Nick Grokhowsky

Comedy and Tragedy Amidst Socrates Kallopolis

“While like a ghastly river, / Through the pale door / A hideous throng rush out

forever / And laugh – but smile no more (Poe, 67).” This is an excerpt from Edgar Allen

Poe’s poem “The Haunted Palace.” The poem proposes two contradictory emotions

worth noticing: the emphasis of humor in tragedy and the emphasis of tragedy in humor.

The relationship between these feelings is important because the first two social

vocalizations children make are sobbing and laughter (Boyd, 5). Both sobbing and

laughter are dependent on the mid-brain and brain stem circuits instead of higher speech

centers. Additionally, sobbing is produced during inhalation which causes tension. This

tension causes painful vocalizations. Whereas laughter is produced during exhalation and

it causes a relaxed, effortless, vocalization. Suffering is the general feeling associated

with sobbing (Cohen, 90). The general feeling associated with laughter is pleasure

(Wells, 1). Hence, the familiar opinion of the two vocalizations, as well as the feelings

they institute, are that they are in opposition to one another. This theory, like many

others found in western culture, was developed by Aristotle. Yet one might question why

these emotions were considered unjust for Socrates. Socrates dismissal of emotions,

especially through poetry, is a curious law to enforce in a city based on justice. Therefore

an analysis of these emotions basic function will make it evident why Socrates did not

want them to influence his Kallopolis. In fact, it will be clear that the reason why
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Socrates dismissed tragedy and comedy was to eliminate the emotions they produce

because they would segregate the polis in a negative way.

Evolutionary Theories

Darwin said that weeping seems to be our primary expression of suffering, and

that this is best noticed in children (Cohen, 90). The suffering Darwin spoke of includes

both bodily pain and mental distress. Darwin clarified his statement about weeping to

say, “It is unnecessary to suppose that the child carries anything with it from the time of

its birth than this way of indicating the presence of danger” (90). Weeping then is an

intrinsic indication of presence of danger found in children. Furthermore the “sucking

reflex” has been known to inhibit a child’s response of weeping (90). Therefore the

“sucking reflex” tells the child that the risk of danger, from not eating, is no longer

present. It is then evident that weeping and the “sucking reflex” are organized patterns of

behavior to indicate the risk of not eating (90).

In order to further understand weeping as a response to suffering, an experiment

was performed with eight healthy babies (90). Both cry vocalizations and the infants

motions were recorded in regards to periods of pacification and pacifier withdrawal. The

periods of pacification were meant to represent periods of feeding; periods of pacifier

withdrawal represented periods of starvation. A microphone was placed from six to eight

inches away from the baby’s mouth in order to digitally record any vocalizations made

(91). Additionally, a mercury micro-switch was taped on the baby’s left forearm to

record flexure of the baby’s elbow. The experiment observed each baby individually. A
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baby was placed inside their crib thirty minutes before feeding times. They were

observed until they had produced a vigorous “hungry” cry – 60 to 80 cry vocalizations

per minute and 20 to 50 cry movements per minute. A pacifier was quickly placed in the

baby’s mouth during this “hungry” cry. The recorder was reset. When the baby became

quiet and motionless the pacifier was removed. The recorder was reset again. The

results included that with more experience of pacification the shorter the period of time it

took for the baby to become calmed and reduce crying. Behavior patterns during sucking

were described as movements of the jaw, swallowing, breathing alterations, the open-eye

smooth face, relaxed posture, and reduced activity (99). Opposing, the behavior patterns

during crying included particularly replicable vocalizations, specified patterns of

breathing, closed-eye cry face, tandem leg kicking, and variable movement of the arms

(99). Consequentially crying is understood as a primal response to pain and suffering

because of a lack of self-sufficiency. Thus crying is a final attempt to become self-

sufficient because of ignorance of the inability to be self-sufficient.

The most promising theory of the evolution of laughter is found in the theory of

‘play’ (Boyd, 6). Play is a phenomena found in many animal species from primates and

other mammals to birds. However, play puts its players at a temporary disadvantage due

to energy expenditure and the increased risk of predation (7). Therefore there must be an

evolutionary function for play to have become so widespread. Amongst the many

theories for the evolution of play, training for the expected and the unexpected appear to

be necessary (7). Training for the expected is easily understood as training for the known

future. Boyd gives the example of expecting to hunt during pre-historic times (7). A

young boy who throws rocks is preparing to hunt because he is practicing to throw
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weapons in the future. However training for the expected cannot explain all aspects of

play. Training for the unexpected is seen in both human and animal displays of

movement during play. These unusual forms of motion test the limits of balance and

locomotion which put the participant in a situation where they have no control, but they

have the ability to quickly regain control (8). An example of training for the unexpected,

as well as the expected is found in social play. Social play involves chasing, mock-

fighting, tickling, and so on to develop evasion, offensive, and defensive tactics.

Therefore it is necessary for animals to have developed a way to determine if one is

playing from one who is fighting.

The evolutionary development of the relaxed open-mouth face and panting are the

elements that distinguish playing from fighting. The relaxed open-mouth face has

developed from the rigidity of aggression to the relaxed looseness found in play (8). This

distinction of tense composure to relaxed composure is what is used to determine

aggressive from non-aggressive behavior. Therefore the development of the relaxed

open-mouth face was necessary to determine aggressive from non-aggressive behavior

during play. Additionally, panting is a result of intense play that has been ritualized in

wolves and dogs, as well as primates (8). Panting has developed from breathlessness due

to energy expenditure during play. Panting, according to Boyd, is “a volley of

exhalations that together with the ‘play face’ seems the origin of human laughter” (8).

Consequentially play is the originator of laughter because play is the activity that created

the relaxed open-mouth face, as well as the vocalizations from panting.

Play’s evolution of laughter can be further understood as a functional defensive or

offensive strategy. Increased defensive and offensive strategies are found in ritual
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fighting among most species. Ritual fighting is the solution to territory battles, among

territorial animals, which include sounds and physical contact (Alcock, 255). Any

physical contact rarely ends in death or serious injury, because an animal’s instincts to

promote their own race are more influential then their instincts to promote their own

individuality. Furthermore, territorial battles do not always involve physical contact

(256). The noises that are made during ritualized fighting are designed to make the

opponent aware of the animal’s size and endurance. Hence, a stronger animal’s noises

should be enough to scare off its competition. This type of situation is what Boyd claims

play to be the training for. Thus if play is training for these aggressive situations, then

perhaps the vocalizations that evolved from play (laughter) are also training for the

vocalizations that occur in these aggressive encounters.

An example of ritual fighting among humans can be found in the martial arts. In

Tai Chi Chuan its participants perform a form of combat training called Push Hands

(Chen, 105). According to Chen, Push Hands is a sort of Tai Chi greeting between new

instructors and students. Push Hands is performed by two people, with their hands in

contact, alternately using the directions of body energy which serves the ability to discern

an opponent’s balance through tactile sensation (Siaw-Voon Sim, 52). Usually within

this form of ritual fighting the participants are not injured. Yet injuries can occur if one

tries to prove they are more capable then they are.

Furthermore, laugher can be understood as a way to increase health. The health

benefits offered by laughter are found in Humor Therapy and Laughter Meditation. First,

Humor Therapy is the use of laughter to assist in healing both physical and mental

illnesses (Wells, 1). Laughter causes a deep sense of relaxation which releases tension in
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the diaphragm and therefore relieves pressure on the internal organs (2). This deep

relaxation stimulates the immune system, reduces stress, and balances the body’s natural

energy fields.

Laughter Meditation is a way one can relax the body and mind, find one’s center,

and create a heightened state of awareness (Sutorious, 368). This form of meditation

begins with a five minute stretch and is followed by five minutes of laughter. However it

is emphasized that the laughter must come from the belly in order to be in your center

(369). In other words the diaphragm must be relaxed in order to laugh through your

stomach and naval. The final stage involves five minutes of silence and meditation.

Some of the feelings that participants of Laughing Meditation have claimed to have were

a deeper sense of relaxation, decrease in pain, and feelings of acceptance (370). The

common benefit between Humor Therapy and Laughter Meditation is a sense of deep

relaxation. Therefore laughter seems to increase health predominantly through the effects

of deep relaxation which leads to other health benefits such as reduced pain, a heightened

state of awareness, and reduced stress.

Consequentially laughter, a vocalization that is the product of play, is the attempt

to be self-sufficient. Play is training for the expected and unexpected, or training for the

possibilities of our environment. While training for these possibilities one never looses

enough control so that they cannot gain it back. Hence laughter is the vocalization made

while in control of the possibilities of one’s environment. Moreover, in a stressful

situation the animal or human that can maintain the most relaxation is going to have more

control over the situation, and therefore have control over the opponent. This is because
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relaxation is only available to those who believe they are in control, those who are

confident, and those who are ‘playing.’

Additionally because laughter creates relaxation it promotes health. The

promotion of health is an attempt to gain longevity, or an attempt to gain control over

one’s finite amount of time. Therefore, the relaxed point of view caused by laughter is an

attempt to be in control of future possibilities within one’s environment; it is the belief in

oneself as being self-sufficient.

To conclude, both crying and laughing are vocalizations that contain emotions

that are founded on the belief of self-sufficiency. Crying on the one hand is the

knowledge of the inability for self-sufficiency, but is ignorant to it. Whereas laughter is

the lack of knowledge to our inability to be self-sufficient. Therefore both crying and

laughter are attempts to be self-sufficient: crying through ignorance and laughter through

a lack of knowledge.

Literary Theories

The first theories of tragedy and comedy were developed in Aristotle’s Poetics

(Golden – 1984, 283). The Poetics are divided into two books. The first book discusses

the elements of tragedy where the second discusses the elements of comedy.

Unfortunately the second book was lost in antiquity. However, many of the second

books arguments can be reconstructed from the first five chapters that precede the first

books discussion of tragedy (285). It is because Aristotle based his theory of tragedy on

the material found in the first five chapters that we can assume that his theory of comedy

is also based on this material (which equally discusses tragedy and comedy). To begin,

tragedy is developed on seven components: i) tragedy is a form of mimesis; ii) the object
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of tragic mimesis is a noble act; iii) the noble action is a complete act; iv) the tragic

mimesis is represented in adorned language; v) the tragedy is acted through drama, not

narration; vi) the identification of pity and fear are evoked emotions; vii) the

identification of a tragic catharsis (286). It is generally accepted that comedy follows the

first five components of tragedy, but in the form of ignobility: i) comedy is mimesis; ii)

the object of comic mimesis is an ignoble act; iii) the ignoble act is complete; iv) the

comic mimesis is represented in adorned language; v) the comedy is acted through drama

(286). And because Aristotle holds tragedy to be opposed to comedy we can further

understand the next two comic components based on the components of tragedy. Thus

the sixth component of tragedy’s evoked emotion, pity and fear, are opposed to comedy’s

evoked emotion of indignation. Additionally the seventh component, in opposition to the

tragic component, will be the identification of a comic catharsis. The comic catharsis

will be the clarification of the emotions of an ignoble action. It will be within the

understanding of a tragic and comic catharsis that the ideas of ignorance towards the

inability for self-sufficiency and belief in self-sufficiency will be evident.

The character of Oedipus, from the tragedy Oedipus Rex, represents a tragic

catharsis who ignores his knowledge of the inability to be self-sufficient. This is because

there is a universal condition of human existence responsible for pity and fear (Golden –

1962, 58). Oedipus acts as if he can control his life by escaping his destiny and

mastering his own fate (Eskin, 274). According to Eskin, “Oedipus is a rationalist, a man

who thinks he understands the world and knows how to control it” (274). This is shown

in the belief he held that he could solve riddles (275). Oedipus’ rationality is at the root

of his ability to solve riddles. Yet his rationality is proven ineffective against the more
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powerful riddle of the fate the universe has created for him. “This universal condition is

the fundamental limitation of the human intellect in dealing with the unfathomable

mystery that surrounds divine purpose,” according to Golden (1962, 58). Furthermore, it

is within his noble disposition that caused his self-blame, and eventually his self inflicted

revenge. And it is his self inflicted revenge that proves his ignorance towards the

inability for self-sufficiency. Oedipus, like a baby who realizes there is no food, realizes

there is no control over his destiny (no self-sufficiency), and resorts to an act to gain pity

as an attempt to gain back his noble control. This is identical to the baby who resorts to

an act to gain pity for food. Therefore Oedipus is ignorant of the inability to be self-

sufficient.

Similarly Strepsiades, from the comedy Clouds, represents a comic catharsis

because he believes he is self-sufficient. This is understood by the series of events that

Strepsiades takes to get out of debt. Each action he takes throughout the play is ignoble

(Golden – 1984, 288). The actions are ignoble because of his constant dependence on

others throughout the play, yet because he believes he is orchestrating the actions he feels

as if he is in charge. These ignoble acts provoke responses of indignation in his character

(288). In fact the climax of indignation is also a moment of “powerful illumination”

(289). This illumination is the recovery of Strepsiades “lost rustic innocence.” In other

words, Strepsiades realizes that he let his control slip away, like an animal who is playing

and let his balance go just to the point where he can quickly regain it. Therefore

Strepsiades’ feelings of indignation are because of his loss of balance or control. So he

takes it upon himself to regain his control by burning down the Pondertorium.
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Strepsiades is simply playing – he is preparing for any possibility within his environment.

Thus he believes that he is self-sufficient.

Based on the evolutionary function of crying and laughter, as well as the tragic

and comic theories presented by Aristotle, it is clear why Socrates dismissed poetry and

emotions from his Kallopolis. It is understood that the primary emotion of tragedy is

pain and suffering represented by crying. Whereas the primary emotion of comedy is

indignation represented in laughter. Furthermore both crying and laughter represent

emotions that agree with self-sufficiency: crying through ignorance of the inability for

self-sufficiency and laughter through lack of knowledge that self-sufficiency is

impossible to obtain. Yet Socrates’ entire argument in the Republic opposes self-

sufficiency (Reeve, 122). In fact the definition of justice is the division of labor. Perhaps

this is because Socrates realized that there is a segregation that occurs between crying and

laughter. The segregation begins with the division of laughter, or the group who believe

they are superior because of their self-sufficiency. The feeling of superiority is only

because they lack the knowledge that they are unable to be self-sufficient. The

“superior” group does not realize that they truly are not in control of their possibilities.

An example of a member of this group is Strepsiades because he believes he has constant

control over his environment even when he does not. Meanwhile a second group is

formed as an outcome to the realization of the inability to be self-sufficient. The division

of crying is the group who find themselves inferior because of their acknowledgment of

their inability to be self-sufficient. The acknowledgement of their inability to be self-

sufficient creates ignorance to this inability. The ignorance is shown in their final

attempts to regain control by way of their insufficiencies. An example is Oedipus’

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gouging out his eyes to gain pity. Yet it is when a member of this ‘superior’ group

realizes their inability to be self-sufficient, and they make a final attempt to gain control

through joining the ranks of the inferior group. Therefore members of the inferior group

become controlled by blind leaders of the superior group.

In conclusion, crying, as seen in the eyes of evolution and tragic literature, is a

realization of our inability to be self-sufficient. However the acts of crying, and the acts

of the tragic hero, ignore this realization in order to attempt to regain control. Crying,

like Oedipus’ gouging out of his eyes, is a final attempt to become self-sufficient through

insufficiency. Opposing is laughter. Laughter, as seen in the eyes of evolution and

comic literature, is the belief in self-sufficiency. It is the lack of knowledge that self-

sufficiency is not possible. And it is because of these two definitions that Socrates

dismisses emotion, and certain forms of poetry, from his Kallopolis. This is most likely

because Socrates feared that poetry would create the emotions that could create a division

among his citizens. Socrates most notable example of this is when Socrates says that

poets distort the views of gods and demi-gods through passionate acts such as crying and

laughing (32). It is because the poet depicts gods and demi-gods as humans – they are

either acting in ignorance, or acting without knowledge.

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Works Cited

1. Boyd, Brian. “Laughter and Literature: A Play Theory of Humor” Philosophy and

Literature. 28.1. 2004. 1-22

2. Cohen, Donald J. “The Crying Newborn’s Accommodation to the Nipple” Child

Development, Vol. 38, No. 1 (1967), 89-100

3. Eskin, Stanley G. “Tristram Shandy and Oedipus Rex: Reflections on Comedy and

Tragedy” College English.

4. Golden, Leon. “Aristotle on Comedy” The Journal of Aesthetic and Art Criticism. Vol.

42, No. 3 (1984), 283-290.

5. Golden, Leon “Catharsis” Transactions and Proceedings of the American Philosophy

Association. Vol. 93 (1962), 51-60.

6. Poe, Edgar Allen. Complete Tales and Poems. Alfred A. Knopf, Inc. 1992

7. Reeve, C.D.C. Plato’s Republic. Hackett Publishing Company, Inc. 1992

8. Sutorious, Dhyan. “The Transforming Force of Laughter, with Focus on Laughing

Meditation” Patient Education and Counseling 26 (1995) 367-371.

9. Wells, Ken R. “Humor Therapy” The Gale Encyclopedia of Alternative Medicine.

Farmington Hills, Mich.: Gale Group, 2000.