Some scholars refer to the stimulus in humor as the "holy grail of humor studies." Though this is appropriate, it gives the impression that the stimulus question is the only important one. It would be equally if not more useful if "holy grail" referred to both stimulus and response, the two being inherently linked by the way they are defined.
There is a theory that establishes such a link. It is better than any of the ones Carroll mentions, and was introduced in 2011 after 5 years of work. On this view, the stimuli of humor are allusions to or direct images of a self-deceived superiority in a relatively small character, while the response is a mental copy of this disposition. The response is dispositional, the inner feeling of amusement. The one essence of humor is not "illusory superiority" (or Dunning-Krueger Effect) because that allows for an imposed deception, whereas deceptions are funny because they allude to self-deception. Diminutive self-deception is a central, personal image, while all other images of humor are merely objects or other signs that must allude to this. A serious hero is no less self-deceived, but he or she is not humorous unless seriousness itself is seen as pretentious.
Through producing or experiencing humor we express adjustment to reality, rather than attaining it if we are deficient. Mainly the disposition is the copy, yet outward laughter, too, is part of this imitation of a deluded attitude.
When self-deception is reproachable, it hides something that dissatisfies someone rather than something that truly hurts them. Consequently, an informed reader might say, "if the ridiculous is the inferior, that supports the superiority theory of Hobbes or of Charles R. Gruner." But that view does not define humor at all, only identifying an accompanying condition. The new theory is no "superiority theory."
The incongruity theory is false because it claims that contrasts create humor either directly or by their resolution, always unthematically. And in other cases, it is simply misapplied. The theory fails to indicate that the humor in great and small, high and low, derives from the relation of delusion versus reality. The response to humor is not a pleasure in the sense of a satisfaction in a contrast, or in its resolution, as the incongruity theory claims. Instead, the contrasts always are funny by representing delusion, so that the pleasure is first an imitation of an irrational and blithe attitude. Secondary pleasures of course follow. Therefore the incongruity theory of humor is false, and displaced by the new theory. Neurological studies would probably support these claims.
Among cases where the incongruity would apply, it is trivial. A pratfall could be described as high becoming low, but this is uninformative. A theory of humor must explain humor, not describe it superficially. Incongruity only describes humor superficially while pretending to explain it; therefore it is false. A pratfall represents shallow concern, not just being thwarted but raised in importance by death. The fall disrupts the pretentious character, but it is also a kind of hyperbole. In other words, falls illustrate both sides of the theory of Paul Reboux, that "humor is taking the light seriously and the serious lightly."
The incongruity theory also misuses incongruity by applying it to all sharp contrasts in general, treating them as inert. It is possible for many of those contrasts, for example, irregular language and ambiguity, to be treated meaningfully. But only the theory here proposed in this review does that. Ambiguity by itself, seen in isolation, signifies generally the embarrassing misuse of language, in particular the local or "host" language. There are tangible things that signify foibles and indecencies, while all such foibles are funny only because they represent self-deception. Ambiguity is a sign of those ideas by association, but also a device for their revelation.
Incongruity should be used only to refer to a difference in humor of great and small. Instead, every possible sense of the irregular or variant is equated, so that the concept not only loses the original meaning, but even has no meaning at all. For these reasons, the incongruity theory is discredited and there is no reason to use the name. Though it has been debunked before by both Alexander Bain and George Santayana, a more thorough refutation takes those writers into account.
Noël Carroll endorses mostly the earlier form of incongruity theory. But the newer version is that puns, while having other humorous effects, can create an appropriate incongruity. In other words, a foible or complaint is mentioned, linked to another idea by the double meaning. (If one needs an example, note the entire joke about the piano player and containing the line "do you know your monkey just dipped his balls in my martini?").
In the first place, the paradigm just mentioned has two possible senses in jokes. The standard "appropriate incongruity" theory interprets this idea to mean the way we understand jokes, the way we "get" them, resolving an incongruity. It cannot be entirely refuted, because it is a permanent part of the humor. But what proponents of the "getting the joke" approach fail to realize, is that this idea is a repetition of the central theme of jokes, and it is extraneous to the main part of their meaning. The true theory of humor, then, assimilates the old "incongruity resolution" theory. Everything falls under the theme of "selfish self-deception."
Thus the appropriate incongruity should also be seen as sarcasm, directed at a deluded stereotype who is not present in the most ideal form, though there is an actual addressee. Something painful or foolish is exposed obliquely using double meaning as a screen, in the same manner in which we whisper to someone sarcastically. The only sensible option for humor theory is to discard incongruity and replace it with the one thematic concept that it implies.
Noël Carroll's view of caricatures displays the triviality of the incongruity theory. The humor does not consist in the deviation from the person's specific, that is, individual appearance, because caricature is not a mere disguise. The important incongruity in caricature further disproves the theory. Caricature turns the human shape away from the human or adult so that the element of mind ceases to belong to it. But that is anthropomorphism and an image of self-delusion, and it explains why animal comparison is a type of caricature.
Noël Carroll misses some double meanings and he does not have a convincing theory of that kind of humor, or of other kinds of jokes. He claims that incongruity explains the humor in double meaning and in violations other than jokes. Violation, either as something so general as to be meaningless, or else as the rule-breaking sense of folly, is not the essence of humor despite philosophers trying to force it to be so. It is useful to have a theory of nonsense humor if jokes exhibit it in the way that Carroll claims. Yet they do not. But success in humor theory should be a question of breadth. If a theory shows that a single idea applies well to everything, informatively, then it should be the leading and authoritative position.
Carroll argues (like Freud) that some jokes come to nonsensical conclusions as a form of tension and release. This is based on the correct idea that tensions, releases, or in this case even false releases are funny. Carroll and many other writers on humor are right that this element adds to the power of a joke. But they are wrong to invest much of the humor in it. Tension and release, appearing even in the riddle of the Sphinx, are part of the cumulative structure of a joke, but as the more basic aspect. Humor in such tension and release can only be explained by the "selfish self-deception theory" of humor, that is, because the disappearance of tension alludes to the putting down of unjustified emotions; and when humor shows the increase of tension, the allusion is to complacency. But it is ambiguity that creates most of the humor in jokes. One might say that Carroll's idea of prolonged nonsense is meant as a sort of false release. But jokes can gain very little from any kind of tension except if they finally make sense. Only then can they refer to the only idea that is humorous on its face: delusion.
Freud too overlooks several double meanings in examples of humor. But he does not know their significance even when he does perceive them. And since he seeks to emphasize tension, nonsense, and puzzlement, he, like Carroll, selects a joke as nonsensical when actually he does not understand it. Freud then thinks laughter follows as a response by resembling a dissipation of purpose. One way to refute this view, then, is to explain all the jokes that are thus misinterpreted. This has already been accomplished in several examples of Freud's.
Carroll introduces the Incongruity Theory before the others (Release/relief and Superiority), and then returns to defend it more closely. This is where he introduces the problem that jokes are so puzzling as to be nonsensical. He then enlists an empty answer to address this pseudo-problem, which might be more easily solved by dropping incongruity as a theory altogether.
Jokes actually don't work by means of nonsense. First, note the one about the plane crash survivor.
The lone survivor of an airplane crash is marooned on a deserted island in the middle of the Pacific Ocean. After many years, he is rescued by a passing ocean liner. The doctor who examines him says, 'You're in great health, but tell me one thing. Why did you build two synagogues on the island?' The survivor answers: 'The one on the north side of the island is my synagogue. The other one I wouldn't step into.'
Of this joke, Carroll says, "the punchline explains the puzzle of why there are two synagogues on an island with one inhabitant, but it does so at the cost of compounding the absurdity. For the joke invites us to imagine...a man [who] would build a structure for the sole purpose of not entering it. [Thus] the answer itself is an absurdity..." (Carroll 36).
Carroll's reading is similar to that of Freud, in that both thinkers are preoccupied with the surface of what it feels like to hear a joke for the first time -- not an unimportant idea. There is a bit of humor in this, so Carroll is right that the man's answer compounds the absurdity, creating a minor part of the humor. But it is a superficial description of the joke as it is to be explained. It is not the explanation itself.
The main meaning of this joke is hyperbole. It is a joke of exaggeration, which is understood by the "diminutive illusory superiority" theory as an example of extreme emotion or exaggerated concern. There is abundant evidence. The man is on a deserted island, where there are no people to care about differences of Jewish faith. That is the point of the joke being about a deserted island. Thus the humor consists almost solely in the idea that the religious divisions familiar to the survivor and to all Jews persist when he is alone. There is perhaps another level, wherein the man's beliefs have resulted in the construction of an extra building, as though he were beside himself or had generated without thinking this division within a community that is not there. Thus there is an extra allusion to absence of mind, or to a community that lacks actual bodies.
Try this example - what does "I never met a man I didn't like" mean? Is it nonsense, or double meaning? Is the double meaning a mere "violation," and is that what makes it funny? It's far more likely that we respond to an archetype, or image, of one who evades context, for when we see such double meanings we are affected by that image. Similarly, Groucho Marx says, "These are my principles, and if you don't like them, well, I have others." This might be an often misunderstood joke. Most people hearing this line probably feel that it only expresses the sudden reneging on the initial offering, of irreplaceable principles. But although it's there, that's not the main meaning. Groucho really means that the emphasis changes from the word "These" to the word "my."
Although it is a "violation" not to pay attention to context or others' intentions, it is more important to note that it is an ethical sort of violation, a kind of "self-centeredness." And according to what I think is the best theory (the one that I claim as intellectual property) every example of humor is, or alludes to, an image of such delusion, and our "dispositional" response to this stimulus is merely an echo of that image. Thus the "dispositional theory" that Carroll attributes to Jerrold Levinson, for example, only becomes truly important in this sense. It is only an obvious fact that there is such a disposition. And we have probably evolved or developed this response in a psychological sense, as an expression of our adjustment to ethical and social norms.
Carroll admits that he is not completely satisfied with what he finds the least problematic view, the Incongruity Theory. And yet he defends it, in scores of examples. It is difficult to conclude from this picture what sort of improvement is actually desired. "The incongruity theory still seems the most promising, because it offers the most informative approach to locating the structure of the intentional object of comic amusement" (48). Carroll also mentions that the banishment of fear is a factor that is "added to perceived incongruity in order for the incongruity theory to approach adequacy" (29).
The problem here is not just that incongruity is too general, as Carroll himself notes. But he seems unaware of an alternative, already known, that much better explains all that it explains. Success in "locating the structure," is in noticeable tension with incongruity as an "imprecise notion" (37) and "no more than a necessary condition for comic amusement" (28). How does incongruity explain informatively, if it's only a necessary condition? Carroll also criticizes incongruity directly on p. 34 and 37. On 34, he grants that incongruity is similar to puzzles (a problem that he then tries to solve), and shortly thereafter on p. 37, it is admitted that incongruity is too general, or does not describe its object informatively. But there is a basic reason for doubts. It is explained here and in a book. Incongruity is only a description of humor, rather than an actual explanation, something that's been said enough times. For Carroll, it is hoped that eventually a supplemental theory will arrive to patch up the problem, "isolate the pertinent recurring variables" and actually vindicate and preserve Incongruity, an implausible prognosis (53). I predict that it will never happen.
One problem with incongruity is that it does not produce a "response side" theory. It has not in 300 years presented a contentful view of what the response to humor is, only the stimulus. The fact is that incongruity by itself is incapable of eliciting in us something like the response to humor. John Morreall suggests "pleasure," but there are pleasures in incongruity that are not humorous. Matthew Hurley has pointed out that relatively "benign" violations are often not funny at all.
All of the qualities of benign violation which would make it appear to be intrinsically humorous, point away from it to a more perfect theme in self-deception. The moral or emotional uncertainty of a situation alludes very effectively to this idea of delusion -- by the pretentiousness or exaggeration of some serious concerns, the deception or self-deception required in order to hide moral or social error, and finally the mockery implicit in competitions or battles which use feigned violence or mental weapons instead of physical ones. Benign violation is funny because it indicates a better theory; that other does not support benign violation as a theory.
When I assert that "the essence of humor not pleasure," I don't mean that it does not include pleasure, but that this does not fully capture it, for several reasons. It is too general because pleasurable feeling is too general, and there is no other way to make the notion of satisfaction native or essential to humor except as the escape from reality, and thus delusion or diminutive ambition. A larger scale flawed ambition will pertain to tragedy.
As Victor Raskin once noted in a conference, the response to humor resembles intoxication. But Raskin did not assert, and did not know, why the response to humor is related to intoxication. The relation is plainly that both phenomena evoke not only delusion but a willful, appetitive delusional state. Tickling tends to evoke this state, not merely because it is sensual or sexual, but by the sense of its impropriety. By rapidly and repeatedly approaching sensitive areas, it violates the form of intimacy. This is the best account, though others have been attempted. We don't find tickling funny as merely a "mock attack," but because it is an allusion to a defective means of seduction. Therefore laughter does not follow as a reflex in this case.
A cold beverage or a cool shower on a very hot day might be congruous with desires. But they are incongruous with the surrounding heat, while even in that very sense they are pleasant in both the objects and their effects (the hot-cold contrast is desired), but neither, in that sense, is funny. Thus it is not, as Alexander Bain once suggested, that non-humorous incongruity is so easily found to be unpleasant. (In fact, Bain's "snow in May" example even eerily resembles the kind of pleasure just mentioned). A man in a wheelchair winning a track race is quite incongruous as well as inspiring and pleasing in an ethically sound way, and this even answers with the positive version of Bain's "decrepit man under a heavy burden." If the "special Olympics" does not violate actual defunct norms, it follows new norms that would been considered strange long ago. But it has no humor, unless we twist things by an insensitive interpretation.
Humor is not in essence, as Carroll claims, a "deviation from some presupposed norm" (17). Evidently, however, every humorous incongruity violates some norm. Erotic advances are a major paradigm. We will overlook some modern social changes (and even looks to some extent) and here treat efforts in love as a question of skill and charms.
How bizarre it would be, if we really thought that breaking rules, per se, was what the humor in romantic intrepidity, or unlikely love were all about. Who would we resemble, but the romantic fool himself, for whom rules are so all-important? That would make no sense.
In fact, our sense of humor is a mirroring of folly, but not in our theory -- not in the way we use and understand humor. The sense in which we mirror folly is in our response to humor. That is the response disposition that the other theorists have been seeking.