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NONNERBA COMMUNICATION
ALBERT MEHMBMN
Ö Routledge
Taylor & Francis Group
LONDON AND NEW YORK
First published 1972 by Transaction Publishers
Notice:
Product or corporate names may be trademarks or registered trademarks, and
are used only for identification and explanation without intent to infringe.
BF637.C45M43 2007
153.6 9--dc22
2006052288
vii
viii Preface
Preface vii
2. T h e L a n g u a g e of Posture a n d P o s i t i o n 16
3. Language w i t h i n Language 31
4. I m p l i c i t Rhetoric 54
7. Styles a n d A b i l i t i e s i n I m p l i c i t C o m m u n i c a t i o n 133
Communication 199
Bibliography 206
Index 218
1
This chapter includes r e w r i t t e n segments from m y article, " A Semantic Space for
N o n v e r b a l Behavior," Journal of Consulting and Clinical Psychology, 35 ( 1 9 7 0 ) ,
2 4 8 - 5 7 , c o p y r i g h t ( 1 9 7 0 ) b y the A m e r i c a n Psychological Association. Reproduced
b y permission.
1
2 CHAPTER ONE
S O M E FUNCTIONS OF I M P L I C I T BEHAVIORS
A l t h o u g h this b o o k focuses p r i m a r i l y o n t h e w a y s i n w h i c h i m p l i c i t c o m
m u n i c a t i o n behaviors relate t o feelings a n d attitudes, these behaviors also
serve other functions. A case i n p o i n t is the occurrence o f uh-huh or h e a d
nods i n conversations. A l o n g w i t h Krasner ( 1 9 5 8 ) a n d M a t a r a z z o , W i e n s ,
A Semantic Space for Nonverbal Behavior 3
There is a small amount of research which suggests that when subjects are
exposed to an input that has a rhythmic organization, such as music, they
tend to move i n time to i t . . . and that i f they are already performing some
activity, such as tapping, or typing, they may bring the r h y t h m of this activity
into relation w i t h the r h y t h m of the input. . . . W e have seen here, both from
the data we have reported on, and also very strikingly from the data re
ported by Condon and Ogston, that the synchrony of the listener's behavior to
that of the speaker may be very precise indeed. The precision of the syn
chrony suggests that the listeners are responding to a r h y t h m w i t h w h i c h they
are thoroughly familiar. This r h y t h m is of course, largely the r h y t h m of
speech, the rhythmical character of the syllabic pulse, and for those who have
a given language i n common this r h y t h m must be familiar. . . . I t seems
plausible, thus, that the minute synchrony observable between interactants
is a product of their attention to an input where rhythmical structuring is
highly familiar to them. (Kendon, 1967b, pp. 3 6 - 3 7 )
I n a d d i t i o n to s t u d y i n g the e m o t i o n - c o n v e y i n g , r e g u l a t i n g , or b o d y -
a d a p t a t i o n functions, investigators have also focused o n t h e s t r u c t u r a l
qualities o f i m p l i c i t c o m m u n i c a t i o n s , irrespective of any functions t h a t
these m i g h t have i n t h e c o m m u n i c a t i o n process. D u n c a n ( 1969) p r o v i d e d
a r e v i e w of such studies t h a t "sought t o i d e n t i f y f u n d a m e n t a l elements
( o r u n i t s ) of n o n v e r b a l behaviors, a n d t o explore t h e systematic rela
tionships a m o n g these units . . . the questions are: (a) O u t of a l l be
haviors w h i c h are possible t o p e r f o r m , w h i c h ones a c t u a l l y occur i n c o m
m u n i c a t i o n ? a n d ( b ) D o these selected c o m m u n i c a t i v e behaviors occur i n
characteristic sequences or clusters w i t h other behaviors i n t h e same or
a different m o d a l i t y ? " ( p . 1 2 1 ) . A c c o r d i n g l y , one p r i m a r y hope a n d goal
of studies of t h e s t r u c t u r a l qualities o f i m p l i c i t c o m m u n i c a t i o n s was t o
discover h o w "the pieces are o r g a n i z e d i n t o s t a n d a r d u n i t s . . . recogniz
able at a glance a n d recordable w i t h a stroke" ( Scheflen, 1966, p . 2 7 7 ) .
I n some studies o f this k i n d , investigators have succeeded i n s h o w i n g
some sequential dependencies or c o r r e l a t e d behaviors i n different chan
nels. T h e studies of B o o m e r ( 1963 ) a n d D i t t m a n n a n d L l e w e l l y n ( 1968,
1969) e x e m p l i f y such an approach. H o w e v e r , t h e i r findings f a l l far short
of i d e n t i f y i n g s t r u c t u r a l hierarchies s i m i l a r to those used b y linguists
w o r k i n g w i t h v e r b a l behaviors. I n d e e d , i n a recent r e v i e w D i t t m a n n
( 1971 ) s h o w e d t h a t t h e p r o b e i n t o these s t r u c t u r a l notions, for w h i c h
B i r d w h i s t e l l ( 1952, 1970 ) m u s t be g i v e n p r i m a r y c r e d i t , has b e e n q u i t e
d i s a p p o i n t i n g a n d has n o t l e d t o t h e i d e n t i f i c a t i o n of any m a j o r o r g a n i
zational units.
O t h e r studies t h a t relate t o t h e s t r u c t u r a l a p p r o a c h are p u r e l y descrip
t i v e ( M c Q u o w n , 1957; Pittenger, H o c k e t t , a n d D a n e h y , 1960; P i t t e n g e r
a n d S m i t h , 1957; a n d T r a g e r , 1958, f o r p h o n e m i c a n d p a r a l i n g u i s t i c t r a n
s c r i p t i o n systems; B i r d w h i s t e l l , 1952, 1970, f o r kinesic b e h a v i o r ) . A nota
t i o n system t h a t was designed f o r dance is b y far t h e m o s t comprehensive
m e t h o d available for r e c o r d i n g b o d y movements ( H u t c h i n s o n , 1 9 7 0 ) . I t s
6 CHAPTER ONE
C U L T U R A L DIFFERENCES
m u n i c a t i o n ? A l t h o u g h any b e h a v i o r is i n p r i n c i p l e communicative—since
i t is observable a n d has some significance—certain behaviors are m o r e a
p a r t o f c o m m u n i c a t i o n t h a n others ( f o r example, facial expressions i n
contrast t o foot m o v e m e n t s ) . T h e selection of i m p l i c i t cues for s t u d y has
sometimes been based o n expressive qualities—that is, p a t h o l o g y - r e l a t e d
attributes ( B r a a t o y , 1954; D e u t s c h , 1947, 1952; D e u t s c h a n d M u r p h y ,
1955; or R e i c h , 1945) or p e r s o n a l i t y - r e l a t e d attributes ( A l l p o r t a n d
V e r n o n , 1967). Such psychoanalysts as B r a a t o y or R e i c h i n t e r p r e t e d pos
t u r a l r i g i d i t y t o i n d i c a t e obsessional tendencies a n d greater resistance t o
change. Some c l i n i c i a n s w e r e also interested i n t h e i d e n t i f i c a t i o n of par
t i c u l a r moods or feelings f r o m specific behaviors ( F r o m m - R e i c h m a n n ,
1 9 5 0 ) . E x p e r i m e n t a l investigations l e d t o t h e i d e n t i f i c a t i o n of seven
affects t h a t w e r e consensually c o d e d i n t o facial a n d v o c a l expressions, b u t
f a i l e d t o p r o v i d e a general f r a m e w o r k for t h e classification o f n o n v e r b a l
b e h a v i o r ( f o r example, findings r e v i e w e d b y D a v i t z , 1964; E k m a n , 1972;
T o m k i n s a n d M c C a r t e r , 1964; or W o o d w o r t h a n d Schlosberg, 1954,
Chapter 5 ) .
I n o u r present approach, t h e basic categories are d e v e l o p e d f r o m a
d e t a i l e d consideration of t h e referents, a n d n o t o f t h e c o m m u n i c a t i o n be
haviors or t h e communicator-addressee attributes. T h e dimensions t h a t
are used t o characterize t h e referents i n t u r n p r o v i d e a f r a m e w o r k for
classifying a n d s t u d y i n g t h e effects of t h e l a t t e r factors. Referents w e r e
chosen as t h e s t a r t i n g p o i n t because t h e existing i m p l i c i t c o m m u n i c a t i o n
l i t e r a t u r e p r o v i d e s a d e q u a t e evidence t o characterize t h e m i n a q u i t e
general w a y . C o n s i d e r i n g some o f this evidence, t h e referents are de
s c r i b e d i n terms o f a t h r e e - d i m e n s i o n a l f r a m e w o r k : e v a l u a t i o n , p o t e n c y
or status, a n d responsiveness. Positive e v a l u a t i o n is c o m m u n i c a t e d b y
facial a n d v o c a l cues ( w h i c h express variations i n l i k i n g ) a n d also b y
several postures a n d positions ( a closer p o s i t i o n , a greater f o r w a r d lean,
increased eye contact, a n d m o r e d i r e c t o r i e n t a t i o n ) . Postural r e l a x a t i o n
conveys p o t e n c y or status, a n d increasing i m p l i c i t a c t i v i t y ( s u c h as facial
or v o c a l a c t i v i t y ) expresses responsiveness t o another person.
F A C I A L A N D V O C A L EXPRESSIONS
c o u l d a i d i n t h e i d e n t i f i c a t i o n of large classes of i n t e r r e l a t e d n o n v e r b a l
behaviors.
Recent factor-analytic w o r k b y W i l l i a m s and Sundene (1965) and
O s g o o d ( 1 9 6 6 ) p r o v i d e d f u r t h e r i m p e t u s for c h a r a c t e r i z i n g t h e referents
of i m p l i c i t b e h a v i o r i n terms o f a l i m i t e d set o f dimensions. W i l l i a m s a n d
Sundene ( 1 9 6 5 ) f o u n d t h a t facial, v o c a l , or facial-vocal cues can be
categorized p r i m a r i l y i n terms o f t h r e e o r t h o g o n a l factors: general evalua
t i o n , social c o n t r o l , a n d a c t i v i t y .
F o r facial expression o f emotions, O s g o o d ( 1 9 6 6 ) suggested t h e f o l l o w
i n g dimensions as p r i m a r y referents: pleasantness ( j o y a n d glee versus
d r e a d a n d a n x i e t y ) , c o n t r o l ( a n n o y a n c e , disgust, c o n t e m p t , scorn, a n d
l o a t h i n g versus dismay, b e w i l d e r m e n t , surprise, amazement, a n d excite
m e n t ) , a n d a c t i v a t i o n ( s u l l e n anger, rage, disgust, scorn, a n d l o a t h i n g
versus despair, pity, dreamy sadness, b o r e d o m , q u i e t pleasure, com
placency, a n d a d o r a t i o n ) .
O n e w o u l d e x p e c t t o find a close r e l a t i o n b e t w e e n t h e d i m e n s i o n s o p e r a t i n g
here a n d those repeatedly f o u n d w i t h the semantic differential technique . . .
a p p l i e d t o l i n g u i s t i c signs. Pleasantness a n d A c t i v a t i o n a p p e a r t o b e s e m a n t i -
c a l l y i d e n t i c a l w i t h E v a l u a t i o n a n d A c t i v i t y , t w o o f t h e t h r e e m a j o r factors
i n t h e g e n e r a l s e m a n t i c space; w h a t w e h a v e c a l l e d t h e C o n t r o l d i m e n s i o n is
s i m i l a r i n s e m a n t i c t o n e t o t h e P o t e n c y factor—scorn, sullen anger a n d t h e l i k e
seem t o i m p l y s t r e n g t h a n d bewilderment, surprise a n d t h e l i k e weakness—
b u t t h e r e l a t i o n is n o t as c o m p e l l i n g . ( O s g o o d , 1 9 6 6 , p . 2 7 )
H A N D GESTURES
I n one o f t h e f e w studies a v a i l a b l e i n t h e area of h a n d gesturing, G i t i n
( 1 9 7 0 ) presented 36 p h o t o g r a p h s o f h a n d gestures t o subjects w h o r a t e d
each o f t h e p h o t o g r a p h s o n 40 semantic d i f f e r e n t i a l scales. H e r first t h r e e
factors w e r e c h a r a c t e r i z e d b y t h e f o l l o w i n g sets of scales:
Factor I : active-passive, s h a r p - d u l l , i n t e r e s t i n g - u n i n t e r e s t i n g , tense-
sleepy, exciting-boring, curious-indifferent, meaningful-
senseless, a n d i n t e n t i o n a l - u n i n t e n t i o n a l .
Factor I I : pleasant-unpleasant, friendly-unfriendly, good-bad, and
beautiful-ugly.
Factor I I I : submissive-dominant, weak-strong, unarmed-armed, doubt
f u l - c e r t a i n , shy-brave, a n d slow-fast.
G i t i n ' s first factor corresponds t o o u r responsiveness d i m e n s i o n , w h i c h
is r e f e r r e d t o as activation or activity i n other studies. H e r second factor
is t h e c o u n t e r p a r t o f o u r e v a l u a t i o n d i m e n s i o n . H e r t h i r d factor relates
to t h e p o t e n c y or status d i m e n s i o n . T h e semantic d i f f e r e n t i a l scales cor
r e s p o n d i n g t o these three factors f u r t h e r h e l p c l a r i f y the- r e f e r e n t i a l sig
nificance o f an i m p o r t a n t aspect of n o n v e r b a l b e h a v i o r ( h a n d gestures),
as w e l l as other i m p l i c i t behaviors i n general.
I t is i n t e r e s t i n g t o find t h a t , at least for facial, v o c a l a n d m a n u a l expres-
10 CHAPTER ONE
POSTURE A N D P O S I T I O N
M O V E M E N T S A N D I M P L I C I T ASPECTS O F V E R B A L I Z A T I O N
M a h l , D a n e t , a n d N o r t o n ( 1 9 5 9 ) suggested t h a t m o v e m e n t i n f o r m a t i o n
c o m p l e m e n t s v e r b a l messages b y a n t i c i p a t i n g , c o n t r a d i c t i n g , or b e i n g
c o n c u r r e n t w i t h t h e referents of t h e v e r b a l channel. M o r e specific w o r k
b y E k m a n ( 1964, 1965 ) a n d E k m a n a n d Friesen ( 1967 ) o n t h e referents
of m o v e m e n t s of various b o d y parts s h o w e d t h a t stationary positions
c o m m u n i c a t e gross affects ( t h a t is, a t t i t u d e s ) , whereas m o v e m e n t s a n d
facial expressions c o m m u n i c a t e specific emotions.
Rosenfeld ( 1966a, 1966b ) used a r o l e - p l a y i n g p a r a d i g m i n w h i c h his
subjects w e r e requested t o i n t e r a c t w i t h someone a n d e l i c i t v a r y i n g de
grees of l i k i n g f r o m h i m . T h e i m p l i c i t behaviors of t h e subjects w e r e t h e
d e p e n d e n t measures. H i g h e r speech rates, l e n g t h i e r c o m m u n i c a t i o n s , fre
q u e n t v e r b a l reinforcers t o t h e addressee, gesticulation, s m i l i n g , p o s i t i v e
h e a d nods, a n d less f r e q u e n t self references w e r e f o u n d t o b e associated
w i t h the attempt to elicit more liking.
I n t h e t w o studies described b e l o w , i t was assumed t h a t i n c e r t a i n
i n t e r p e r s o n a l situations t h e i m p l i c i t c o m m u n i c a t i o n of attitudes is either
m o r e a p p r o p r i a t e or a necessary c o n c o m i t a n t of t h e c o m m u n i c a t o r ' s
affect. F o r instance, Z a i d e l a n d M e h r a b i a n ( 1969 ) f o u n d t h a t c o m m u n i
cators w e r e able t o express variations i n negative affect b e t t e r t h a n v a r i a
tions i n p o s i t i v e affect, w h e t h e r u s i n g facial or v o c a l channels. Perhaps
i m p l i c i t expressions o f negative a t t i t u d e are p r a c t i c e d m o r e t h a n are
p o s i t i v e ones, because i t is s e l d o m a p p r o p r i a t e t o express negative feelings
o p e n l y . T h u s , negative feelings are delegated t o these subtle channels
m o r e f r e q u e n t l y t h a n are p o s i t i v e feelings, a n d people become proficient
at i m p l i c i t l y expressing t h e i r negative feelings r a t h e r t h a n t h e i r p o s i t i v e
feelings.
I n stress situations, i m p l i c i t channels once a g a i n m a y become salient
indicators, p a r t i c u l a r l y w h e n t h e c o m m u n i c a t o r is u n w i l l i n g t o express his
feelings e x p l i c i t l y . E a r l y p s y c h o a n a l y t i c interest i n n o n v e r b a l b e h a v i o r
was p r i m a r i l y m o t i v a t e d b y this a s s u m p t i o n ( f o r example, D e u t s c h a n d
M u r p h y , 1955 ) . T h e recent interest i n t h e d e t e c t i o n o f deceit f r o m i m
p l i c i t behaviors also seems t o b e r e l a t e d ( E k m a n a n d Friesen, 1969a ) .
T h e i m p o r t a n c e o f i m p l i c i t behaviors is h i g h l i g h t e d i n situations i n
w h i c h u n f a m i l i a r persons interact, w i t h one seeking t o influence t h e
other (as i n p o l i t i c a l speeches or a d v e r t i s i n g ) . V e r b a l expression o f
feelings t o w a r d another is less p e r m i s s i b l e i n these situations t h a n is an
a r g u m e n t or i n f o r m a t i o n r e l a t i n g t o t h e t o p i c i n question. I n t h e experi
ments s u m m a r i z e d b e l o w , t h e i n t e r a c t i o n s i n v o l v e d dyads, m o s t l y of
peers. O n e m e m b e r o f each d y a d was a confederate o f t h e experimenter.
T h i s m e m b e r e x h i b i t e d a p r e a r r a n g e d set o f behaviors designed t o seem
" n o r m a l " for t h a t s i t u a t i o n . T h e other m e m b e r o f t h e d y a d , t h e actual
subject, was observed t h r o u g h a o n e - w a y m i r r o r . H i s or her behaviors
were video recorded.
A Semantic Space for Nonverbal Behavior 13
n o m e n o n o f t e r r i t o r i a l i t y ( f o r example, C a l h o u n , 1 9 6 2 ) , a n d is a major
d e t e r m i n e r of social i n t e r a c t i o n patterns a m o n g humans. T h i s is especially
e v i d e n t i n t h e h i g h l y stratified, a u t h o r i t a r i a n cultures b u t can be seen
i n even t h e most d e m o c r a t i c societies ( f o r example, H a l l , 1 9 6 6 ) .
Responsiveness is c o n c e p t u a l i z e d as t h e nonverbal-social c o u n t e r p a r t
of the o r i e n t i n g reflex ( f o r example, M a l t z m a n , 1 9 6 7 ) . As such i t is another
e l e m e n t a r y a n d basic aspect of social life. T h e degree of responsiveness
one person displays t o w a r d another indicates t h e o t h e r s salience for h i m .
I t is e l i c i t e d b y n o n n e u t r a l events or persons ( e x t r e m e instances b e i n g
u n u s u a l l y r e i n f o r c i n g or t h r e a t e n i n g o n e s ) . I n c o g n i t i o n (as i n respon
siveness ) , u n u s u a l events o f either p o s i t i v e or negative q u a l i t y are g r o u p e d
a n d reacted to s i m i l a r l y , as e x e m p l i f i e d b y t h e concept o f mana i n m a n y
p r i m i t i v e cultures ( f o r example, Cassirer, 1 9 5 3 - 5 7 ) . T h e differential re
sponsiveness of humans or animals t o various aspects of t h e i r social en
v i r o n m e n t distinguishes t h e m f r o m t h e i n a n i m a t e w o r l d and, together
w i t h t h e p r e c e d i n g t w o c o g n i t i v e distinctions ( e v a l u a t i o n a n d j u d g m e n t
of social p o w e r ) , is a basic aspect of i n t e l l i g e n t ( a d a p t i v e , a la Piaget,
1960) f u n c t i o n i n g .
T h e r a t h e r general q u a l i t y of these c o g n i t i v e a n d b e h a v i o r a l dimensions
for b o t h a n i m a l a n d h u m a n social systems p r o v i d e s a p l a u s i b l e basis f o r
u s i n g d a t a o b t a i n e d f r o m t h e social i n t e r a c t i o n o f animals. Primates, i n
p a r t i c u l a r , can p r o v i d e c o m p l e m e n t a r y i n f o r m a t i o n a b o u t c e r t a i n aspects
of affect a n d a t t i t u d e c o m m u n i c a t i o n i n humans. F o r instance, Sommer
( 1 9 6 7 ) s u m m a r i z e d some o f t h e research t h a t r e l a t e d t h e s p a t i a l arrange
m e n t of persons i n a v a r i e t y o f social situations t o t h e i r social status. A
n u m b e r o f t h e studies Sommer r e v i e w e d w e r e m o t i v a t e d b y observations
of t h e m o r e f a m i l i a r p h e n o m e n o n of t e r r i t o r i a l i t y i n animals ( A r d r e y ,
1966; L o r e n z , 1966; M c B r i d e , 1964). E v e n an i n f o r m a l observation o f
chimpanzees l i v i n g together provides impressive differences i n t h e pos
tures, positions, movements, a n d facial expressions o f dyads d i f f e r i n g i n
status. Since status or p o t e n c y is r e a d i l y specified i n terms o f size or
s t r e n g t h i n such a n i m a l social systems, i n v e s t i g a t i o n o f t h e n o n v e r b a l
correlates o f p o t e n c y is considerably s i m p l i f i e d a n d m a y y i e l d n o n v e r b a l
i n t e r a c t i o n cues t h a t have t r a n s c u l t u r a l relevance. M o r e generally, t h e
o b s e r v a t i o n of a n i m a l social interactions can c o m p l e m e n t t h e s t u d y o f
i n d i v i d u a l s o f a single c u l t u r e , such as A m e r i c a n college students, a n d
p r o v i d e c o r r o b o r a t i o n f o r i d e n t i f i e d dimensions o f social i n t e r a c t i o n .
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