Topic III. PHENOMENOLOGY: STUDY OF THE OUTWARD
EXPRESSION OF MENTAL STATES. Criminal Psychology: a manual for judges, practitioners, and students | ||
Section 20. (7) Physiognomy and Related Subjects.
The science of physiognomy belongs to those disciplines which show a decided variability in their value. In classical times it was set much store by, and Socrates, Plato, Aristotle, and Pythagoras were keenly interested in its doctrines. Later on it was forgotten, was studied in passing when Baptista Porta wrote a book about human physiognomy, and finally, when the works of Lavater
The right of physiognomies to the status of an independent science is to some degree established in the oft-repeated dictum that whatever is valid in its simplest outline must be capable of extension and development. No man doubts that there are intelligent faces and foolish ones, kind ones and cruel ones, and if this assertion is admitted as it stands it must follow that still other faces may be distinguished so that it is possible to read a certain number of spiritual qualities from the face. And inasmuch as nobody can indicate the point at which this reading of features must cease, the door is opened to examination, observation and the collection of material. Then, if one bewares of voluntary mistakes, of exaggeration and unfounded assertion, if one builds only upon actual and carefully observed facts, an important and well-grounded discipline must ensue.
The exceptionally acute psychiatrist Meynert shows[11] how physiognomics depends on irradiation and parallel images. He shows what a large amount of material having physiognomical contents we keep in mind. Completely valueless as are the fixed forms by which mankind judges the voluntary acts of its individual members, they point to the universal conclusion that it is proper to infer from the voluntary acts of a person whose features correspond to those of another the voluntary acts of the other. One of Hans Virchow's very detailed physiognomical observations concerning the expression of interest in the eyes by means of the pupil, has very considerable physiognomical value. The pupil, he believes, is the gate through which our glance passes into the inner life of our neighbor; the psychical is already close at hand with the word "inner." How this occurs, why rather this and not another muscle is innervated in the development of a certain process, we do not know, but our ignorance does not matter, since ultimately a man might split his head thinking why we do not hear with our eyes and see with our ears. But to some extent we have made observable progress in this matter. As far back as 1840 J. Müller[12] wrote: "The reasons are unknown why various psychoses make use of different groups of nerves or why
As subjects for study he recommends children because they permit forms of expression to appear vigorously and without constraint; lunatics, because they are subject to strong passions without control; galvanized persons, in order to facilitate the muscles involved, and finally, to establish the identity of expression among all races of men and beasts. Of these objects only children are important for our purpose. The others either are far removed from our sphere of activity, or have only theoretic value. I should, however, like to add to the subjects of observation another, viz., the simple unstudied persons, peasants and such otherwise unspoiled individuals whom we may believe innocent of all intention to play a comedy with us. We can learn much from such people and from children. And it is to be believed that in studying them we are studying not a special class but are establishing a generally valid paradigm of the whole of mankind. Children have the same features as adults only clearer and simpler. For, suppose we consider any one of Darwin's dicta,—e. g., that in the expression of anger and indignation the eyes shine, respiration becomes more rapid and intense, the nostrils are somewhat raised, the look misses the opponent,— these so intensely characteristic indices occur equally in the child and the adult. Neither shows more or fewer, and once we have defined them in the child we have done it for the adult also. Once the physiognomy of children and simple people has been studied,
Darwin posits three general principles on which most expressions and gestures are to be explained. They are briefly:
I. The principle of purposeful associated habits.
II. The principle of contradication.
III. The principle of the direct activity of the nervous system.
With regard to the first. When, in the course of a long series of generations, any desire, experience, or disinclination, etc., has led to some voluntary action, then, as often as the same or any analogous associated experience is undergone, there will arise a tendency to the realization of a similar action. This action may no longer have any use but is inherited and generally becomes a mere reflex.
This becomes clearer when one notices how often habit facilitates very complex action:—the habits of animals; the high steps of horses; the pointing of pointers; the sucking of calves, etc. It is difficult for us in falling to make opposite movements to stretching out the arms, even in bed; we draw on our gloves unconsciously. Gratiolet says: "Whoever energetically denies some point, etc., shuts his eyes; if he assents he nods and opens his eyes wide. Whoever describes a terrible thing shuts his eyes and shakes his head; whoever looks closely raises his eye-brows. In the attempt to think the same thing is done or the eye-brows are contracted— both make the glance keener. Thence follows the reflex activity."
With regard to the second. Dogs who are quarrelling with cats assume the appearance of battle—if they are kindly-minded they do the opposite, although this serves no purpose. M. Taylor[14] says, that the gesture language of the Cistercians depends considerably on antithesis; e. g., shrugging the shoulders is the opposite of firmness, immovability.
With regard to the direct activity of the nervous system, examples are paling, trembling (fear, terror, pain, cold, fever, horror, joy), palpitation of the heart, blushing, perspiring, exertion of strength, tears, pulling the hair, urinating, etc. With these subdivisions it will be possible to find some thoroughfare and to classify every phenomenon.
We want to discuss a few more particulars in the light of Darwin's
We must grant that, with the exception of such cases, the phenomena are significant during examinations, as when we show the accused a very effective piece of evidence, (e. g.: a comparison of hand-writings which is evidential,) and he closes his eyes. The act is then characteristic and of importance, particularly when his words are intended to contest the meaning of the object in question. The contradiction between the movement of his eyes and his words is then suggestive enough. The same occurs when the accused is shown the various possibilities that lie before him—the movement of the examination, the correlations and consequences. If he finds them dangerous, he closes his eyes. So with witnesses also; when one of them, e. g., deposes to more, and more harmfully, than according to our own notion he can explain, he will close his eyes, though perhaps for an instant only, if the inevitable consequences of his deposition are expounded to him. If he closes his eyes he has probably said too much, and the proper moment must not be missed to appeal to his conscience and to prevent more exaggerated and irresponsible assertions.
This form of closing the eyes is not to be confused with the performances of persons who want to understand the importance of their depositions and to collect their senses, or who desire to review
In a similar way there is significance in the sudden closing of the mouth by either the accused or the witness. Resolution and the shutting of the mouth are inseparable; it is as impossible to imagine a vacillating, doubting person with lips closely pressed together, as a firm and resolute person with open mouth. The reason implies Darwin's first law: that of purposeful associated habits. When a man firmly resolves upon some deed the resolution begins immediately to express itself in movements which are closely dependent upon bodily actions. Even when I suddenly resolve to face some correctly-supposed disagreeable matter, or to think about some joyless thing, a bodily movement, and indeed quite an energetic one, will ensue upon the resolution—I may push my chair back, raise my elbows, perhaps put my head quickly between my hands, push the chair back again, and then begin to look or to think. Such actions, however, require comparatively little bodily exertion; much more follows on different types of resolutions—in short, a firm resolution requires a series of movements immediately to follow its being made. And if we are to move the muscles must be contracted. And it is, of course, obvious that only those muscles can be set in action which are, according to the immediate situation of the body, free to move. If we are sitting down, for example, we can not easily make our feet conform to the movement of a march forward; nor can we do much with the thighs, hence the only muscles we can use are those of the face and of the upper limbs. So then, the mouth is closed because its muscles are contracted, and with equal significance the arms are thrust outward sharply, the fist clenched, and the fore-arm bent. Anybody may try the experiment for himself by going through the actions enumerated and seeing whether he does not become filled
If, then, we observe in any person before us the signs of resolution we may certainly suppose that they indicate a turn in what he has said and what he is going to say. If they be observed in the accused, then he has certainly resolved to pass from denial to confession, or to stick to his denial, or to confess or keep back the names of his accomplices, the rendezvous, etc. Inasmuch as in action there is no other alternative than saying or not saying so, it might be supposed that there is nothing important in the foregoing statement; the point of importance lies, however, in the fact that a definite resolution has been reached of which the court is aware and from which a departure will hardly be made. Therefore, what follows upon the resolution so betrayed, we cannot properly perceive; we know only that it in all likelihood consists of what succeeds it, i. e. the accused either confesses to something, or has resolved to say nothing. And that observation saves us additional labor, for he will not easily depart from his resolution.
The case is analogous with regard to the witness who tells no truth or only a part of the truth. He reveals the marks of resolution upon deciding finally to tell the truth or to persist in his lying, and so, whatever he does after the marks of resolution are noted, we are saved unnecessary effort to make the man speak one way or another.
It is particularly interesting to watch for such expressions of resolution in jurymen, especially when the decision of guilt or innocence is as difficult as it is full of serious consequences. This happens not rarely and means that the juryman observed is clear in his own mind as to how he is going to vote. Whatever testimony may succeed this resolution is then indifferent. The resolved juryman is so much the less to be converted, as he usually either pays no more attention to the subsequent testimony, or hears it in such prejudiced fashion that he sees everything in his own way. In this case, however, it is not difficult to tell what the person in question has decided upon. If the action we now know follows a very damaging piece of testimony, the defendant is condemned thereby; if it follows excusive testimony he is declared innocent. Anybody who studies the matter may observe that these manifestations are
Correlated with the signs of resolution are those of astonishment. "The hands are raised in the air," says Darwin, "and the palm is laid on the mouth." In addition the eyebrows are regularly raised, and people of not too great refinement beat their foreheads and in many cases there occurs a slight, winding movement of the trunk, generally toward the left. The reason is not difficult to find. We are astonished when we learn something which causes an inevitable change in the familiar course of events. When this occurs the hearer finds it necessary, if events are simple, properly to get hold of it. When I hear that a new Niebelungen manuscript has been discovered, or a cure for leprosy, or that the South Pole has been reached, I am astonished, but immediate conception on my part is altogether superfluous. But that ancient time in which our habitual movements came into being, and which has endured longer, incomparably longer than our present civilization, knew nothing whatever of these interests of the modern civilized human being.
In law these stigmata are significant when the person under examination ought to be astonished at what is told him but for one reason or another does not want to show his astonishment. This he may hide in words, but at least one significant gesture will betray him and therefore be of considerable importance in the case. So, suppose that we present some piece of evidence from which we expect great results; if they do not come we may perhaps have to take quite another view of the whole case. It is hence important not to be fooled about the effect, and that can be accomplished only through the observation of the witnesses' gestures, these being much more rarely deceptive than words.
Scorn manifests itself in certain nasal and oral movements. The nose is contracted and shows creases. In addition you may count the so-called sniffing, spitting, blowing as if to drive something away; folding the arms, and raising the shoulders. The action seems to be related to the fact that among savage people, at least, the representation of a worthless, low and despicable person is brought into relation with the spread of a nasty odor: the Hindoo still says of a man he scorns, "He is malodorous." That our ancestors thought similarly, the movement of the nose, especially raising it and blowing and sniffing, makes evident. In addition there is the raising of the shoulders as if one wanted to carry the whole body out of a disgusting atmosphere—the conduct, here, is briefly the conduct of the proud. If something of the sort is observable in the behavior of a witness it will, as a rule, imply something good about him: the accused denies thereby his identity with the criminal, or he has no other way of indicating the testimony of some damaging
The case is similar when a witness so conducts himself and expresses scorn. He will do the latter when the defendant or a false witness for the defense accuses him of slander, when indelicate motives are ascribed to him, or earlier complicity with the criminal, etc. The situations which give a man opportunity to show that he despises anybody are generally such as are to the advantage of the scorner. They are important legally because they not only show the scorner in a good light but also indicate that the scorn must be studied more closely. It is, of course, naturally true that scorn is to a great degree simulated, and for that reason the gestures in question must be attentively observed. Real scorn is to be distinguished from artificial scorn almost always by the fact that the latter is attended by unnecessary smiling. It is popularly and correctly held that the smile is the weapon of the silent. That kind of smile appears, however, only as defense against the less serious accusations, or perhaps even more serious ones, but obviously never when evil consequences attendant on serious accusations are involved. If indubitable evil is in question, no really innocent person smiles, for he scorns the person he knows to be lying and manifests other gestures than the smile. Even the most confused individual who is trying to conceal his stupidity behind a flat sort of laughter gives this up when he is so slandered that he is compelled to scorn the liar; only the simulator continues to smile. If, however, anybody has practiced the manifestation of scorn he knows that he is not to smile, but then his pose becomes theatrical and betrays itself through its exaggeration.
Not far from scorn are defiance and spite. They are characterized by baring the canine teeth and drawing together the face in a frown when turning toward the person upon whom the defiance or spite is directed. I believe that this image has got to be variously filled out by the additional fact that the mouth is closed and the breath several times forced sharply through the nostrils. This arises from the combination of resolution and scorn, these being the probable sources of defiance and spite. As was explained in the discussion of resolution, the mouth is bound to close; spite and defiance are not thinkable with open mouth. Scorn, moreover, demands, as we have shown, this blowing, and if the blowing is to be done while the mouth is closed it must be done through the nose.
Derision and depreciation show the same expressions as defiance
Real rage, unfortunately, is frequent. The body is carried erect or thrown forward, the limbs become stiff, mouth and teeth closely press together, the voice becomes very loud or dies away or grows hoarse, the forehead is wrinkled and the pupil of the eye contracted;
There is also something in the guilty sparkle of the eye. The sparkle in the eyes of beauty, the glance of joy, of enthusiasm, of rapture, is not so poetical as it seems, inasmuch as it is no more than intensified secretion of tears. The latter gets its increase through nervous excitation, so that the guilty sparkle should also be of the same nature. This may be considered as in some degree a flow of tears in its first stages.
An important gesture is that of resignation, which expresses itself especially as folding the hands in one's lap. This is one of the most obvious gestures, for "folding the hands in the lap" is proverbial and means there is no more to be done. The gesture signifies, therefore, "I'm not going to do any more, I can't, I won't." Hence it must be granted that the condition of resignation and its gesture can have no significance for our own important problem, the problem of guilt, inasmuch as the innocent as well as the guilty may become resigned, or may reach the limit at which he permits everything to pass without his interference. In the essence and expression of resignation there is the abandonment of everything or of some particular thing, and in court, what is abandoned is the hope to show innocence, and as the latter may be real as well as merely pleaded, this gesture is a definite sign in certain cases. It is to be noted among the relations and friends of a defendant who, having done everything to save him, recognize that the evidence of guilt is irrefutable. It is again to be noticed among courageous lawyers who, having exerted all their art to save their clients, perceive the failure of their efforts. And finally, the defendants show it, who
The contraction of the brow occurs in other cases besides those mentioned. Before all it occurs when anything is dealt with intensively, increasing with the increase of the difficulty of the subject. The aboriginal source of this gesture lies in the fact that intensive activities involve the need of acuter vision, and this is in some degree acquired by the contraction of the skin of the forehead above the eyebrows; for vision is clarified in this way. Intensive consideration on the part of a defendant or a witness, and the establishment of its reality or simulation, are significant in determining whether he himself believes the truth of what is about to be explained. Let us suppose that the issue involves proving an alibi on a certain definite, rather remote day, and the defendant is required to think over his whereabouts on that day. If he is in earnest with regard to the establishment of his alibi, i. e. if he really was not there and did not do the thing, it will be important for him to remember the day in question and to be able to name the witnesses of his whereabouts then. Hence he will think intensively. But if he has claimed an alibi dishonestly, as is frequent with criminals, in order to make people conclude that nobody has the right to demand where and for how long a time he was on such and such a day, then there is no need of thinking closely about something that has not happened. He exhibits in such cases a kind of thoughtfulness, which is not, however, earnest and profound: and these two adjectives describe real consideration. The same observations are to be made in regard to dishonest witnesses who, when pressed to think hard, only simulate doing so. One is compelled at the very least to look closely after the witness who simply imitates intensive
A rather different matter is that blank expression of the eyes which only shows that its possessor is completely lost in his thoughts —this has nothing to do with sharp recollection and demands above all things being let alone or the belief of being so. In this case no distinguishing gestures are made, though the forehead, mouth or chin may be handled, only, however, when embarrassment occurs— i. e. when the man observes that he is being watched, or when he discovers that he has forgotten the presence of other people. It is supposed that this does not occur in court, but it does happen not infrequently when, for example, the judge, after some long discussion with the accused, is about to dictate what has been said. If this takes rather a long time, it may chance that the witness is no longer listening but is staring vacantly into the distance. He is then reviewing his whole life or the development and consequences of his deed. He is absorbed in a so-called intuitive thought, in the reproduction of events. Intensive consideration requires the combination of particulars and the making of inferences; hence the form of thinking we have just been speaking of is merely spiritual sightseeing. It is when this takes place that confessions are most easy to get, if only the judge keeps his eyes properly open.
That contraction of the brow signifies a condition of disgust is well known, but there is yet, as I believe, a still other use of this contraction—i. e. its combination with a smile, indicating disbelief. How this union occurred seems comparatively undiscoverable— perhaps it results from the combination of the smile of denial with the frown of sharp observation. But the gesture is, in any event, reliable, and may not easily stand for anything but disbelief and doubt. Hence it is always a mistake to believe that anybody who makes that expression believes what he has heard. If you test it experimentally you will find that when you make it you say involuntarily to yourself: "Well now, that can't be true," or "Look here, that's a whopper!" or something like that. The expression occurs most frequently in confronting witnesses with defendants and especially witnesses with each other.
The close relation of the contraction of the brow with its early stage, a slight elevation of the eyebrows, is manifest in the fact that it occurs under embarrassment—not very regularly but almost always upon the perception of something foreign and inexplicable, or upon getting twisted in one's talk; in fact, upon all such conditions
Further to study the movements of the features will require an examination into the reasons for the action of these, and not other muscles, as accompaniments of the psychical states. Piderit holds it is due to the fact that the motor nerves which supply these muscles rise right next to the purely psychical centers and hence these muscles are the supports of the organs of sense. The latter is no doubt correct, but the first statement is rather doubtful. In any event it is evident that the features contain an exceptionally large number
We may take it as a general rule that all joyous and uplifting emotions (even astonishment) are succeeded by the raising of the skin of the forehead, the nostrils, the eyes, the eyelids, while sad and oppressing emotions have the contrary effect. This simple and easy rule renders immediately intelligible many an otherwise obscure expression which we find important but concerning the meaning of which we are in doubt. The development of a movement in any face goes, according to Harless,[16] in this fashion: "The superior motor nerve is the oculomotorius. The stimulation reaches this one first—the mildest alteration of emotion betrays itself most rapidly in the look, the movement and condition of the pupil of the eye. If the impulse is stronger it strikes the roots of the motor end of the trigeminus and the movement of the muscles of mastication occur; then the intensified affection spreads through the other features." Nobody will, of course, assert that even a completely developed physiognomical science will help us over all our difficulties, but with a little attention it can help us to a considerable degree. This help we do need, as La Rochefoucauld points out, with even contemporary correctness, "It is easier to know men than to know a particular man."
J. K. Lavater: Physiognomische Fragmente zur Beförderung des Menschenkentniss und Mensehenliebe. Leipzig 1775.
F. J. Gall: Introduction au Cours du Physiologie du Cerveau. Paris 1808. Recherches sur la système nerveux. Paris 1809.
Le Brun: Conferences sur l'Expression. 1820. Reich: Die Gestalt des Menschen und deren Beziehung zum Seelenleben. Heidelberg 1878. P. Mantegazza. Physiognomik u. Mimik. Leipzig 1890. Duchenne: Mechanismus des Menschlichen Physiognomie. 1862. Skraup: Katechismus der Mimik. Leipzig 1892. H. Magnus: Die Sprache der Augen. Gessmann: Katechismus der Gesichtslesekunst. Berlin 1896. A. Sehebest: Rede u. Geberde. Leipzig 1861. Engel: Ideen zu einer Mimik. Berlin 1785. G. Schneider: Die tierische Wille. 1880. K. Michel: Die Geberdensprache. Köl 1886. Wundt: Grundzüge, etc. Leipzig 1894. C. Lange: Über Gemutsbewegungen. 1887. Giraudet: Mimique, Physiognomie et Gestes. Paris 1895. A. Mosso: Die Furcht. 1889. D. A. Baer: Der Verbrecher. Leipzig 1893. Wiener. Die geistige Welt. Lotze. Medizinische Psychologie. Th. Waitz. Anthropologie der Naturvölker. Leipzig 1877. Lelut: Physiologie de la Pensée. Monro: Remarks on Sanity. C. F. Heusinger: Grundriss der physiologischen u. psychologischen Anthropologie. Eisenach 1829. Herbart: Psychologische Untersuchung. Göttingen 1839. Comte: Systeme de Philosophie Positive. Paris 1824. T. Meynert: Mechanik der Physiognomik. 1888. F. Goltz: Über Moderne Phrenologie. Deutsche Rundschau Nov. -Dec. 1885. H. Hughes: Die Mimik des Menschen auf Grund voluntarischer Psychologie Frankfurt a. M. 1900. A. Borée: Physiognom. Studien. Stuttgart 1899.
Topic III. PHENOMENOLOGY: STUDY OF THE OUTWARD
EXPRESSION OF MENTAL STATES. Criminal Psychology: a manual for judges, practitioners, and students | ||