’ (Michigan School of
Psychology, 2019, para. 6). The Oedipus Complex; Id, Ego & Superego; and Maslow’s
Hierarchy of Needs – are useful in the examination of Anno and his psychological
constituents that contributed to the introspective facets of Evangelion, as well as the
psychological reception of the series as the Otaku would perceive it. Genre theory seeks to
define and therein circumscribe a text to constituent aspects: ‘communicative events with
some shared set of communicative purposes’ (Wang, 2012, p.38). This critical theory will be
used in a deconstructive manner, namely via ‘textual harassment’ (Barry, 1995, p.55), with
the intent of critiquing Evangelion and revealing its true genre, and consequently for whom
the series was intended. Auteur theory must be discussed; as the ‘auteur’ of Evangelion,
Anno assumes the role as the impetus of the text and hence must be regarded as the chief
figure of the fabula. The limitations of Auteur theory must be considered; auteur theory
assumes that the auteur in question is wholly responsible for every nuance of a text: ‘it is
reductive to credit particular individuals for [film works] and implicitly dismiss the authorial
contributions of many others’ (O’Meara & Bevan, 2018, para. 7). Thus, it shall be assumed
that, despite the involvement of the GAINAX group in the creation of the franchise, the final
product is an embodiment of Anno’s authorial intent.

Despite its fantastic exterior, Evangelion is an existentialist text; anime texts of this nature
were unseen in the mid-1990s period that the franchise premiered. Though initially
presenting as a fantasy, the gradual, almost imperceptible shift in thematic material across
the breadth of the series renders it drastically divergent from its initial
episodes. Evangelion initially presents itself as a ‘Mecha-Shōnen’ anime, like past
cornerstones of the medium such as Mobile Suit Gundam and Giant Robo, and the text
embodies characteristics that define the genre: ‘fiction-type narratives which focus mostly on
technology’ (Newitz, 1994, p. 5). Gradually, its narrative agent ‘zooms in’ on the fabula,
as Evangelion’s plot becomes increasingly introspective, undergoing a narrative
metamorphosis until it emerges wholly dissimilar. Miller (1984) sees genre as ‘a point of
connection between intention and effect, an aspect of social action’ (p. 153). Hence, it can be
surmised that Anno’s clear divergence was not without cause; it was implemented to a real
social end. Neon Genesis Evangelion was borne out of Anno’s dissatisfaction with the
‘Otaku’ culture: ‘Anno… [expressed] deep skepticism of the postmodern fixation on the
virtual, particularly regarding the stereotypical Otaku lifestyle’ (Manji, 2020, p. 11). The
series functioned as a response to the Otaku fans of Nadia (1990-91), whose ‘intense erotic
attachment to the character of Nadia… disgusted Anno’ (Dejeu, 2016, p11). Thus, it is not
unreasonable to speculate that this ‘Otaku’ audience and their response to Nadia was one for
which Evangelion and its deceptive and changing genre(s) may have been truly intended.

The Otaku culture is one much typified as existent outside social acceptability. Memetic
profiles of this group have created a narrative of its inhabitants as dependent and societally
deviant, especially in Japan, where the word is synonymous with ‘a creepy person without a
social life’ (Morgandi, 2019, para. 8). Newitz (1994) describes the ‘Otaku’ as ‘a kind of
insult; it refers to a person who is so involved with a particular type of fan subculture that he
or she becomes obsessed, even insane’ (p.1), and states that ‘[male] people of Asian and
Caucasian descent dominate, in nearly equal proportions… fans tend to be between the ages
18-25’ (p.4). Dean (2008) maintains that ‘The element of strategic choice, of being able to
consider situation, purpose, timing, audience, culture, and available options when using a
genre, is what makes genres rhetorical’ (p. 14). Moreover, Ruh (2013) suggests that ‘the
creators of Evangelion [were] very aware of fandom and possible responses to the show’
(p.5). Synthesising the above statements, we can begin to examine these ‘strategic choices’
that Anno has incorporated to exploit the morphology of genre and hence target the Otaku
subculture.

Anno has stated that the series is emblematic of the five-year bout of depression he
experienced after his work on Nadia (Yoshiyuki, 1995). Escapism, specifically through the
aforementioned ‘insane obsession’ with media franchises is a large part of the nexus of the
Otaku culture; Dhaliwal et al (2021) posits that ‘escape is a motive that is more related to…
negative moods outside of the… context’ (p.5). Reasonable, then, is the argument that
depression may play a large part in the much-typified dependence of Otakus. Auteur theory
is useful in its dialogue with psychological theory: ‘[the auteur’s] psychological connection
with his films, whether conscious or unconscious, allows the audience to psychologically
connect with the film, thus permitting [the auteur] to manipulate their emotions and
responses to them’ (Hockensmith, 2012). Moreover, Rountree (2008) states that ‘the
experience of a prolonged empathic immersion [which surely happens in movie theaters] is
curative’ (p.127). Hence, Anno’s inclusion of ‘auteuristic’ depictions of his psychological
travails in a manner that resonates with the Otaku and their pathologies was likely motivated
by the intent to lead this audience to further immerse themselves into the franchise, in a bid
to seek psychological solidarity.

Evangelion is also can be read as a struggle between the Id, Superego, and Ego. Sadler et al.
(1997) define the Superego as ‘the organized psychic representative of the parental authority
figures of childhood... this mental agency functions as the individual’s conscience’ (p. 170).
The Ego is ‘a structure that develops largely to cope with the demands and restrictions of
external reality and to mediate between the drives, reality, and, later, the superego’ (p. 170).
Finally, the Id is ‘regarded as the reservoir of instinctual drives and wishes (particularly
childhood sexual and aggressive wishes)’ (p. 169). The theory of the Id, Ego, and Superego
is effective in analysing the series’ ‘Absolute Terror Field’, a protective shield that guards
the Evas against Angels’ attacks. This metaphorically parallels the Id-based desire to isolate,
to protect oneself from the cognitive dissonance inherent in the germination and
gentrification of human relationships, in constant conflict with the Ego-based desire to form
relationships as a means to fulfillment and survival. Li et al. (2013) posit that ‘"Absolute
Terror”…can protect an individual’s confidence but also reinforce their sense of
psychological loneliness' (p. 13). This parallels the norms of Otaku culture; the situation of
this demographic outside the bounds of supposed social normality renders them unrelatable
to those living inside these bounds. Hence, this constituent of the series provides an
emotional ‘hook’ for the depressed Otaku, for whom the crystallization of their emotions
through an escapist medium proves enticing.

Evangelion also provides a platform for vicarious living, exploiting the Otaku community’s
search for purpose. ‘[Otakus are threatened] with feminization and disempowerment’
(Newitz, 1994, p. 11). It can be surmised that the Otaku may be inclined to seek the
antitheses of these traits – namely masculinity (and therein sexual desirability and
competency of faculty) - and power, especially through an escapist medium as multifarious
and richly realistic as Evangelion. These traits can be superimposed onto Maslow’s hierarchy
of needs: ‘a motivational theory in psychology comprising a five-tier model of human needs,
often depicted as hierarchical levels within a pyramid’ (McLeod, 2018, p. 1). The traits of
masculinity and power are embodied in the uppermost three levels of the hierarchy:
belongingness and love needs; esteem needs; and self-actualisation. Sexual desirability
fulfills belongingness and love needs and esteem needs; competency of faculty and power
fulfills self-actualisation and esteem needs. Shinji seemingly embodies masculinity through
Asuka’s sexually frustrated and narcissistic carnal attraction to him, in corroboration with the
virtual sexual dominance he achieves after masturbating to Asuka’s comatose body. Shinji
also ‘assumes the exact role he was intended to fill… repeatedly and becomes a key
component in every battle against the angels’ (Dejeu, 2016, p. 16), rendering him a conduit
through which the Otaku can experience a degree of power and self-actualisation. Despite
these leadings, Shinji’s sexual interests are never reciprocated in a manner that parallels
normative relationships, and his ‘hero’ narrative is eventually severed from the fabula by a
dearth of purpose. Here, Anno begins to respond to and critique the Otaku. After seducing
this audience through their own perversity, Anno presents the stark reality of living one’s life
in such a manner, and in doing so redirects the fabula from that of seeming self-discovery
and reflection to a distinctly critical review of the series’ audience.

The Oedipal Conflict is indissoluble from the pandering of Evangelion. Slavin (1978)
describes Oedipal Grief as a ‘clinical syndrome seen in late adolescent men… a depressive
state sustained by a vengeful conscience and a pattern of self-punitive acting out’ (abstract),
in which ‘the Oedipus complex may re-emerge as an unresolved conflict’ (Miller, 1999,
abstract). Considering the demographic for whom Oedipal Grief is common, as well as the
depressive traits of this syndrome, it can be deduced that this developmental phenomenon
likely constitutes an integral constituent of the Otaku experience. The sexualized overtones
of the Evas - in whom the souls of the characters’ dead parents are imbued – function as
narrative subtext throughout the fabula. These robots are entered via the phallic ‘plug suit’
and are ‘synchronized’ with in a manner that merges physiological consciousness. Through
these signifiers, the subtext of Shinji’s heavily psychosexual relationship with his mother is
explicated. Here, the Otaku community can turn toward Shinji as an ‘assuager’, a vicarious
vessel through which they can escape the realities of Oedipal grief. Ortega (2008) postulates
that ‘[Yui] becomes a symbol of internalized sexuality, onanism, oedipal desire, and
stagnation, a cipher for the refusal and/ or inability to individuate sexually and psychically,
as well as the latent potential to do so’ (p. 227). Anno’s implication of this subtext is an
integral narrative ingredient to Evangelion’s embodiment and subsequent rejection of the
Otaku pathology synonymous with the late 20th century and early 21st; ‘some of the most
pressing issues for Japanese modern narrative have been questions of legitimacy and
illegitimacy (based on an improperly resolved oedipal crisis)’ (Orbaugh, 2002, p. 438).
Through this, the Otaku is provoked to self-examine; to consciously traverse the
consequences of their Oedipal Grief, and examine their erotic attachment(s) in a manner that
attends to the deconstruction of the archetype.

Evidently, Anno has achieved marked success in reaching the Otaku; Evangelion’s status as
a cult franchise evidences his efficacy to this end. Mathijs and Sexton (2011) state: ‘A
browse through many cult film publications reveals the auteur figure as a commonly
significant structuring principle’ (p.67). The reception of Evangelion’s final two episodes
serve the narrative that Evangelion gained a cult following. Up until this point, Anno had
foreshadowed a climactic and violent end to the series, cemented by the ‘prophetic’ death of
Kaworu. Anno’s subversion of this foreshadowing in episode 25 and 26 garnered much
derision from fans; according to Napier (2002): ‘Many viewers were outraged by the two
final episodes. Expecting a more conventional end-of-the-world scenario, fans were baffled
and indignant that, instead of outward explosions and satisfying combat, the cataclysmic
struggle occurred wholly in the character's mind’ (p. 427). Supplementarily to this response,
Anno and the GAINAX staff received backlash: ‘Some fans responded… with vitriol, and
with death threats’ (Wooder, 2020). This Otaku audience, expecting an action-heavy finale to
the series, became incensed that the series’ hyperactive narrative agent would emerge from
their televisions and critique them.

Anno’s intent is solidified - and to some extent overcoded - in End of Evangelion. This
action-heavy ending to the series appears largely exterior, yet Anno subverts the augurs set in
motion by its fabula, again deceptively redirecting the narrative agent toward the viewer.
Oedipus is strongly evidenced; the climax of the film sees Shinji, inside his Eva unit, enter
the distinctly vulvic eye of Lillith – literally the ‘Mother’ of human life - who manifests in
the form of Rei, and hence Yui Ikari. Despite this, Anno explicates the realities of Oedipal
grief, as Eva-01 (Yui), is banished. Misplaced sexual desirability is reprised; once Shinji
returns to Earth, he is left only with a physical amalgamation of all his female sexual
interests in an exhibition of a subverted Eden, and yet is faced with the distinctly anti-Otaku
realities of no emotional connection between ‘Adam’ and ‘Eve’, crystallised by the infamous
line: ‘how disgusting’ (Anno, 1997). Here, Anno presents an even blunter reality than in
Evangelion’s television series; whereas the series ends with a resolution of sorts in the
‘congratulations’ sequence, End of Evangelion leaves the Otaku with the bleak task of facing
reality - and themselves - in a psychologically frank manner. In the words of Tsuribe (1999),
‘[Evangelion] strongly appeals to otaku's sensibilities, but on the other hand it implies radical
criticism against otaku's mentality’ (para. 2).

These elements, despite their authorial significance, are largely unhelpful in

revealing Evangelion’s genre. Though genre theory is effective in defining more contained
texts, it does not consider the text’s authorial constituents, nor is it effective in defining those
texts whose fabulas alter gradually. If defining the true genre of Evangelion is the end to
employing genre theory, the classification of the series is unrealistic. To deem Evangelion a
‘Mecha-Shōnen’ would be to disregard the dark existential and psychological subtext that is
revealed as the series progresses; to regard it as a ‘Seinen’ would be to neglect the series’
fantastical and escapist facets. To successfully classify Evangelion, the series must be broken
into constituent sub-fabulas, however, this process is largely reductive to the concept of the
complete text; what results is the separation of the fabula of the series’ beginning from their
eventual degradation and deconstruction at its end. Paradoxically, this evasion of
classification is a large constituent of what lends Evangelion its psychographic appeal to the
Otaku demographic; through its elusion of genre, it cannot be reduced to tropes; it cannot be
compartmentalized into obvious narrative processes. Hence, the series’ subjects are made
more true-to-life, and memes, critiques, and pastiches of the series can only reasonably
encompass characters and their social processes. Paraphrasing Derrida, Cohen (1986) asserts
that: ‘Individual texts resist classification because they are interpretatively indeterterminate’
(p. 204), and Evangelion is no exception.

What we can surmise is that Tsuribe’s case that Evangelion is emblematic of the ‘pathology
of the times’ is wholly accurate. Specifically, we can see that it manifests in Evangelion’s
way of organising itself in a way that surrounds and covertly examines the Otaku culture,
revealing and critiquing the pathology, namely the depression and consequent escapism that
comes as by-product of the Otaku experience. Its narrative features are designed specifically
around subsuming the Otaku culture to critique it, and as such the quintessence of the text is
an embodiment of pathology.

A close reading of Neon Genesis Evangelion reveals that the text deceptively conceals its
genre. What presents as a Shōnen slowly self-deconstructs throughout the procession of its
fabula, transmuting into a semi-biographical account of its auteur, in a manner that first
subtly, then overtly, critiques the Otaku. Evangelion betrays its medium; it occupies an
interstice of creative genus that both evades and defies classification. It is this textual tension
between text and genre, between auteur and creator, and between escapism and reality that
renders Neon Genesis Evangelion so enduring.
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