Toward a Theoretical Framework for the Study of Humor in Literature and the Other Arts
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With a clearer understanding of the way humor works, we might be better able to give it the attention it deserves when we study and teach the arts. But where do we turn to find a theoretical framework for the study of humor—one that will help to clarify the role that humor plays in the arts and that will help us as well to understand differences in the way individual perceivers respond to humor in art?
A superiority theory of humor emerged in classical times and more or less held the stage through the seventeenth century; now, however, though an occasional attempt to revive it is still made,1 superiority theory is usually regarded as far too narrow in scope to be useful as a general account of humor. What are commonly referred to as "release" (or, occasionally, "relief") theories— and associated with Spencer and Freud—were for a time very influential, but are somewhat narrow too in their own way, and furthermore, as Noël Carroll puts it, "have the liability of presupposing hydraulic views of the mind that are highly dubious."2 Incongruity theory, which has been around in one form or another since at least the eighteenth century, dominates contemporary humor theory but is still widely regarded as not quite there yet. And so humor remains somewhat mysterious and elusive. Or not even that. It may be that most people, even teachers in the arts, bypass theory entirely and simply accept humor as a given: an unanalyzable fact of human life. I've sometimes wondered if it may be that we don't want to understand humor, either because we're afraid that this understanding will spoil the game or, just possibly, because we sense that, as a consequence of it, we may discover things about ourselves that we would prefer not to know.
Is a well-founded, broadly inclusive theoretical framework for the study and teaching of humor in the arts achievable? I want to propose that it is if [End Page 67] we take incongruity theory a few steps further, integrating an analysis of the humorous situation (that is, what we perceive: the caricature, the witty dialogue, the bit of stage business) with an analysis of what goes on in the perceiver (the humor experience itself).
A General Theory of Humor
Incongruity theory, though clearly the front-runner these days, continues to be problematic, making too much sense for us to discard it, but not quite enough sense to get us where we need to go. Thus, Carroll concludes his recent overview of this theoretical tradition: "Though promising, the Incongruity Theory of Humor remains a project in need of further research."3 Reading this we may find ourselves wondering, just as we might about some writer or performer who's been on the scene for a good long time, how much longer this centuries-old theoretical approach gets to remain "promising."
What have been the major problems associated with incongruity theory? For one thing, it doesn't tell us much about the affective dimension of humor.4 Neither does it satisfactorily explain differences in the way individual perceivers respond. The major weakness of incongruity theory, however, has been a failure to account adequately for all of those instances of incongruity that are not funny: for example, brainteasers, logic problems, and puzzles. One way of dealing with this problem has been to keep adding on exclusionary clauses until the category has been pared down satisfactorily. In other words, humor is based on incongruity, provided that we exclude situations that inspire fear, or are disgusting, or are perceived instrumentally, or are regarded primarily as a puzzle, and so on. But, of course, this is patchwork. What we need is a humor theory where stipulations such as these don't have to be added on, because they follow logically from the theory itself.
It's been proposed repeatedly that the incongruous elements in humor are likely to be connected in some way, though some of the terms that have been advanced to identify this connection are unnecessarily limiting if...
