by Mary Beard
The chapter will move on to consider modern theories of laughter, partly to point up their relationship with their ancient predecessors (for almost every modern social or psychological theory on this subject—I am not referring to neuroscience here—turns out to have some precedent in the Greco-Roman world). But there are some even more fundamental questions to be broached. What resources are at our disposal when we attempt to make some sense of laughter, either now or in the past, at home or abroad? What wider cultural purposes do theories of laughter serve? When we ask, for example, “Do dogs laugh?,” what is that question about? It is not usually, I think we can safely say, about dogs.
But first let us get a flavor of Roman speculation about laughter—and its diversity—starting with some of the theories and observations scattered throughout the vast encyclopedia (the Natural History) of that obsessive Roman polymath Gaius Plinius Secundus—or Pliny the Elder, as he is now usually known.
ROMAN QUESTIONS—AND OURS
Pliny was inquisitive about laughter—as he was inquisitive about almost everything else in his world. (It was, in a way, his scientific curiosity that killed him, when he went fatally close to the fumes of Vesuvius in the eruption of 79 CE). In the thirty-seven books of the Natural History, with, as he boasted, its “twenty thousand facts worth knowing,” he returned to the subject several times. At what age do human infants begin to laugh? he wondered. Where in the body does laughter originate? Why do people laugh if you tickle them under their arms?3
Those are familiar enough questions, and they continue to exercise modern students of laughter even now. Less comfortably familiar are some of Pliny’s answers. Human infants, he confidently assures his readers, do not laugh until they are forty days old, except for Zoroaster, the ancient Iranian prophet, who laughed on the very day he was born—presumably a mark of his superhuman quality.4 Pliny also identifies various organs in the human body that are responsible for laughter. One is the diaphragm, “the main site of merriment” (“praecipua hilaritatis sedes”), as he calls it. Its importance in producing laughter is proved, he explains, by the ticklishness of the armpits. For, in Pliny’s version of human anatomy, the diaphragm extends right up to the arms; scratching the armpits, where “the skin is finer than anywhere else in the body,” directly stimulates the diaphragm and so causes laughter.5 But the spleen is involved too. Or at least “there are those who think that if the spleen is removed [or reduced], a man’s capacity for laughter is removed at the same time, and that excessive laughter is caused by a large spleen.”6
Elsewhere in Pliny’s encyclopedia we find all kinds of fantastic tales about laughter—earnestly recounted, however weird they may seem to us. There is, for example, the curious fact about Crassus (the grandfather of the more famous Marcus Licinius Crassus, killed at the battle of Carrhae in 53 BCE), who, “so they say,” never once laughed in his whole life. His story leads off a long discussion of people with strange bodily peculiarities: from Socrates, who always wore the same facial expression and never seemed happy or sad, to Antonia (the daughter of Mark Antony), who never spat, and a certain Pomponius, “a poet and a man of consular rank,” who never belched.7
Plants and a variety of other natural features have a part to play too. Pliny tells of the marvelous gelotophyllis (laughter leaves) that grew in Bactria, a region on the borders of modern Afghanistan and Uzbekistan, and along the banks of the river Borysthenes (the modern Dnieper). If it was consumed in a mixture of myrrh and wine, it produced hallucinations and laughter, which could be controlled only by an antidote of “pine-nut kernels, with pepper and honey in palm wine.” Was this a cannabis plant, as some modern readers of Pliny have hoped? Or was it, more prosaically, as one dictionary has it, “probably a sort of crowfoot”?8
Also in the Eastern Roman Empire, in what is now central Turkey, Pliny points to two extraordinary springs, Claeon (Weeping) and Gelon (Laughing), so called—he explains—from the Greek words for the effect that drinking from each one had. Springs had a definite association with ancient laughter. Pomponius Mela, for example, a Roman geographer and contemporary of Pliny, refers to another pair on “the Fortunate Islands” (probably the Canaries): the water of one would make you laugh to death; the other, luckily, was an effective antidote. But it was Pliny’s story that made a particular impression on Sir William Ramsay, an intrepid Scot from Aberdeen and late nineteenth-century explorer of Asia Minor, who took it so seriously that he tried to locate the very springs, in rural Phrygia. Having resolved in 1891, he wrote, “to test out every spring at Apameia,” he found two that neatly fitted the bill—though, oddly, he seems to have identified them on the basis of the sound their water made (“We could hear the bright, clear, cheerful sound with which the ‘Laughing Water’ ripples forth. . . . No one who goes to these two fountains and listens will entertain the slightest doubt that they are ‘the Laughing’ and ‘the Weeping’”). Pliny, by contrast, was referring to the water’s power: one spring made you laugh, the other cry.9
Where Pliny found his information is not always clear. Occasionally (and perhaps more often than modern critics tend to acknowledge) it came from personal observation or inquiry. That is almost certainly the case for one part of his discussion of the role of the diaphragm in producing laughter, which ends by noting a much more ghoulish version of the phenomenon of underarm tickling. It can be seen both on the battlefield and in gladiatorial shows, he claims, when the diaphragm is punctured, rather than merely scratched, that the result can be death—accompanied by laughter. The idea that wounds to the diaphragm could provoke laughter from military casualties had a long history in Greek scientific writing, going back at least to the fourth century BCE. But it may well have been Pliny himself, from his experience as a spectator in the Roman arena, who made the connection with the deaths of gladiators.10
In general, however, Pliny was proud to have assembled his information from earlier writers—so proud that, at the beginning of the Natural History, he insists that he has drawn on some two thousand volumes by one hundred authorities in compiling his twenty thousand facts, and he systematically lists those he has used for each book of his encyclopedia.11 In a very few instances, we can more or less pinpoint the source of his material on laughter. For example, the story of the two springs, “Weeping” and “Laughing,” almost certainly derived from the work of the fourth-century Greek scientist, philosopher, and pupil of Aristotle Theophrastus, or at least it follows directly on from the tale of another extraordinary spring in the same region (this one “threw up masses of stones”) for which Pliny explicitly references Theophrastus.12 For the most part, though, it is a matter of conjecture from which of his named sources, or from where exactly in the rich tradition of Greek and Roman speculation on laughter, Pliny has gleaned any particular theory or piece of information. It is a question of spotting the similarities and postulating connections. So, for example, to judge from their similarity to a discussion in Aristotle’s fourth-century treatise Parts of Animals, many of Pliny’s remarks—gladiators aside—on the importance of the diaphragm in the production of laughter almost certainly go back ultimately to Aristotle himself or to one of his followers.13
A rich and varied tradition of speculation it certainly was, in Rome especially—as Roman writers drew on their classical and Hellenistic Greek predecessors, refining and adapting their theories, and adding some distinctively Roman contributions of their own. Even if we leave aside, for the moment, their discussions of the ethics of joking and laughter (when it is proper to laugh, at what, and for what purpose), Pliny’s remarks are just one small glimpse into Roman opinion about the causes and characteristics of laughter, ranging from the frank expressions of bafflement we have already noted to yet more ingenious and learned theorizing.
Galen may have despaired of revealing the physiological roots of laughter. But he had theories aplenty about the comic nature of apes and monkeys. These were animals that, as we shall see in chapter 7, could usually be guaranteed to raise a laugh a
mong the Romans, and Galen knew them very well, for the simple reason that—given the impossibility or unacceptability of human dissection at that period—he based much of his anatomical and physiological theory on the dissection of apes. For him, the laughter they provoked was a question of imitation or, as we might put it, caricature. “We laugh particularly,” he wrote, “at those imitations that preserve an accurate likeness in most of their parts but are completely wrong in the most important ones.” So we laugh at the ape, Galen argues, as a caricature of the human being: its “hands,” for example, are very like our own in every respect, except the most important—the ape’s thumb is not opposed to its fingers, making it useless and “utterly laughable” (pantē geloios). This is a rare ancient reflection on what makes something visually laughable.14
Others had different observations. Plutarch, writing in the early second century CE about the role of laughing and joking at dinner, stresses what we would call the social determinates of laughter. What people laugh at, he insists, depends on the company in which they find themselves (you can laugh at a joke with your friends that you could not bear to hear in the company of your father or your wife). And he points to the way in which social hierarchy impacts on laughter. The success of a joke depends on who is telling it: people will laugh if a man of humble origins jokes about the low birth of another; the same quip from an aristocrat will be taken as an insult.15
That question of why people laugh at jokes was also posed, and answered, by Roman theorists of rhetoric, Cicero included. After sidestepping the general problems of the nature of laughter in On the Orator, he turns—in the voice of Julius Caesar Strabo, the main character in this part of the long dialogue—to the specific ways an orator can exploit laughter and to what raises a laugh and why. “The main, if not the only, prompts to laughter,” he says, “are those sayings which highlight and point the finger at something unseemly but in no unseemly fashion.” Or as Quintilian put it more snappily, just over a century later, “laughter is not so far from derision” (better in Latin: “a derisu non procul abest risus”).16 But the investigation that follows in Cicero’s dialogue (as also in Quintilian’s textbook on oratory) is more varied and nuanced than that summary might suggest. In analyzing the rhetoric of joking, Cicero identifies all kinds of features that may provoke laughter—from mimicry and “pulling faces” to the unexpected and the “incongruous” (discrepantia).17 And it is Cicero who is the earliest surviving source for something close to the modern cliché in the study of laughter that nothing is less funny than the analysis of a joke: “‘My view,’ said Caesar, ‘is that a man, even if he is not unamusing, can discuss anything in the world more affably than wit itself.’”18
These Roman theories and observations take us into that intriguing intellectual no-man’s-land between the utterly familiar and the disconcertingly strange—between, for example, that simple question of “What makes people laugh?” (and which of us has not asked that?) and the unbelievable tales of magical springs and overactive spleens. But even that dichotomy proves to be less stable than we might at first imagine. This is partly the problem of how slippery and deceptive apparently familiar ideas can be. When Cicero wrote that “incongruity,” as I have translated the Latin discrepantia, was a cause of laughter, just how close to modern “incongruity theories” of laughter—which we shall shortly explore—was he? Or, if we identify Pliny’s gelotophyllis as cannabis, which we now believe is a good, chemical source of the giggles, does that make Pliny a more familiar and reliable witness than if we opt for the dictionary definition of “crowfoot” (which is not usually thought to have laughter-inducing properties at all)?19 But perhaps even more destabilizing is the way that those extravagant and implausible views of the ancients can prompt us to look again at some of our own scientific “truths” about this subject. What, after all, is to count as a plausible explanation of why we laugh? In the end, is one theory of modern neuroscience, that the site of laughter is located in the “anterior part of the human supplementary motor area” in the left frontal lobe of the brain, any more believable, or at least any more useful, for most of us on an everyday basis than Pliny’s mad ideas about the diaphragm and the spleen?20
ARISTOTLE AND “THE CLASSICAL THEORY OF LAUGHTER”
It is surprising, given the extraordinary diversity of these Roman speculations on laughter and its causes, that modern studies so often refer, in the singular, to “the classical theory of laughter.” This theory has become definitively associated with Aristotle, who still casts his heavy shadow over modern studies of laughter—the first systematic analyst, so it is often said, of the whole subject, and the one who canonically formulated (even if he did not originate21) two major claims. The first is that man is the only animal to laugh, or—to put it in its stronger form—that laughter is a property of the human being (man, that is, can be defined as “the animal that laughs”). The second is that laughter is essentially derisory or is the expression of the laugher’s superiority over, and contempt for, the butt of his laughter. Scholars working in later periods all too often assume that ancient speculation on laughter essentially followed a single tradition more or less defined by Aristotle and his followers, in the so-called Peripatetic school that he established.22 In fact, it is not uncommon, even for classicists, to try to identify a direct source for most Roman writing on laughter in the works of Aristotle or later writers of his school (Theophrastus and Demetrius of Phaleron being popular candidates).23
So was all ancient analysis of laughter in effect a series of “footnotes to Aristotle”?24 Before proceeding much further in exploring what Roman writers had to say about the subject, we need to look critically, and in some detail, at Aristotle’s contributions to theories of (and about) laughter and to consider how clear and systematic they may have been. This will involve broaching some of the arguments that surround perhaps the most famous “lost work” of antiquity: the second book of his Poetics, which once formed the sequel to his analysis of the nature of tragedy, with its famous views of catharsis, pity, and fear. It was here, it is usually supposed, that Aristotle tackled the subject of comedy.
I am not claiming that Aristotle’s work on laughter had no influence on Roman approaches. Roman writers on science, rhetoric, and culture were undoubtedly indebted to, and in dialogue with, their Aristotelian predecessors; in fact, I have already noted that Pliny cites Theophrastus as one of his authorities in the Natural History and seems to reflect some Aristotelian observations in his discussion of the role of the diaphragm in laughter. But the common idea that Aristotle’s work on the subject—insofar as we can recover it—represented a systematic theoretical position amounting to something that could be called “the classical theory of laughter” is (at the very least) a drastic oversimplification, or, to put it bluntly, wrong. The truth is that many of the often-quoted, “classic” remarks by Aristotle—intriguing and intelligent though they may individually be—are little more than asides, and not part of a developed theory at all. Even the lost second book of the Poetics—with whatever it had to say of the nature, causes, and ethics of laughter as it occurred in the comic theater—hardly justifies the exaggerated significance often optimistically attributed to it.
This book has been one of the great controversies (or holy grails) of classical studies, and it has been hugely mythologized. A few mavericks have denied that it ever existed;25 many more have been entranced by the lure of what has been lost and have debated how its contents are to be reconstructed. Most famously of all, it has been given a starring role in a best-selling modern novel. Umberto Eco’s clever fantasy The Name of the Rose reenacted the destruction of this elusive text. At the climax of the mystery story (which also argues for the “liberating, anti-totalitarian” power of laughter as a weapon against oppressive authority), the very last manuscript copy of Aristotle’s precious treatise, held in a murder-ridden medieval monastery, is literally consumed by a laughter-hating librarian—before the whole place goes up in flames.26
Eco’s novel dramatizes not only the opposition to laughter by the authorities of the medieval church but also the belief, held by many students of both ancient and modern culture, that Aristotle’s second book of the Poetics would have offered the missing link to “the classical view of laughter.” As Quentin Skinner once remarked, in trying to answer the question of why ancient Greek statues so rarely appear to smile, “It’s odd that the phenomenon we would call good-natured laughter seems to have been a notion completely foreign to the ancient Greeks. It’s a terrible shame that Aristotle’s treatise on comedy is lost, for he would surely have explained.”27
Others have tried to show that it is not quite as lost as is usually assumed. Hints of what it contained have been gleaned from other works of Aristotle. More radically, a quarter of a century ago, Richard Janko made a bold attempt to revive a much older idea that a short treatise known as the Tractatus Coislinianus, preserved in a tenth-century manuscript now in Paris, is none other than a skeletal summary of the second book of the Poetics. If so, it would confirm the contents of the book as both a literary analysis of comedy and a discussion of the sources of (comic) laughter, from words to actions—for instance “using vulgar dancing” or “when someone who has the power [to choose] lets slip the most important and takes the most worthless.”28
This idea has never won much support: the majority view is that the Tractatus is a muddled, mediocre confection, possibly Byzantine, which preserves at most a few traces of thirdhand Aristotelian reflection.29 Yet in any case, the more fundamental question is whether that lost book really did contain the key to ancient analysis of comedy—and whether, as Skinner wrote, it “would surely have explained” what we want to know about Greek laughter and its theories. There is no clear sign that it would, and some telling hints that it would not. For why—in the pointed words of Michael Silk (who has done more than most to dispel the shadow of Aristotle over ancient laughter)—were those “Aristotelian pearls of wisdom on comedy” lost in the first place and “ignored by all of subsequent antiquity”? Disconcerting as this may seem, Silk’s presumption is that “all or most of what Aristotle in fact said on the subject was perfunctory—and maybe Tract. Coisl. reflects it—and that there were no pearls there to be ignored anyway.”30