HUMOUR THEORIES AND THE ARCHETYPE OF THE TRICKSTER IN FOLKLORE: AN ANALYTICAL PSYCHOLOGY POINT OF VIEW Ana Stefanova Abstract: Humour theories describe different parts of humour as a phenomenon, obtained on the personal and community level, so difficult to be explained. The analytical psychology of Carl Gustav Jung may help in the explanation of why the search for the “Holy Grail of Humour” is as if trying to catch a shadow. The archetype of the trickster in folklore may help us describe some common and different parts of the universal phenomenon of humour and the specific ethno- psychological traits. The paper presents an overview of basic humour theories, supported by ana- lytical psychology comments, the archetype of the trickster in Bulgarian and Russian folklore, in the folklore of Native American tribes, Kalevala and Edda (Snorri Sturluson) with an attempt to explain how the traits of this “hero” provide a list of the components making something humorous for different people and what are the common traits that can be described as universal. This overview could help trace the humour phenomenon from the universal, through the community, to the individual level trying to find how important this is in searching for its characteristics. Key words: analytical psychology, archetype, folklore, Holy Grail of humour, humour, humour theories, incongruity, play, profane, relief, sacred, superiority, trickster For the explanation of the phenomenon of humour we need to involve differ- ent approaches, and different sciences. In order to understand the approach of analytical psychology, it is necessary first to review humour theories, created until recently, mostly on the basis of philosophy. In the Internet Encyclopedia of Philosophy, Aaron Smuts (2006) writes about 4 theories: 1. Incongruity Theory is the dominant approach and includes historical figures such as Kant, Kierkegaard, and perhaps has its origins in com- ments made by Aristotle in Rhetoric. Focusing primarily on the object of humour, this school sees humour as a response to an incongruity, a term broadly used to include ambiguity, logical impossibility, irrelevance, and inappropriateness. h ttp://w ww.folk lore.ee /folklor e/vol50/stefanova.p6d3f Ana Stefanova 2. Superiority Theory – according to Thomas Hobbes, humour arises from a “sudden glory” felt when we recognise our supremacy over others. Plato and Aristotle are generally considered superiority theorists, who emphasise the aggressive feelings that fuel humour. 3. Relief Theory is typically associated with Sigmund Freud and Herbert Spencer, who saw humour as fundamentally a way to release or save energy generated by repression. 4. Play Theories attempt to classify humour as a species of play. In this general categorisation effort, the play theorists are not so much listing nec- essary conditions, as they are asking us to look at humour as an extension of animal play. They try to call our attention to the structural similarities between play contexts and humorous context, suggesting that what might be true of play, might be true of humour as well. To create a proper definition of humour, different fields of science must be united: philosophy, psychology, sociology, anthropology – social sciences, cognitive sci- ence, physiology and medicine, arts, literature, advertisement (management, marketing, commercials) etc. Humour is a phenomenon that we may observe every day in so many different forms, looking so simple and easily cognisable; at the same time it has connections with possibly all aspects of human personality, structures (somatic and mental) and activities which make us humans. The very fact that even the children and, according to some authors, the animals may recognise humour, yet at the same time the difficulty for us, to give an elegant explanation and definition of it, is phenomenal. When we try to describe humour, it is visible that there are three sides: 1. Character of our response. 2. Properties of the humorous object. 3. What will be sufficient for an object to be found funny – the Holy Grail of humour. Aaron Smuts writes: “The Holy Grail is often confused with a question regarding the sufficient conditions for our response to count as humorous amusement, but a crucial distinction needs to be made: identifying the conditions of a response is different from the isolating the features something must possess in order to provoke such a response. The first task is much different from suggesting what features are sufficient to provoke a response of humorous amusement. What amounts to a humor response is different from what makes something humorous. The noun (humor) and adjectival (humorous) senses of the term are difficult to keep distinct due to the imprecision of our language in this area.” (Smuts 2006) 64 www.folklore.ee/folklore Humour Theories and the Archetype of the Trickster in Folklore But there appears the question – can something be humorous “by itself” – what makes something humorous is the question that suggests something to be apart from the human’s estimation. However, it cannot exist away from this estimation, living in nature as “humorous” by itself. The human is the one who gives this “label”, according to personal and/or collective criteria. The archetype of the trickster is something that best integrates the opposites, being above Good and Evil; something that best fits the idea of “something humorous by itself”, because it is universal. According to Paul Radin (1956: x), “Laughter, humour and irony permeate everything Trickster does.” The trickster is universal: “Are we dealing here with the workings of the mythopoeic imagination, common to all mankind”, the speculum mentis?” (Radin 1956: x). All humour theories describe different traits and have their meaning. The concept of C. G. Jung about the psychic structure To review humour theories through the standpoint of analytical psychology there are specific concepts that must be defined. According to Jung the psychic structure has conscious and unconscious parts; there is also personal and col- lective unconscious. The personal unconscious is about matter that is connected with nation- ality substances, interjected in early childhood, family, tribe, motherland. Its visualisation in the activities reflects the specific vision and characteristics of the native culture, the spirit of contemporary times, the Shadows. (All that the defensive mechanisms are “hiding” from us but still are ours, our “dark side”). The collective unconscious is the deepest one, “below” the personal, as the deepest “layer” in the structure of the personality, the same in all and eve- ryone, as a pattern. That is why it is universal, because it is identical for all the people (may be in animals, too). The collective unconscious is not dependent on culture, it has its own structure – the archetypes (Jung calls them “organs of the soul”). Its matter has never been in the conscious as it is inherited struc- ture, primordial, that we all are born with. We cannot observe the unconscious directly, but it has a great impact on our personal activities, way of thinking, this is the deep and dark place, where the impulses, instincts, with their im- perative way come from. The archetypes are the tissue, the structure of the unconscious. The interactions among them define the dynamic of the unconscious. They have specific traits and characteristics of interaction among them and the conscious, which actually is the psychic dynamics. They have manifestations in our visible activities, in our thoughts, in the art, folklore, dreams, even in symptoms of diseases. The Folklore 50 65 Ana Stefanova archetypes could be described as different personalities, who lived in our Self, but until the conscious holds the control, the person is psychically healthy. The connection and interactions among the archetypes have a kind of a pattern, framed by our instinctive nature; they are instincts by nature (“…the archetype could be extracted by abstractions of a class of experienced images or objects” (Corsini 1998: 81)).They are “imprints” of the experience of the forbears, not the experience itself, not facts or images, but their mainframe, their essence. The archetypes are connected to the instincts, being numinous, unconscious, autonomic and compulsive. The archetype is a psychosomatic idea that connects the soul and the body, the instinct and the image (Samuels et al. 1995: 38). We inherit archetypes, they have their own life and personality, but they are also a part of our personality. If they get more energy, they could have the control over the person. The huge variety in material culture is due to the va- riety of models of creativity of the spirit, having their roots in the archetypal nature. “There are as many archetypes, as typical situations there are in life,” writes Jung (1999: 56). According to Jung, Freud’s theory about the libido is partial and unbalanced. In spite of that the concept of the energy has its place in Jung’s work. “The neutral nature of the psychic energy means that it may be used everywhere including for searching instruments for reducing the energy tension.” (Samuels et al. 1995: 79) These “instruments” could vary a lot – including arts, humour, sport, every kind of activity. “The unconscious is older than the conscious, it is primordial, from it the conscious arises constantly” (Jacobi 2000: 138), thus the conscious “dresses” and guides our actions, but it is impossible for something to appear in the conscious without having roots in the unconscious. The uncon- scious is the basis; nothing can be developed if it does not have any precursor in the structures before; we cannot really see or understand something if we do not have a primordial archetype or instinct for it as “images” and models for action. Whatever phenomenon we observe, we must know that there is nothing in the conscious that has not been in the unconscious before. The phenomenon of humour is not an exception in this regard. It is about an instinct, an arche- type. Coming from the unconscious, it has an emotional, instinctive nature, the “deepest” layers in our psyche, reducing the energy tension. The conscious may guide and “dress” this instinct, but it could be compulsive if the conscious, the I (Ego) loses control or goes on to “lower” levels (these are the conditions in cases of abusing different substances, stress, mental illness, little children, immature people – all kinds of situations with low control or weakness of the Ego. The conscious is “the connection of psychic content with the Ego, when 66 www.folklore.ee/folklore Humour Theories and the Archetype of the Trickster in Folklore the Ego knows about this”, it supports the connection between the unconscious matters and Ego (I, Self) (Samuels et al. 1995: 171). With regard to its anatomy, the conscious has 4 main structures: 1. Cognitive. 2. Existential-affective. 3. Intentions and will. 4. Reflexive structures. The cognitive structures act when we first see something, asking the question “what is this?” The existential effectiveness is immediately after them: this is the question “what is the meaning of this object to me?” Everything we get through our senses has emotional estimation for us. There is nothing that we observe, think or have, that has no emotional “colour” for the personality. This is the way our personality works. Jung’s concept describes a universal psychic “layer” and the personal one, dependent on the culture (the group) and the individual, according to his clas- sification of psychological types (a combination among the four functions of conscious, plus intra- and extra-version). This is the way the universal and individual co-exist. Having these explanations in mind, we can try to reach the very heart of the appearance of the phenomenon of humour. Humour • Always brings pleasure; there is no humour without pleasure for the person, who accepts it as such, bringing quick and easy enjoyment. Not everything about pleasure, fun and entertainment is humorous. Humour can be all of these. Arvo Krikmann (2009) quotes Arthur Graesser, arguing that “recent psychological observations appear to confirm that items of disparaging hu- mour tend to get the highest ratings for funniness.” • It is a form of communication – could be positive (for example “breaking the ice” in a difficult and very serious situation, relaxing the atmosphere) or negative (involuntary or intended sarcasm, mockery, demonstration of superiority). Humour has the potential to bring peace or declare war. Ac- cording to the linguist Steven Pinker: “The act of communication is based on mutual collaboration between the one who talks and the one who listens. The one who talks sends statement to the listener and implicitly guarantees that the information, which he gives, is relative: it does not repeat the things already known and is connected enough with what the Folklore 50 67 Ana Stefanova listener thinks and may be used for new conclusions with minimum mental effort.” (Pinker 2007: 269) From this description we may trace the way hu- mour is dependent on “outer” conditions as an act of communication: 1) the audience – the more prepared it is, the bigger is the effect. Important is the group-effect, the effect of “infection”; 2) the cultural context; 3) the satisfac- tion of the understanding and the conclusions, to “catch”, to get the joke. It should be short, informative, prompt, relative, clear, unambiguous (in cases of incongruity the ambiguity of the communicational act and expres- sion is the “core” of humour, but the understanding should be clear) – these are the traits that the listener expects. Thus, the traits of humour can be described as an act of communication. “The metaphor and humour provide a comfortable way to generalise the two mental actions, which participate in the understanding of a sentence. The ideas are objects, the sentences - packing, the communication – sending and receiving.” (Pinker 2007: 271) • As an act of creation (Arthur Koestler’s concept about humour, discovery and art): comic collision or oscillation between two frames of reference/worlds of discourse/codes and associative contexts (Krikmann 2009). To demonstrate “good taste” and intelligence – “sophisticated” humour. Aaron Smuts (2006) defines the comic as a professionally produced source of humour, a generic element of various art-forms. • There can be found similarity within the structures of wits, jokes and dreams. According to Freud, these are products of the primary process, expression of Id. The multiplication and compression are characteristics of the visualisation of the psychic dynamics in dream images. They are also recognisable in jokes, fairy tales and witticisms (in the products of psyche, having unconscious roots). • Depends on the person’s individual traits – such as temperament and psy- chological type. However, people of different temperament or psychological type obtain humour with different expression, the expression is personally dependent, but its existence is universal. • Has specific cultural traits, yet there is no culture without humorous tradi- tions or products. • Could have physiological expression. Humour is somehow connected with laughter – but we can find examples of humour without laughing only bringing positive emotion. At the same time, the reason for laughter could be something very different from humour – jokes, tickling, irony, chemical substances, sometimes as an abnormal reaction – in cases of fear (regres- 68 www.folklore.ee/folklore Humour Theories and the Archetype of the Trickster in Folklore sion as a defending mechanism), sex (in some cultures), even pain (these instances are culturally dependent and of great relevance if we want to go to the very roots of this phenomenon). If we search for an honest scientific ap- proach, the point of view should not be of the “average, white European, with normal intelligence and education”. According to Robert Provine, laughter is “a physiological process that results in a limited range of characteristic vocal patterns that are only physiologically possible for bi-pedal creatures with breath control.” Laughter because of humour is secondary because it is in response to it. • There is another important trait – saturation: one joke could not be funny twice or more times; in humour there exists a kind of surprise. If we hear or see something more than twice, it loses “its humorous power”. The reac- tion cannot be so strong any more. • What is the purpose of the play, we may see in the contribution of observing and learning about the world and ourselves; this is the natural impulse to learn with pleasure that we start feeling at a very early age, as a compul- sive need. Humour is very similar to playing. Just like playing, humour is all about observing and exploring the environment. If we search for the purpose, the meaning of humour in life and adaptation, here we may find any basis and similarities. It could be considered as a reaction (active, if it is an act of creation, or passive, if we are only respondents) to the changes in the usual order in the environment that brings us information, quick pleasure and releases energy. Cognition is being involved just as much as emotions (they are inseparable). Krikmann explains the cognitive similarity between metaphor and humour: “Both of these are embodied in texts with dual planes of meaning, both involve a semantic contradiction or incom- patibility that the recipient has to disambiguate, using his/her linguistic competence and encyclopaedic knowledge to find some analogy or other “common link” to relate the involved planes of meaning.” (Krikmann 2009) This describes the cognitive mechanism for finding “news” and decisions. That is why, connected with “solving problems”, humour has a lot in com- mon with riddles, puzzles, wits and also with the language. Because of the emotions involved, humour is estimative. In the process of comparison and disambiguation there is a moment of surprise, observable in riddles, wits, jokes, and in comedies that are funny and “for play”. What is needed here is an “intellectual training”, a level of cultural integration and education – little children cannot understand thoroughly every act or create cultural products with the purpose to be humorous (it could happen incidentally, but the appreciation comes from adults), but they find other things humor- Folklore 50 69 Ana Stefanova ous, funny. Krikmann quotes Tony Veale about the “the listener as a social agent” and the fact that “the humorous effect arises not because jokes, thanks to their structural properties, force their resolutions on listeners, but because the listener as a social being is predisposed” (Krikmann 2009). This is an extreme “social” and rational position and may not explain if someone finds humorous a product of another culture, being not “prepared” in it or why the children obtain it, too. It does not explain the humour in cases of weakness of the conscious (the conscious is a culture-dependent psyche). This approach puts humour only in the conscious, as an education, in cognitions, not considering its emotional tissue. The psyche cannot act without this component. Yet it is without doubt that personal expectations, connected with the social background, also have their role (often humour arises in exactly such cases of broken expectations). Krikmann quotes Ra- chel Giora, that “the figurative and humorous items are most enjoyable, if they convey a balanced share of salient and innovative marked information” (Krikmann 2009). • Has universal basis, i.e. unconscious, archetypal nature. The proof for this is also the common origin of humour along with dreams and creative or cultural products, something expressed in the plots of myths themselves (as it is well known, the mythology is the basis of a way of thinking and belief of the collective kinds of cultures and has its expressions in the individual culture, too). Everything in the behaviour “passes” through the personal traits and culture, but is “powered” by the instincts. All the archetypes as instincts help us adapt better to the environment, they all have evolution- ary meaning – for learning (the play), breeding (Anima/Animus), defending (Hero, Wisdom Ghost) etc. According to Radin (1956: x) “as an attempt by man to solve his problems inward and outward, does the figure of Trickster become intelligible and meaningful”. The irrationality, the unconscious, is the worst enemy for the cognitive science in the attempts of making artificial intelligence. The mechanism “if…then” does not make sense. In “humour” we may find the entire pal- ette of emotions: sexual, aggressive, sarcastic, hatred…all these could be humour. Arvo Krikmann writes about political, social, ethnic and obscene (erotic or scatological) themes prevalent in contemporary jokes (Krikmann 2009). He is of the opinion that punch-lines are the basic form of contem- porary humour, having functions as social weapon (sounding Marxist) and taboo-breaker (sounding Freudian). This is the way Krikmann explains the “golden era of joke-making” in the former USSR, and he concludes: “despite 70 www.folklore.ee/folklore Humour Theories and the Archetype of the Trickster in Folklore the proliferating cult of sex, joke tradition in contemporary welfare societies is undergoing rapid degeneration” (Krikmann 2009). The universality is a basis for colourful forms. There is no person or na- tionality, no culture – contemporary or primitive that has not an attitude to humour. Humour is of compulsive nature, searching ways for expression – a characteristic of the unconscious. The same could be said about music and aesthetics. Creativity and the unconscious origin are the things that they have in common. Even in the simplest object we may see the child or “the savage” making efforts to make it look aesthetic. There is no person who does not have favourite music or who does not like listening to music, even on rare occasions. There is no culture, even primitive, without any kind of music. There are no sufficient conditions to be met in order for something to be “aesthetic” or “music”. These phenomena are not directly connected with breeding or surviving. Why do we like them? Yet we are not able to describe what is aesthetic and why. We discharge energy when we com- municate with or create any kind of art. Whether we like it or not, depends on the personal and collective level, on universal and specific individual traits. The same goes for “what is humorous”. Where to put the borderline, i.e. what makes an “aesthetic” object “a piece of art”? A white ring on black background – is it art? Where does the line exist between tribal drumming and a sophisticated percussion concert (may be the wearing apparel of the listeners and the performance of the “orchestra” in a hall?). Humour is about vision and hearing and it has no connection to the other senses – olfaction, touch, taste. Nothing that is perceived by way of these three senses could be described as “funny” or humorous. Instead, humour may be found in visual forms, sounds, “intellect” and language, with cer- tain meanings and emotions (coming through the “eyes, ears and mind”). To tickling we may respond with laughter, hence the question – where to put the line between humour and physiological feelings that bring us fun, pleasure and discharge energy with laughter? What amount of something must appear in a situation or in us, or in the environment, to be humorous? According to this review, there is no such a line; the transition from the physiological to intellectual humour is very invisible. The trickster holds both of them and the entire diapason in between. The concept “humour” in Greek means ‘juice’, ‘taste’ – in this concept we may find how “fluid” and slippery it is and how much it depends on personal or cultural estimation. It varies in one person in different situations: using substances, creating atmosphere. When we hear laughter, this makes the things funnier; this is a psychological effect – James-Lange theory1; humour is contagious. The Folklore 50 71 Ana Stefanova Rizzolatti theory about the mirror-neuron system2 also provides explana- tions in this regard. • With humour we mark something harmless, but about the “responder”. It might not be humorous for the other people. That is why the question about the minimum traits for something to be humorous “by itself” is in- appropriate. Someone’s grief could be funny for someone else. This is its connection with survival. Only the trickster’s image may “skip” these poles and contradictions, obtaining the characteristics of the numen and the sacral. • As “responders”, there is nothing dangerous or painful about the things we accept as humorous. If the borderline of the situation goes “up”, the object is no more humorous, and the fun could be replaced by irritation, fear, anger, aggression – a range of other emotions may appear. It depends on the individual traits of acceptance of the situation and on the permanency of the conditions. The time for reaction is individual, too. For example, if we find someone stupid (superiority) or peculiar, it might seem funny at first, however, if it continues we may feel irritation against this person or situation; other persons or cultures may find it humorous always, etc. Humour and the other possible emotions make a “line” and could “switch” from one to another. In most of its forms humour could be considered as a socially acceptable way for reaction, showing personal maturity, an easy, harmless, cultural way to solve problems, a way to get a “prize” and to “win”, taking advantage of a situation, without “going too far”. It is also a way to minimise the problem and the importance of a situation, or to manage with a problem. It could also be a form of regression to lower stages of growth and maturity. We may reverse the emotions, after cognitive information, for “retreat”: in cases of fear and frightening, when we feel relief and safety, we may react with laughter and/or humour, discharging energy. The situ- ations with “hidden camera” are an example of this: after seeing that it is “unreal” and harmless, the scale of emotions “turns back” and we start laughing. On the other hand, humour may be a reaction of immaturity, rudeness, incorrectness or low control. But there are no sufficient criteria in the object, in the person or in the situation, which help us mark the condi- tions, in which one “switches” to another. Having in mind the dynamics of emotions, the “level” of humour, once “passed”, turns into other emotions – irritation or aggression and it is often hard to be “turned back”. A paral- lel with the physiology of tactile receptors in the skin may be given as an example. One and same agent may cause tickling (itching) (and discharging energy with laughter in many cases), irritation, or pain (discharging with 72 www.folklore.ee/folklore