by Mary Beard
Who can know? This brisk dismissal may do Aristotle an injustice. But it is certainly hard to resist the conclusion that the loss of the second book of the Poetics (assuming, of course, that there was one) has contributed to its modern fame and exaggerated its ancient significance. We are dealing here with a powerful combination of our own emotional investment in those tantalizing books that have slipped through the net and—let’s be honest—the convenience (in the absence of any firm evidence) of being able to reconstruct an Aristotelian view to suit our own various purposes. Indeed it may well be, as Silk again has hinted, that the “theory of comedy” in the Poetics owes much more to the inventive zeal of modern Aristotelians than to the mixed bag of observations and aperçus that Aristotle himself offered. The plain fact is that they are lost.31
If we focus instead on Aristotle’s remarks on laughter that do survive, we get a very different impression from that which is often presented, and again much more of a mixed bag. For they include plenty of ideas about laughter but nothing that remotely approaches a theory of laughter—in the sense of a coherent explanatory model, a defined methodology, and a panoply of argument directed at the subject in hand. Aristotle certainly had powerful and systematic theories of other topics, but there is no sign of that in the case of laughter.32 His longest discussion on the subject occupies a couple of modern pages in the Nicomachean Ethics, where he advocates, as so often, the virtuous middle way between two extremes. To be “well-turned” or “witty” (eutrapelos) is a desirable characteristic of a “gentleman” (as the Greek eleutheros is conventionally, but awkwardly, translated). Too much joking is the mark of a “buffoon” (bōmolochos), too little the mark of a “boor” (agroikos): both are to be avoided.33 But the two main elements of what has become known as “the classical theory of laughter” are found elsewhere.
The claim that human beings are the only animals that laugh is a subsidiary argument in Aristotle’s discussion of the human body, in particular the role of the diaphragm. In a perilously circular explanation, he asserts that the fact that “humans alone are susceptible to tickling is due (a) to the fineness of their skin and (b) to their being the only living things that laugh.” There is in this no suggestion that laughter is a distinguishing property of the human being. Despite the popular assumption about this aspect of his “theory,” he is certainly not defining man as “the animal that laughs.”34
The other claim, that laughter is a form of derision and a display of superiority, is more complicated. It derives in part from the discussion in the Nicomachean Ethics where Aristotle refers to some forms of joking (skōmma) as “a kind of abuse” or “a reproach” (loidorēma ti).35 But in its popular form, it is drawn mainly from two passages in two different treatises. In the first, surviving book of the Poetics, he has a few words to say, in passing, on the subject of comedy: “A representation of people worse than us, not in the full sense of bad, but what we laugh at, is a subdivision of the ugly/shameful [tou aischrou]. The laughable is some kind of fault and ugliness/shame [aischos] that involves no pain or harm—such as, obviously, a comic mask [literally a ‘laughable face,’ geloion prosōpon], which is ugly [aischron] and distorted but free of pain.”36 This is often put together with a second passage, from Aristotle’s Rhetoric, where he discusses the character of different groups of an orator’s potential audience (for without knowing what his listeners are like, the orator will never successfully persuade them). The young, Aristotle explains, are fickle, passionate, argumentative, and highly principled; also, “they are fond of laughter, and therefore witty [eutrapeloi]. For wit is educated insolence [pepaidumenē hubris].”37
It is hard to know how exactly to translate these passages, or to know what point Aristotle was trying to make. The key extract from the Poetics raises all kinds of questions. What kind of fault—moral or physical (shame or ugliness?)—underlies the laughable? Whose pain, or lack of it, does Aristotle have in mind? What implications does this discussion of comic drama have for laughter off the stage?38 The other passage, from the Rhetoric, is even more puzzling, largely because of the strange oxymoron, even “joke,” in the phrase “educated insolence” (pepaidumenē hubris). For, as critics have often seen, hubris (which can mean anything from “excess” through “outrage” to “violence” or “rape”) cannot be “educated,” but that very word pepaidumenē has, in any case, an ambiguous root, paid-, which signifies both “education” and “childishness” or “play.”39 What is Aristotle trying to say about wit, apart from being witty himself?
It is clearer what is he not saying. First, there is rather less about derision than is usually supposed. It is true that creative translation can turn his definition of wit into “educated abuse,” but the famous lines from the Poetics—though they refer to the subject of laughter as being “some kind of fault” and so suggest an element of derision—explicitly reject the idea of pain; there is no reason to see “scoffing” here.40
Second, even though some of these passages do share an interest in laughter prompted by ridicule (or laughter at another’s expense), Aristotle certainly does not suggest that this is laughter’s only cause, function, or stylistic register. If he were suggesting that, he would have been a very poor reader of Greek literature and culture, in which (pace Skinner’s assertion that it was a completely “foreign” notion) there was plenty of “good-natured laughter.”41 In fact, Aristotle himself, in another passage in the Rhetoric, explicitly places laughter and the laughable into the class of “pleasant things.” Whatever exactly he may have meant by this, it has seemed so incompatible with the idea of derision that several editors of the text have rejected it as a later addition—not by Aristotle.42
The fact is that Aristotle’s ideas about laughter were numerous and not necessarily mutually compatible. One sixth-century commentary on a philosophical textbook (The Introduction) by Porphyry even states that Aristotle in his History of Animals claimed that man was not the only animal to laugh: herons did too. True or not (and the laughter of the heron is found in no text of Aristotle that we still possess), he approached the subject from a variety of angles, and his views cannot be reduced, or elevated, to a single, systematic “classical theory of laughter.”43
It is also important to underline that there was almost certainly a much looser link than is often assumed between this diverse Aristotelian theorizing and later Roman writing about laughter. Roman theorists were not wholly dependent on what Aristotle had said before, or on the works of his immediate followers. With these, we confront the problem of loss on an even bigger scale than with the second book of the Poetics. Almost none of the key texts of Aristotle’s Peripatetic successors between the fourth and second centuries BCE survive, beyond a few sentences and some disputed titles. This makes it impossible to prove that they are not the source for any individual claim we may find in Roman discussions. But the signs are that—in laughter as in so many other areas—there was significant Roman input into the dialogue with earlier Greek thought. The argument that laughter is a property of man may even have been an innovation of writers of the Roman period, developing Aristotle’s almost casual observation that (leaving aside the possible distraction of the heron) man is the only animal that laughs. At least, we find that theory regularly in Roman imperial writers—and never in earlier surviving literature.
In the words of Porphyry, for example, writing in Greek in the third century CE, “Even if a man does not always laugh, he is said to be laughing not in that he always laughs but that he is of such a nature as to laugh—and this holds of him always, being connatural, like neighing of horses. And they say that these are properties in the strict sense, because they convert: if horse, neighing; and if neighing, horse.” Or, as Porphyry implies: if man, laughing; and if laughing, man.44 For obvious reasons, this became a very loaded set of ideas in the controversies of early Christian theology, for if Jesus were known to have laughed, that would have major implications for those crucial debates about how his status—divine or human�
�was to be defined. Indeed, this is an issue that animates and divides Eco’s fictional monks in The Name of the Rose: Did Jesus laugh, or didn’t he?45
More generally, Roman discussions of laughter are only rarely a precise match for the Aristotelian theories that do survive in the works of Aristotle. It is clear enough, for example, that Pliny’s views on tickling are Aristotelian in a broad sense, focusing on the role of the diaphragm in the production of laughter. But it is equally clear that Pliny’s account is significantly different from the version of tickling in On the Parts of Animals: Pliny suggests that it is direct irritation of the diaphragm that raises a laugh; Aristotle had argued instead that it was the heat generated by the irritation that actually produced the laughter. Pliny also has a different view from Aristotle on the first occurrence of a baby’s laughter (Pliny’s babies do not laugh at all until forty days old, while Aristotle’s laugh and weep while asleep), and it was surely somewhere else that Pliny picked up that story about Zoroaster, which is found in Iranian sources as well. To claim that all Pliny’s variants derive from some lost Peripatetic follower of Aristotle would be a mere act of faith.46
Much the same is true of Cicero’s discussion of laughter in On the Orator. This contains some material almost certainly derived from the Aristotelian tradition (Aristotle had, for example, already highlighted “incongruity” as a cause of laughter47). But most recent investigations of this dialogue have identified much less Demetrius of Phaleron (and his elusive, possibly nonexistent, treatise On the Laughable) and many more Roman elements, themes, and theories than was once thought. In fact, one of the main distinctions that structures Cicero’s argument—that between cavillatio (extended humor) and dicacitas (immediate witticisms)—seems to have little to do with anything we can find (or reconstruct) in earlier Greek works on the subject: these were, in Elaine Fantham’s words, “old-fashioned Roman terms” making “a Roman distinction.”48
I shall come back to the relationship between Greek and Roman laughter, in both theory and practice, in chapter 4. At this point let me emphasize two important tenets that underpin the rest of this book. First, there is no such thing as “the Aristotelian theory of laughter,” or at least not in those precise terms. Aristotle generated all kinds of ideas about laughter, a range of speculations and aperÇus on aspects of the subject as diverse as tickling, the mechanisms of jokes, comedy, derision, the role of laughter in social life, and the importance of play. But there is no reason to suppose that Aristotle developed a systematic theory of laughter, or even that he necessarily saw laughter as a unitary phenomenon and field of inquiry.
Second, however influential some of Aristotle’s views were (and they certainly were influential), they did not delimit ancient approaches to laughter, still less did they amount to anything that might be called “the classical approach to laughter.” In both Greece and Rome, views about laughter multiplied and took root—some more strongly than others—in many different contexts, from the philosophical schools (for it was not only the Peripatetics who had things to say on laughter49) to the emperor’s dinner table, from the rhetorical classroom to the bar and the brothel. To put it simply, there was—as we have already glimpsed—a lot of very varied talk about laughter in antiquity.
Just as there is in the modern world. And it is to this that we now turn, and to another shadow that hangs heavily over recent studies of laughter: the so-called three theories of laughter. These are, in a sense, the younger siblings of “the classical theory,” and they too need to be gently dethroned before we move on.
“THE THREE THEORIES OF LAUGHTER”
The range of modern writing on laughter is truly daunting. My own university library holds around 150 books with Laughter somewhere in the title, published in English in the first decade of the twenty-first century. Leaving aside assorted memoirs, novels, and collections of poetry that managed to squeeze the word on to their title page (Love, Laughter and Tears at the World’s Most Famous Cooking School and the like), these books range from popular psychology and self-help manuals through the philosophy of humor and the anatomy of the joke to the history of the chuckle, the chortle, the snigger, and the giggle in almost any period or place you can imagine (right back to the origins of laughter in the caves of primitive humans).
Behind these monographs—both weighty and popular—lies an even wider array of specialist articles and papers investigating yet more aspects of the subject, in ever finer detail: from the use of laughter in health education films in Dutch colonial Java or the sound of laughter in the novels of James Joyce to the patterns of laughter between interviewer and respondent in telephone surveys and that old classical chestnut of when, and how, babies first start to laugh or smile.50 Not to mention all the radical philosophical, political, and feminist celebrations of laughter that would no doubt have confirmed the worst fears of the starchy Lord Chesterfield—whose notorious advice to his son in the 1740s was that a gentleman should at all costs avoid laughing out loud.51 Wyndham Lewis and others, for example, urged laughter “like a bomb” in their 1914 Vorticist manifesto. And modern French feminism has often put laughter at center stage—rescuing the monstrous, snaky-headed, cackling Gorgon of classical mythology from Sigmund Freud’s revulsion (to parade instead her beauty and her laughter) and making laughter a defining characteristic of that complex amalgam of female body and text that has become known as l’écriture féminine (inadequately translated as “women’s writing”) The text is “the rhythm that laughs you” (“le rythme qui te rit”)—as Hélène Cixous memorably, but somewhat mystically, wrote.52
There is far too much written—and still being written—on the subject of laughter for any one person to master; nor, frankly, would it be worth their while to try. But when confronted with the product of centuries of analysis and investigation, stretching back as we have seen into antiquity itself, it is tempting to suggest that it is not so much laughter that is the defining property of the human species but rather the drive to debate and theorize laughter.
It is partly in response to the sheer profusion of views and speculation about laughter across various fields of inquiry that a “secondorder” level of theorizing has developed—which divides theories of laughter into three main strands, with key theorists taken to represent each one. There are few books on laughter that do not offer, somewhere near the beginning, as I am about to do, a brief explanation of these theories of what laughter is, what it signifies, and how it is caused. I am more suspicious than many commentators of the oversimplification that this metatheorizing often entails, but I am struck that each of the three—more or less distinctly—echoes some strand of ancient theorizing (hence my phrase younger siblings). We are still discussing laughter in ways that are closely linked to the ancient Greeks and Romans.53
The first we have already touched on in discussing Aristotle. It is the so-called superiority theory, which argues that laughter is a form of derision or mockery. Laughter, in other words, always has a victim: we always laugh, more or less aggressively, at the butt of our jokes or the object of our mirth, and in the process we assert our superiority over them. Apart from ancient writers (including Quintilian, with his snappy slogan about risus being close to derision, derisus), the most celebrated theorist of superiority is the seventeenth-century philosopher Thomas Hobbes. “The passion of Laughter,” he wrote in The Elements of Law, “is nothyng else but a suddaine Glory arising from some suddaine Conception of some Eminency in our selves, by Comparison with the Infirmityes of others”—a much-quoted sentence, whose catchword of “Sudden Glory” has often been reused, even recently as the title of a book on the history of laughter.54 But superiority theory is not only an aspect of the philosophy and ethics of laughing. Evolutionary biology chimes in, with some reconstructions of laughter’s origins among the earliest humans: the idea, for example, that laughter derives directly from “the roar of triumph in an ancient jungle duel” or that the laugh (or the smile) originated in an aggressive baring of the teeth.55
<
br /> The second is known as the incongruity theory and sees laughter as a response to the illogical or the unexpected. Aristotle gives a very simple example of this: “On he came, his feet shod with his—chilblains.” This raises a laugh, Aristotle explains, because the listener expects the word sandals, not chilblains.56 But a much bigger team of modern philosophers and critics can be marshaled as supporters of this theory, albeit with a wide range of nuances and emphases. Immanuel Kant, for example, claimed that “laughter is an affection arising from a strained expectation being suddenly reduced to nothing” (another of the most famous slogans in the study of laughter). Henri Bergson argued that laughter is provoked by living beings acting as if they were machines—mechanically, repetitively, stiffly. More recently, the linguistic theories of Salvatore Attardo and Victor Raskin have set the resolution of incongruity at the heart of verbal jokes—as in “‘When is a door not a door?’ ‘When it’s a jar.’”57
Experimental science has a role here too. One of the most celebrated experiments in the history of laboratory-based studies of laughter is the weight discrepancy test. Subjects are asked to lift a series of weights, similar in size and appearance and varying only slightly in heaviness, and to rank them from heaviest to lightest. Then another weight is introduced, similar in appearance but substantially heavier or lighter than the rest. The subjects regularly laugh when they lift the new weight—because, it is argued, of the incongruity between it and the others. In fact, the heavier or lighter the new weight is, the more strongly they laugh: the greater the incongruity, in other words, the more intense the laughter.58
